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GOVERNANCE, COMPLIANCE AND INVESTIGATIONS
Contents
04 OurFirm
05 OurFootprintinAfrica
06 OurGovernance,ComplianceandInvestigationsPractice
07 OurSpecialistServices
12 Accolades
14 KeyContacts
Governance, Compliance and Investigations
32
BOWMANS
Our Firm Our Footprint in Africa
Mozambique
Kenya
Tanzania
South Africa
Nigeria
Uganda
Mauritius
Best friends
Bowmans offices
Significant transaction or advisory experience
Alliance firms
Ethiopia
Ourtrackrecordofprovidingspecialist
legalservicesinthefieldsofcorporate
law,bankingandfinancelawanddispute
resolution,spansoveracentury.
WithnineofficesinsevenAfricancountries
andover400specialistlawyers,wedrawon
ouruniqueknowledgeofthebusinessand
socio-politicalenvironmenttoadviseclients
onawiderangeoflegalissues.
Everywherewework,weofferclientsa
servicethatuniquelyblendsexpertiseinthe
law,knowledgeofthelocalmarketandan
understandingoftheirbusinesses.Ouraim
istoassistthemtoachievetheirobjectives
assmoothlyandefficientlyaspossiblewhile
minimisingthelegalandregulatoryrisks.
Ourclientsincludecorporates,multinationals
andstate-ownedenterprisesacrossarangeof
industrysectorsaswellasfinancialinstitutions
andgovernments.
Ourexpertiseisfrequentlyrecognisedby
independentresearchorganisations.We
receivedawardsinthreeoutoffourcategories
attheDealMakersEastAfricaAwardsfor
2019:toplegaladviserintheM&ACategory
forbothdealflowanddealvalue,andadvised
ontheDealoftheYear.IntheDealMakers
SouthAfricaAwardsfor2019,wewereplaced
thirdfordealvalueintheM&ACategoryand
advisedonboththeDealoftheYearandthe
BEEDealoftheYear.
Wearepresentinsevencountries
inAfrica:Kenya(Nairobi),Malawi
(Lilongwe),Mauritius(Moka),SouthAfrica
(CapeTown,Durban,Johannesburg),
Tanzania(DaresSalaam),Uganda(Kampala)
andZambia(Lusaka).
Weworkcloselywithouralliancefirmsin
Ethiopia(AmanAssefa&AssociatesLaw
Office)andNigeria(UdoUdoma&Belo-
Osagie).Thesearetwooftheleading
corporateandcommerciallawfirmsintheir
jurisdictions.
Wehavedevelopedabestfriendrelationship
withoneofMozambique’sstrongestlaw
firms(TacianaPeãoLopes&Advogados
Associados)andregularlyworkwithleading
lawfirmsinothercountriessuchasAngola,
Botswana,Ghana,IvoryCoast,Namibia,
Rwanda,SouthSudanandZimbabwe.
Wehaveacomprehensivedatabaseofallthe
lawfirmsweworkwithintherestofAfrica
coveringsuchcountriesasAlgeria,Egypt,
MoroccoandFrench-speakingWestAfrica.
WearerepresentativesofLexMundi,aglobal
associationwithmorethan160independent
lawfirmsinallthemajorcentresacross
theglobe.LexMundigivesustheabilityto
connectourclientswiththebestlawfirmsin
eachofthecountriesrepresented.
We help our clients overcome legal complexity and unlock opportunity in Africa.
Malawi
Zambia
BOWMANS Governance, Compliance and Investigations
4 5CONTENTS PAGE CONTENTS PAGE
Africanjurisdictionshavenotbeenignoredin
theglobalshifttowardstheenforcementof
anti-corruption,anti-briberyandanti-money
laundering/counteringfinancingofterrorismlaws.
This,coupledwithsignificantfinesandpenalties,
highlightstheneedforspecialisedgovernance,
complianceandinvestigationlegalservicesfor
thosedoingbusinessinAfrica.
