Services
Enforcement & Investigations: services by regime
Apparent-violation assessment, voluntary self-disclosure, regulator information requests, internal investigations and penalty defence.
About the Enforcement & Investigations practice →
59 service pages · grouped by regime
OFAC18
- Penalty calculation methodology under OFAC: compliance counsel
- Apparent-violation assessment under OFAC: legal support
- Criminal exposure in export-control cases under OFAC: compliance counsel
- Criminal exposure in export-control cases under OFAC: legal support
- Enforcement risk after a breach under OFAC: compliance counsel
- Enforcement risk after a breach under OFAC: legal support
- Internal sanctions investigations under OFAC: compliance counsel
- Internal sanctions investigations under OFAC: legal support
- Internal sanctions investigations under OFAC: specialist advice
- Managing a compliance monitorship under OFAC: compliance counsel
- Mitigation factors in enforcement under OFAC: legal support
- Penalty defence and settlement under OFAC: compliance counsel
- Penalty defence and settlement under OFAC: legal support
- Penalty defence and settlement under OFAC: specialist advice
- Remediation after a sanctions breach under OFAC: compliance counsel
- Remediation after a sanctions breach under OFAC: specialist advice
- Responding to regulator information requests under OFAC: legal support
- Responding to regulator information requests under OFAC: specialist advice
BIS / EAR5
- Port-call and port-access restrictions under BIS / EAR: specialist advice
- Criminal exposure in export-control cases under BIS / EAR: specialist advice
- Managing a compliance monitorship under BIS / EAR: legal support
- Mitigation factors in enforcement under BIS / EAR: specialist advice
- Remediation after a sanctions breach under BIS / EAR: legal support
OFSI10
- Corporate liability and attribution under OFSI: compliance counsel
- Criminal liability for sanctions breaches under OFSI: legal support
- Fixed penalties for procedural breaches under OFSI: specialist advice
- Apparent-violation assessment under OFSI: compliance counsel
- Apparent-violation assessment under OFSI: legal support
- Enforcement risk after a breach under OFSI: compliance counsel
- Internal sanctions investigations under OFSI: specialist advice
- Mitigation factors in enforcement under OFSI: legal support
- Penalty defence and settlement under OFSI: compliance counsel
- Voluntary self-disclosure under OFSI: legal support
EU14
- Early account and settlement schemes under EU: legal support
- Apparent-violation assessment under EU: compliance counsel
- Apparent-violation assessment under EU: specialist advice
- Criminal exposure in export-control cases under EU: specialist advice
- Enforcement risk after a breach under EU: specialist advice
- Internal sanctions investigations under EU: legal support
- Mitigation factors in enforcement under EU: compliance counsel
- Penalty defence and settlement under EU: legal support
- Penalty defence and settlement under EU: specialist advice
- Remediation after a sanctions breach under EU: specialist advice
- Responding to regulator information requests under EU: compliance counsel
- Responding to regulator information requests under EU: specialist advice
- Voluntary self-disclosure under EU: compliance counsel
- Voluntary self-disclosure under EU: specialist advice
SECO3
Canada2
Australia2
UAE2
Guides, analysis and briefings – Enforcement & Investigations
Guides120
- Apparent-violation assessment across regimes: a compliance guide
- Apparent-violation assessment under Australia: a compliance guide
- Apparent-violation assessment under BIS / EAR: a compliance guide
- Apparent-violation assessment under Canada: a compliance guide
- Apparent-violation assessment under EU: a compliance guide
- Apparent-violation assessment under Japan: a compliance guide
- Apparent-violation assessment under OFAC: a compliance guide
- Apparent-violation assessment under OFSI: a compliance guide
- Apparent-violation assessment under SECO: a compliance guide
- Apparent-violation assessment under Singapore: a compliance guide
- Apparent-violation assessment under UAE: a compliance guide
- Apparent-violation assessment under UN: a compliance guide
- Enforcement risk after a breach across regimes: a practical guide
- Enforcement risk after a breach under Australia: a practical guide
- Enforcement risk after a breach under BIS / EAR: a practical guide
- Enforcement risk after a breach under Canada: a practical guide
- Enforcement risk after a breach under EU: a practical guide
- Enforcement risk after a breach under Japan: a practical guide
