Dr. Maximilian F. Schlutz
Associate, Investigations & Enforcement
Dr. Maximilian F. Schlutz is an associate in Willkie’s German practice. He is a member of Willkie’s Investigations & Enforcement, Global Trade & Investment, White-Collar Defense and Environmental, Social & Governance practice groups.
He advises clients from various industries on corporate governance, internal investigations and general compliance matters, with a focus on business partner compliance/third party management as well as setting-up and enhancing compliance management systems.
Max has experience with conducting cross-border white-collar investigations, including those triggered by whistleblower complaints, specifically in the context of multi-jurisdictional investigations related to anti-bribery and corruption, anti-money laundering, countering terrorist financing, fraud, foreign trade laws (sanctions and export controls), tax, among other legal and regulatory issues.
In particular, he gained substantial experience in the context of (DOJ/SEC-appointed) independent compliance monitorships. He further wrote his Ph.D. on Compliance Monitorships: How can a U.S. instrument determine the day-to-day operations of German companies (2021). Max is a Certified Anti-Money Laundering Professional (CAMP), a Certified Audit and Investigations Professional (CAIP), a Certified Anti-Financial Crime Professional and a Certified Compliance Officer (Bucerius Law School).
He was able to familiarize himself with the in-house perspective during a secondment to a multinational commodity trading and mining company.
Max regularly authors articles within the juris PraxisReport Compliance & Investigations, the Corporate Compliance Law Journal (CCZ), the New Journal for Economic, Tax and Corporate Criminal Law (NZWiSt) and the Criminal Defense Attorney Journal (StV).
Prior to joining Willkie, Max worked in New York, Dubai, Sydney, Los Angeles, and, including most recently, in Germany, for a well-known international law firm in the areas of Cross-Border Investigations and Compliance, Corporate Governance, Cross-Border Transactions and Corporate Law.
Max speaks German and English.
Experience
Selected Publications
- “Eike Eckelmann, Der US-amerikanische Compliance-Monitor in deutschen Unternehmen“, Criminal Defense Attorney (StV) 2024, Issue 10/2024, p. 715
- “Zur Haftungsbeschränkung eines Gesellschaftsorgans durch interne Zuständigkeitsregelungen”, New Journal for Economic, Tax and Corporate Criminal Law (NZWiST) 2024, Issue 7/2024, p. 268-271
- “Anonyme Anzeige über Hinweisgebersystem als Basis einer Durchsuchungsanordnung”, Corporate Compliance Law Journal (CCZ) 2024, Issue 6/2024, p. 183-184
- “EU-Unternehmen kann seiner Rückzahlungsverpflichtung an Unternehmen mit Iranbezug keinen eigenen Verstoß gegen Iran-Sanktionen entgegenhalten”, Corporate Compliance Law Journal (CCZ) 2024, Issue 4/2024, p. 118-120
- “One Step Closer to the EU Corporate Sustainability Due Diligence Directive”, February 5, 2024.
- “German Federal Court of Justice Confirms: Liability of a Managing Director for Compliance Violations Can Be Limited by Internal Allocation of Responsibilities”, February 2, 2024.
- “Compliance (Due Diligence) im Kontext von Transaktionen – Die ESG Due Diligence”, Corporate Compliance Law Journal (CCZ) 2023, Issue 1-2/2024, p. 13.
- “Compliance (Due Diligence) im Kontext von Transaktionen – Außenwirtschaftsrecht”, Corporate Compliance Law Journal (CCZ) 2023, Issue 12/2023, p. 337.
- “Compliance (Due Diligence) im Kontext von Transaktionen – Anti-Bribery/Corruption”, Corporate Compliance Law Journal (CCZ) 2023, Issue 11/2023, p. 310.
- “Hinreichender Tatverdacht für Anklageerhebung”, Corporate Compliance Law Journal (CCZ) 2023, Issue 10/2023, p. 287.
- “Compliance (Due Diligence) im Kontext von Transaktionen – Allgemeine Einführung in die Thematik”, Corporate Compliance Law Journal (CCZ) 2023, Issue 10/2023, p. 269.
- “EuGH-Vorlage zur Auslegung der VO (EG) Nr. 194/2008 v. 25. Februar 2008 im Rahmen einer möglichen Strafbarkeit nach dem AWG wegen Einfuhr von Teakholz aus Myanmar”, Corporate Compliance Law Journal (CCZ) 2023, Issue 9/2023, p. 252.
- “KYS & KYC - (Un-)Intended Interplay Between the German Supply Chain Due Diligence Act and Anti-Money Laundering Laws?”, September 1, 2023.
- “Anforderungen an einen Durchsuchungsbeschluss bei einer obersten Bundesbehörde”, Corporate Compliance Law Journal (CCZ) 2023, Issue 7-8/2023, p. 236.
- “Selbstreinigung durch Compliance-Maßnahmen reduziert Geldbuße nach § 30 Abs. 1 OWiG”, Corporate Compliance Law Journal (CCZ) 2023, Issue 6/2023, p. 199.
-
“Toothless Tiger No More? Germany Strengthens Sanctions and AML Enforcement”, January 24, 2023.
- “Compliance Monitorships: Wie kann ein US-Instrumentarium den Alltag deutscher Unternehmen bestimmen?” (Volume 1 of CB - Compliance Berater publication series, published by Fachmedien Recht und Wirtschaft 2021, ISBN 978-3-8005-9408-5).
- “Verpflichtung zur Übermittlung nicht protokollierter IP-Adressen”, juris PraxisReport Compliance & Investigations, Commentary to Federal Constitutional Court, Resolution of Non-Acceptance dated 20 December 2018, 2 BvR 2377/16
Speaking Engagements
- Webinar Financial Crime Academy on the subject of the Supply Chain Due Diligence Act, June 2023
- German Compliance Conference 2023 in Frankfurt/Main: “Compliance meets Cyber Incident Responses - How companies can respond to cyber attacks and which legal pitfalls to watch out for in case”
- Advising on transactional compliance risk assessments in the course of various M&A and private equity transactions
- Advising national and international companies on internal investigations into alleged misconduct of management, employees and third parties
- Setting up state-of-the-art compliance management systems for national and international companies including in the field of healthcare, packaging and others
- Advising clients in business partner due diligence, including with enhanced background checks
- Advising a global food manufacturer in connection with compliance with the new requirements of the EU Whistleblower Directive
- Advising a German-based global healthcare company as part of a DOJ / SEC-appointed independent compliance monitorship*
- Assisting a leading global technology company in enhancing its Internal Compliance Program including the implementation of a tailored international trade procedure
- Advising a leading international manufacturer of medical science equipment on compliance with EU Economic and Financial Sanctions and Export Controls
- Advising a European packaging manufacturer on the analysis of its internal compliance program, in particular with regard to the changing regulatory landscape resulting from the Ukraine Crisis
- Advising an international company in the field of transport, trade and distribution of oil products and petrochemicals on compliance with sanctions in the context of the price cap for Russian oil and oil products
- Advising a leading US power solutions manufacturer in the automotive industry on its compliance with the EU’s new Regulation on Deforestation-free Products (EUDR) requirements
- Setting up a state-of-the-art ESG compliance management system for a world leader in medical and scientific education solutions
- Advising a European car manufacturer in relation to ESG-related requirements with a specific focus on compliance with the German Supply Chain Due Diligence Act
*Max advised on this matter prior to joining Willkie.
Credentials
Education
University of Frankfurt, Dr. jur., 2021 Higher Regional Court of Frankfurt, Second State Exam, 2018 University of Frankfurt, First State Exam, 2015