OurGovernance,ComplianceandInvestigations
Practicerepresentsabroadspectrumofprivate
andpublicsectorclientsincludingmajorlistedand
unlisteddomesticandinternationalcorporations
andbankinginstitutions,state-ownedenterprises,
governmentdepartments,localgovernment
institutionsanddevelopmentinstitutions.
Weundertakespecialistforensicinvestigations;
providegovernance,corruptionandregulatory
complianceadvice;andcompleteriskassessment
andmanagementreviews.
Weactforclientsininvestigationsand
proceedingsbycriminalandregulatoryagencies
andhavebeeninvolvedinseveralhighprofileand
publicinterestcases.
We undertake specialist
forensic investigations;
provide governance, corruption
and regulatory compliance
advice; and complete risk
management reviews.
Ourservicesextendtoidentifyingspecific
governanceand/orcompliancerisksthat
resultedinprejudiceand/orlosses,andmaking
recommendationstomitigatethese.
Ourspecialistteamcancalluponmorethan
60highly-qualifiedandexperiencedlawyers,
accountants,forensicinvestigatorsand
computerforensicspecialistsfromwithin
theBowmansgroup.
Allofourengagementsareledbylawyers,who
areabletocompileteamsofspecialistsasper
therequirementsofspecificassignments.Weare
thereforeabletoimplementrecommendations
flowingfromanygovernance,complianceor
investigativeengagementimmediately.These
includeinitiatinganddefendingcivilproceedings;
initiatingdisciplinaryenquiriesandcriminal
investigations;andtakingremedialstepsto
addresstheriskofcorporatecriminalliability.
Ourclientsenjoytheprotectionoflegal
professionalprivilege(whileteamsledby
accountantsdonot).Ourreports,clientadvice
andadvocate-clientcorrespondenceare
thereforeprotectedagainstsummons,warrants
orforceddisclosuretothirdparties.
Ourreachisparticularlysignificantingovernance,
complianceandinvestigationsmatterswhere
ourclientsareincreasinglyaffectedbyanti-
corruption/anti-bribery/anti-moneylaundering
legislationwithextra-territorialapplication(such
astheUSForeignCorruptPracticesActandthe
UKBriberyAct).Weassistourlocalandmulti-
nationalclientstoassesstheirstateandlevelof
compliancewithdomesticlegislationsuchasthe
ProceedsofCrimeandAnti-moneyLaundering
Act,thePreventionofTerrorismAct,theAnti-
CorruptionandEconomicCrimesActandthe
PublicOfficersEthicsActinKenya.
Our Governance, Compliance and Investigations Practice
Allinvestigationsareconducteddiscreetly
andwithakeenappreciationforthe
reputationalriskassociatedwithallegationsof
white-collarcrimeorregulatorymisconduct
madeagainstacompanyorpublicorganisation.
Allinformationprovidedtousistreatedinthe
strictestconfidence.
Seamlessservicedeliveryisoneofthebenefits
ofretainingustoconductinternalorexternal
investigations.Ourclientsofteninstructusto
initiatedisciplinaryproceedings,civilrecovery
processesorcriminalinvestigationsdirectly
afterconcludinganinvestigation.Thisoccurs
withouttheneedtoreferourforensicreport
toanyotherserviceproviders,whichisa
requirementwhenanauditfirmornon-legal
serviceproviderconductsaninvestigation.
Undertheforensicinvestigationspillar,we:
• undertakefraudandfinancial
improprietyinvestigations;
• havecapacitytoconductcyberand
computercrimeinvestigations;
• traceproceedsofcrimeandtraceassets
forseizureandforfeiture;
• investigateprocurementirregularitiessuch
asbidfixingandgivingofkick-backs;
• undertakeconflictofinterestchecks
andinvestigatebreachesofemployment
policiesandprocedures;
• carryouttaxevasionandtax
diversioninvestigations;and
• providebusinessandcorporate
intelligenceservices.
Our Specialist ServicesWeofferarangeofservicesunderour
Governance,ComplianceandInvestigations
Practice,suchas:
• forensicinvestigations;
• fraudriskmanagementandadvisoryservices;
• corporatelegalandregulatorycompliance;
• disputeresolution,litigationsupportand
expertwitnessservices;and
• governance,complianceandinvestigation
advisoryservices.