- Enforcement risk after a breach under OFAC: a practical guide
- Enforcement risk after a breach under OFSI: a practical guide
- Enforcement risk after a breach under SECO: a practical guide
- Enforcement risk after a breach under Singapore: a practical guide
- Enforcement risk after a breach under UAE: a practical guide
- Enforcement risk after a breach under UN: a practical guide
- How to assess criminal export-control exposure across regimes
- How to assess criminal export-control exposure under Australia
- How to assess criminal export-control exposure under BIS / EAR
- How to assess criminal export-control exposure under Canada
- How to assess criminal export-control exposure under EU
- How to assess criminal export-control exposure under Japan
- How to assess criminal export-control exposure under OFAC
- How to assess criminal export-control exposure under OFSI
- How to assess criminal export-control exposure under SECO
- How to assess criminal export-control exposure under Singapore
- How to assess criminal export-control exposure under UAE
- How to assess criminal export-control exposure under UN
- How to respond to an information request across regimes
- How to respond to an information request under Australia
- How to respond to an information request under BIS / EAR
- How to respond to an information request under Canada
- How to respond to an information request under EU
- How to respond to an information request under Japan
- How to respond to an information request under OFAC
- How to respond to an information request under OFSI
- How to respond to an information request under SECO
- How to respond to an information request under Singapore
- How to respond to an information request under UAE
- How to respond to an information request under UN
- How to run an internal investigation under Australia
- How to run an internal investigation under BIS / EAR
- How to run an internal investigation under Singapore
- How to strengthen mitigation factors under Australia
- How to strengthen mitigation factors under BIS / EAR
- How to strengthen mitigation factors under Singapore
- Internal sanctions investigations across regimes: procedure and pitfalls
- Internal sanctions investigations under Canada: procedure and pitfalls
- Internal sanctions investigations under EU: procedure and pitfalls
- Internal sanctions investigations under Japan: procedure and pitfalls
- Internal sanctions investigations under OFAC: procedure and pitfalls
- Internal sanctions investigations under OFSI: procedure and pitfalls
- Internal sanctions investigations under SECO: procedure and pitfalls
- Internal sanctions investigations under UAE: procedure and pitfalls
- Internal sanctions investigations under UN: procedure and pitfalls
- Managing a compliance monitorship across regimes: a compliance guide
- Managing a compliance monitorship under Australia: a compliance guide
- Managing a compliance monitorship under BIS / EAR: a compliance guide
- Managing a compliance monitorship under Canada: a compliance guide
- Managing a compliance monitorship under EU: a compliance guide
- Managing a compliance monitorship under Japan: a compliance guide
- Managing a compliance monitorship under OFAC: a compliance guide
- Managing a compliance monitorship under OFSI: a compliance guide
- Managing a compliance monitorship under SECO: a compliance guide
- Managing a compliance monitorship under Singapore: a compliance guide
- Managing a compliance monitorship under UAE: a compliance guide
- Managing a compliance monitorship under UN: a compliance guide
- Mitigation factors in enforcement across regimes: procedure and pitfalls
- Mitigation factors in enforcement under Canada: procedure and pitfalls
- Mitigation factors in enforcement under EU: procedure and pitfalls
- Mitigation factors in enforcement under Japan: procedure and pitfalls
- Mitigation factors in enforcement under OFAC: procedure and pitfalls
- Mitigation factors in enforcement under OFSI: procedure and pitfalls
- Mitigation factors in enforcement under SECO: procedure and pitfalls
- Mitigation factors in enforcement under UAE: procedure and pitfalls
- Mitigation factors in enforcement under UN: procedure and pitfalls
- Penalty defence and settlement across regimes: step by step
- Penalty defence and settlement under Australia: step by step
- Penalty defence and settlement under BIS / EAR: step by step
- Penalty defence and settlement under Canada: step by step
- Penalty defence and settlement under EU: step by step
- Penalty defence and settlement under Japan: step by step
- Penalty defence and settlement under OFAC: step by step
