Compliance & Audit
Establishing corporate compliance programmes and managing internal audit and regulatory review processes, at the intersection of data protection, AML (MASAK), and sector-specific regulation.
Compliance is the name given not to a single statute but to a governance framework in which all the regulatory regimes a company operates under work together. Data protection, AML (MASAK), capital markets, banking, cybersecurity, consumer protection, and competition law may all apply to the same company at the same time. Our office supports clients in establishing and updating compliance programmes and in conducting regulatory review processes so that this multi-regime environment can be managed as a whole.
Our scope of services includes mapping the obligations specific to the client's field of activity, preparing board-approved compliance policies, designing the internal control matrix, building training and awareness programmes, and drafting the legal framework for a whistleblowing line and investigation protocols. For institutions subject to AML (MASAK) obligations, appointing a compliance officer and reporting processes, suspicious transaction reporting infrastructure, customer risk classification, and the contractual and operational structuring of Travel Rule implementation are areas in which we work regularly. For capital markets actors, we jointly establish internal control and risk management structures and manage communication processes with sector regulators (BRSA, CMB, CBRT).
In regulatory review and audit processes before the Ministry of Trade, the Advertising Board, the KVKK, MASAK, the ICTA, the BRSA, and the CMB, we manage information and document requests on behalf of our clients, prepare response briefs, and provide legal advice during on-site inspections. Challenges to Board or administrative fine decisions and annulment actions in administrative courts are part of our regular practice. In internal investigations, legal advice, evidence-collection discipline, protection of communication confidentiality, and, where deemed necessary, preparation for a public prosecutor's process are handled in an integrated manner.
A good compliance programme consists not of documents signed in the boardroom but never applied in the field, but of a chain of auditable controls that align with daily operations. Our office aims to design compliance not as a paper obligation but as a management tool that protects the client's enterprise value and strengthens investor and regulator confidence. Our deliverables include an obligations matrix, a compliance handbook, an internal audit programme, and a defence file ready for regulatory inspections.