FORENSIC INVESTIGATIONS
Wehaveaproventrackrecordininvestigations
intoseriousandcomplexcommercialand
regulatoryfraudcases.
Ourexperienceenablesustoprovidesound
adviceconcerningthebestcourseofactionif
wrongdoingisidentified,includingpotential
disclosuretoauthorities.Wearealsoableto
providelegalopinionsonourfindings,aservice
thatnon-legalfirmsareunabletodo.
Weensurethatinvestigationsareconducted
incompliancewithallrelevantlawsand
regulations,includingprivacyanddata
protectionlaws,andthatallevidencecollected
isadmissibleandrelevantforassertingor
protectingtheclient’srights.
Our experience enables us
to provide sound advice
concerning the best course
of action if wrongdoing is
identified, including potential
disclosure to authorities.
BOWMANS Governance, Compliance and Investigations
6 7CONTENTS PAGE CONTENTS PAGE
FRAUD RISK MANAGEMENT AND ADVISORY SERVICES
Weadviseclientsonbestpracticesin
governanceandinpreventingfraudand
corruptionintheirbusinessoperations.
Ourcustomisedcomplianceprogrammes
enableclientstoidentify,evaluateandlimit
potentialcriminalriskstheymayface.
Wedevelopanddraftpoliciesand
procedures,includingthosedealing
withfraudandcorruption,business
entertainmentandgifts,donationsand
incentives,andconflictsofinterest.
Toassistwithafraudmanagement
framework,we:
• helpdesignandimplementholistic
fraudmanagementstructuresthat
willcushionclientsfromfraud;
• conductenterprise-widefraudrisk
assessmentandmitigationanalysis;
• provideforensicdataanalyticsservices
toidentifyoddandpotentiallyfraudulent
patternsinclients’data;
• vetemployeesandbusiness
associates/suppliers;and
• helpsetupwhistle-blowerchannels
suchashotlinesandwhistle-blowing
incentiveprogrammes.
CORPORATE LEGAL AND REGULATORY COMPLIANCE
Weregularlyadviseonmattersconcerning
corruptioncompliance,regulatoryoversight
proceduresandprovideassistancetoclientsin
developinginternalcompliancesystems.
Weprovideduediligenceandcompliance
servicestoensureourinternationalclientscomply
withtherequirementsoftheUSForeignCorrupt
PracticesActandtheUKBriberyAct.Wealso
ensurethatourclients’globalpoliciesarealigned
todomesticlegislationandequivalentlegislation
inthebroaderAfricanmarketplace.
Wehaveadvisedonanti-moneylaundering,
Know-Your-Clientandsanctionsprocessesfor
clientsthatarerequiredtocomplywithboth
localandinternationallegislationwhen
conductingfinancialtransactionsorentering
intocontractualarrangements.
Becauseanti-corruptionproblemscanarise
duringmergers,acquisitionsandjointventures,
corporatecounselareincreasinglyinsistingthat
anti-corruptionduediligencebeperformed.
Toenhancethecomplianceprofilesof
ourclients,we:
• conductcorporatelegalandregulatoryaudits
toassessthelevelofcompliancewithrelevant
lawsandregulations;
• undertakeanti-briberyandanti-corruption
(ABAC)compliancereviews;
• assessadherencetotheForeignCorrupt
PracticesActandtheUKBriberyActinlocal
activities(formulti-nationals);
• provideanti-moneylaunderingcompliance
reviewsforfinancialanddesignated
institutions;and
• providetrainingonethics,integrity,fraud
management,anti-corruption/briberyand
anti-moneylaunderingcompliance.
DISPUTE RESOLUTION, LITIGATION SUPPORT AND EXPERT WITNESS SERVICES
Werecognisethecommercialandreputational
risksassociatedwithregulatory,corruption
andcorporatecrimeissuesandassistclientsin
mitigatingtheserisks.Inthistimeofcomplex
relationshipsamongindividuals,companies
andotherorganisations,itisbecoming
increasinglyimportanttoconsultaprofessional
disputeresolutionlawfirmtoavoidcostly
disagreements.