- Penalty defence and settlement under OFSI: step by step
- Penalty defence and settlement under SECO: step by step
- Penalty defence and settlement under Singapore: step by step
- Penalty defence and settlement under UAE: step by step
- Penalty defence and settlement under UN: step by step
- Remediation after a sanctions breach across regimes: step by step
- Remediation after a sanctions breach under Australia: step by step
- Remediation after a sanctions breach under BIS / EAR: step by step
- Remediation after a sanctions breach under Canada: step by step
- Remediation after a sanctions breach under EU: step by step
- Remediation after a sanctions breach under Japan: step by step
- Remediation after a sanctions breach under OFAC: step by step
- Remediation after a sanctions breach under OFSI: step by step
- Remediation after a sanctions breach under SECO: step by step
- Remediation after a sanctions breach under Singapore: step by step
- Remediation after a sanctions breach under UAE: step by step
- Remediation after a sanctions breach under UN: step by step
- Voluntary self-disclosure across regimes: a practical guide
- Voluntary self-disclosure under Australia: a practical guide
- Voluntary self-disclosure under BIS / EAR: a practical guide
- Voluntary self-disclosure under Canada: a practical guide
- Voluntary self-disclosure under EU: a practical guide
- Voluntary self-disclosure under Japan: a practical guide
- Voluntary self-disclosure under OFAC: a practical guide
- Voluntary self-disclosure under OFSI: a practical guide
- Voluntary self-disclosure under SECO: a practical guide
- Voluntary self-disclosure under Singapore: a practical guide
- Voluntary self-disclosure under UAE: a practical guide
- Voluntary self-disclosure under UN: a practical guide
Analysis54
- BIS / EAR vs EU: Enforcement risk after a breach compared
- BIS / EAR vs EU: Enforcement risk after a breach: what businesses miss
- BIS / EAR vs EU: Managing a compliance monitorship: what businesses miss
- BIS / EAR vs EU: Mitigation factors in enforcement: the key divergences
- BIS / EAR vs EU: Penalty defence and settlement compared
- Criminal exposure in export-control cases: EU and SECO compared
- Criminal exposure in export-control cases: OFAC and Canada compared
- Criminal exposure in export-control cases: OFAC and OFSI compared
- EU vs SECO: Apparent-violation assessment: the key divergences
- EU vs SECO: Apparent-violation assessment: what businesses miss
- EU vs SECO: Internal sanctions investigations compared
- EU vs SECO: Internal sanctions investigations: the key divergences
- EU vs SECO: Remediation after a sanctions breach compared
- EU vs SECO: Voluntary self-disclosure: what businesses miss
- Managing a compliance monitorship: OFAC and BIS / EAR compared
- Mitigation factors in enforcement: OFSI and Australia compared
- OFAC vs BIS / EAR: Enforcement risk after a breach: what businesses miss
- OFAC vs BIS / EAR: Mitigation factors in enforcement compared
- OFAC vs BIS / EAR: Penalty defence and settlement compared
- OFAC vs BIS / EAR: Penalty defence and settlement: what businesses miss
- OFAC vs BIS / EAR: Responding to regulator information requests compared
- OFAC vs Canada: Apparent-violation assessment compared
- OFAC vs Canada: Apparent-violation assessment: what businesses miss
- OFAC vs Canada: Internal sanctions investigations: the key divergences
- OFAC vs Canada: Remediation after a sanctions breach compared
- OFAC vs Canada: Voluntary self-disclosure compared
- OFAC vs EU: Enforcement risk after a breach: the key divergences
- OFAC vs EU: Managing a compliance monitorship compared
- OFAC vs EU: Managing a compliance monitorship: the key divergences
- OFAC vs EU: Mitigation factors in enforcement: what businesses miss
- OFAC vs EU: Penalty defence and settlement: the key divergences
- OFAC vs EU: Penalty defence and settlement: what businesses miss
- OFAC vs EU: Responding to regulator information requests compared
- OFAC vs OFSI: Apparent-violation assessment compared
- OFAC vs OFSI: Criminal exposure in export-control cases compared
- OFAC vs OFSI: Internal sanctions investigations: what businesses miss
- OFAC vs OFSI: Remediation after a sanctions breach: the key divergences
- OFAC vs OFSI: Voluntary self-disclosure compared
- OFAC vs OFSI: Voluntary self-disclosure: the key divergences
- OFSI vs Australia: Enforcement risk after a breach compared
- OFSI vs Australia: Enforcement risk after a breach: the key divergences
- OFSI vs Australia: Managing a compliance monitorship compared
- OFSI vs Australia: Penalty defence and settlement: the key divergences
- OFSI vs EU: Apparent-violation assessment: the key divergences