Wearewell-placedtoofferourclients
outstandingadvicecoupledwithprofessional
andefficientlegalservice,whetherinacourt
room,arbitration,tribunalhearing,dispute
resolutionforumormediationsetting.
Weadviseon,andinstituteactionsfor,recovery
oflossessufferedthroughcommercialcrime,
suchas:
• themechanismsprovidedforinnational
legislationforrecovery,suchasinthe
Anti-CorruptionandEconomicCrimesAct,
theProceedsofCrimeandAnti-Money
LaunderingActandthePreventionof
TerrorismActinKenya;
• theinitiationofcourtproceedingsaimedat
freezingaccountsandseizingassets;
• theinitiationofcivilcourtproceedings;and
• alternativedisputeresolution.
Wehavewell-establishedrelationshipswith
lawenforcementagenciesandarealsoable
toassistclientsbyliaisingwithpoliceandlaw
enforcementauthoritiestoensurethatcriminal
prosecutionsproceedwithoutunduedelay.
Weareabletocallonourfullservicein-house
LitigationPracticetoassistwithcomplex
litigationmatters.
Ourteamcancompriseaccountantsand
certifiedforensicinvestigatorswhoplaya
centralandintegralroleintheinvestigations
andactasspecialistandexpertwitnesses.
Our customised
compliance programmes
enable clients to identify,
evaluate and limit
potential criminal risks
they may face.
BOWMANS Governance, Compliance and Investigations
8 9CONTENTS PAGE CONTENTS PAGE
GOVERNANCE, COMPLIANCE AND INVESTIGATIONS ADVISORY SERVICES
Weprovideclientswithdetailedwrittenlegal
adviceandopinionsonallmattersrelatedto
governance,complianceandinvestigations.Issues
thatclientshavesoughtouradviceon,include:
• mandatorydisclosureandreporting
obligations;
• riskmanagementandtherisksofcorporate
criminalliability;
• corporategovernance,legalcomplianceand
internalcontrolsissues;
• theimplicationsofcommercialarrangements
enteredintobetweenparties;
• theregulatoryandwhite-collarcrime
implicationsofcommercialtermsin
agreements;
• thelawfulnessofspecificincentiveschemes;
• implicationsofbreachesoftheForeign
CorruptPracticesActandUKBriberyActand
thedomesticanti-corruption,anti-briberyand
anti-moneylaunderinglegislation;
• sanctions;and
• thelegalandregulatoryenforcement
environmentinKenyaandelsewhereinAfrica.
BOWMANS
10 11CONTENTS PAGE CONTENTS PAGE
11
Governance, Compliance and Investigations
Accolades
BOWMANS Governance, Compliance and Investigations
12 13CONTENTS PAGE CONTENTS PAGE
AFRICAN LEGAL AWARDS 2019
Wewontwopracticeawards-forTransportationand
InfrastructureTeamoftheYearandTMTTeamoftheYear.
CHAMBERS AFRICA AWARDS 2018
WewerenamedSouthAfricanLawFirmoftheYear.
DEALMAKERS EAST AFRICA AWARDS 2019
Wereceivedawardsinthreeoutoffourcategories:toplegal
adviserintheM&ACategoryforbothdealflowandvalue,and
advisedontheDealoftheYear(theNIC/CBAmerger).
DEALMAKERS SOUTH AFRICA AWARDS 2019
WewereplacedthirdfordealvalueintheM&ACategoryand
advisedontheDealoftheYear(PepsiCo’sacquisitionofPioneer
Foods)andtheBEEDealoftheYear(IsantiGlassacquisitionof
NampakGlass).
MERGERMARKET LEAGUE TABLES 2018
Wewererankedfirstbydealvalueandsecondbydealcount
intheAfricaleaguetablesforlegaladvisors,andthirdbydeal
countintheMiddleEast&Africaleaguetableforlegaladvisors.
BAND 1
KENYA
Banking&Finance
Corporate/M&A
Employment
FinTech
IntellectualProperty
RealEstate
SOUTH AFRICA
CapitalMarkets:Debt
CapitalMarkets:Equity
Competition/Antitrust
CorporateInvestigations
Corporate/M&A
Employment
Environment
IT&Telecommunications
Projects&Energy
PublicProcurement
Shipping
Tax
TMT
TANZANIA
GeneralBusinessLaw
UGANDA
GeneralBusinessLaw
BAND 2
SOUTH AFRICA
Banking&Finance
DisputeResolution
FinTech
Media&Broadcasting
Restructuring/Insolvency
KENYA
Projects&Energy
CHAMBERS & PARTNERS 2020 RANKED US IN THE FOLLOWING AREAS
TIER 1
KENYA
Financial&Corporate
Mining
SOUTH AFRICA
CapitalMarkets:Debt
CapitalMarkets:Equity
Energy&Power
M&A
UGANDA
Financial&Corporate
ProjectDevelopment
TIER 2
KENYA
Energy&Power
Infrastructure
SOUTH AFRICA
Banking
Infrastructure
Mining
Oil&Gas
ProjectFinance
TANZANIA
Financial&Corporate
TIER 3
TANZANIA
ProjectDevelopment
IFLR1000 2019 RANKED US IN THE FOLLOWING AREAS
TIER 1
KENYA
Banking,Finance&CapitalMarkets
Commercial,Corporate&M&A
Employment
RealEstate&Construction
SOUTH AFRICA
Commercial,Corporate&M&A
Competition
Employment
Projects&Infrastructure
Shipping&Transport
TANZANIA
LeadingFirm
UGANDA
LeadingFirm
TIER 2
KENYA
DisputeResolution
Privitisation&Projects
SOUTH AFRICA
Banking&Finance
DisputeResolution
InvestmentFunds
Tax
THE LEGAL 500 EMEA 2020 RANKED US IN THE FOLLOWING AREAS
71 37 67Recognised Lawyers
Recognised Lawyers
Recognised Lawyers
Key Contacts
JACQUELINE LULE
Partner
Kampala,Uganda
T: +256414254540
DAVID MPANGA
Partner
Kampala,Uganda
T:+256414254540
ERNEST WILTSHIRE
ManagingPartner,Uganda
Kampala,Uganda
T: +256414254540
JOHAN KRUGER
HeadofGovernance,
ComplianceandInvestigations
Johannesburg,SouthAfrica
T:+27116699637
MATTHEW PURCHASE
Partner
Johannesburg,SouthAfrica
T:+27116699568
To view profiles of our lawyers,
please visit www.bowmanslaw.com
DAVID DE VILLIERS
Executive-Investigations
Johannesburg,SouthAfrica
T:+27116699535
JOE DA SILVA
Executive-Investigations
Johannesburg,SouthAfrica
T:+27116699559
CHARMAINE COGLE
SeniorForensicsManager
Johannesburg,SouthAfrica
T:+27116699570
FRANCOIS TRICHARDT
SeniorAssociate
Johannesburg,SouthAfrica
T:+27116699526
BOWMANS Governance, Compliance and Investigations
14 15CONTENTS PAGE CONTENTS PAGE
Cape Town, South AfricaT:+27214807800
Dar es Salaam, TanzaniaT: +255768988640
Durban, South AfricaT: +27311091150
Johannesburg, South AfricaT: +27116699000
Kampala, UgandaT: +256414254540
Lilongwe, MalawiT: +265990318152
Lusaka, ZambiaT: +260962275329
Moka, MauritiusT: +23052980100
Nairobi, KenyaT: +254202899000
Follow us on Twitter:@Bowmans_Law
www.bowmanslaw.com
Alliance Firms:
Aman Assefa & Associates Law Office, Addis Ababa, EthiopiaT: +251114702868
Udo Udoma & Belo-Osagie, Lagos, NigeriaT: +23412774920-2,+23412719811-3
CONTENTS PAGE
![Aris Governance Risk Compliance[1]](https://img.pdfslide.us/doc/110x75/5525e85b4a79599d488b4dd2/aris-governance-risk-compliance1.jpg)