- OFSI vs EU: Criminal exposure in export-control cases compared
- OFSI vs EU: Internal sanctions investigations compared
- OFSI vs EU: Internal sanctions investigations: what businesses miss
- OFSI vs EU: Remediation after a sanctions breach: what businesses miss
- OFSI vs EU: Voluntary self-disclosure: the key divergences
- OFSI vs EU: Voluntary self-disclosure: what businesses miss
- Remediation after a sanctions breach: OFAC and Canada compared
- Responding to regulator information requests: BIS / EAR and EU compared
- Responding to regulator information requests: OFAC and BIS / EAR compared
- Responding to regulator information requests: OFSI and Australia compared
Regime briefings42
- Apparent-violation assessment under BIS / EAR: explained
- Apparent-violation assessment under EU: the essentials
- Apparent-violation assessment under OFAC: scope and obligations
- Apparent-violation assessment under OFAC: the essentials
- Criminal exposure in export-control cases under EU: the essentials
- Criminal exposure in export-control cases under OFSI: explained
- Criminal exposure in export-control cases under SECO: the essentials
- Enforcement risk after a breach under BIS / EAR: the essentials
- Enforcement risk after a breach under OFAC: explained
- Enforcement risk after a breach under OFSI: explained
- Enforcement risk after a breach under SECO: scope and obligations
- Internal sanctions investigations under EU: the essentials
- Internal sanctions investigations under OFAC: explained
- Internal sanctions investigations under OFSI: explained
- Internal sanctions investigations under OFSI: scope and obligations
- Internal sanctions investigations under SECO: the essentials
- Managing a compliance monitorship under EU: explained
- Managing a compliance monitorship under OFAC: explained
- Managing a compliance monitorship under OFAC: the essentials
- Managing a compliance monitorship under OFSI: scope and obligations
- Mitigation factors in enforcement under BIS / EAR: explained
- Mitigation factors in enforcement under Canada: the essentials
- Mitigation factors in enforcement under OFAC: scope and obligations
- Penalty defence and settlement under Australia: scope and obligations
- Penalty defence and settlement under EU: scope and obligations
- Penalty defence and settlement under EU: the essentials
- Penalty defence and settlement under OFAC: explained
- Penalty defence and settlement under OFAC: the essentials
- Remediation after a sanctions breach under EU: the essentials
- Remediation after a sanctions breach under OFAC: explained
- Remediation after a sanctions breach under OFAC: scope and obligations
- Remediation after a sanctions breach under OFSI: scope and obligations
- Responding to regulator information requests under EU: the essentials
- Responding to regulator information requests under OFAC: explained
- Understanding criminal exposure in export-control cases under Singapore
- Understanding responding to regulator information requests under OFAC
- Understanding responding to regulator information requests under OFSI
- Voluntary self-disclosure under Canada: scope and obligations
- Voluntary self-disclosure under EU: explained
- Voluntary self-disclosure under OFAC: explained
- Voluntary self-disclosure under OFAC: scope and obligations
- Voluntary self-disclosure under OFAC: the essentials
Case comments18
- A BIS / EAR matter: apparent-violation assessment a closer look
- A BIS / EAR matter: enforcement risk after a breach a closer look
- A Canada matter: remediation after a sanctions breach lessons learned
- A Japan matter: criminal exposure in export-control cases a closer look
- An Australia matter: remediation after a sanctions breach in practice
- An Australia matter: voluntary self-disclosure in practice
- An EU matter: apparent-violation assessment lessons learned
- An OFAC matter: internal sanctions investigations a closer look
- An OFAC matter: internal sanctions investigations in practice
- An OFAC matter: mitigation factors in enforcement a closer look
- An OFAC matter: penalty defence and settlement lessons learned
- An OFAC matter: responding to regulator information requests in practice
- An OFAC matter: voluntary self-disclosure lessons learned
- An OFSI matter: enforcement risk after a breach in practice
- An OFSI matter: managing a compliance monitorship in practice
- An OFSI matter: mitigation factors in enforcement lessons learned
- An OFSI matter: penalty defence and settlement a closer look
- Responding to regulator information requests under BIS / EAR: lessons learned
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