Fjodor Bröckelmann Internal Investigations: Eine Analyse prozessualer Schwächen und Konzepte zur Schaffung von Rechtssicherheit

About Fjodor Bröckelmann

Fjodor Bröckelmann studied law and economics at the University of Augsburg, graduating first with a Bachelor of Science and subsequently with a Master of Science, specializing in compliance as well as banking, capital markets, and financial management. During his studies, he also completed a semester abroad at the Universidad del Rosario in Colombia.

After completing his master's degree, he began his professional career at KPMG AG in the "Financial Services – Regulatory & Compliance" department. Today, he advises and audits leading German banks and other financial service providers, as well as their international branches, on regulatory issues with a focus on anti-money laundering.

The combination of academic training and practical work in the compliance sector ultimately led him to pursue a doctorate at the University of Augsburg. Since 2022, he has been conducting research there on the topic of "Internal Investigations: An Analysis of Procedural Flaws and Concepts for Establishing Legal Certainty." To further deepen his practical and regulatory expertise, he also completed the university certificate program to become a Certified Compliance Officer (Univ.).

His daily encounter with regulatory requirements and their practical implementation sharpened his focus on a field that is becoming increasingly important in corporate practice: internal investigations. Although internal investigations are now a central instrument of modern compliance systems, there is often a lack of a consistent legal framework that provides companies and the individuals involved with the necessary legal certainty.

The motivation for this book arose from this discrepancy between growing practical relevance and existing legal uncertainties. The aim was to systematically analyze the procedural flaws of the current legal framework, highlight existing uncertainties, and develop concepts that can contribute to greater legal certainty when conducting internal investigations. The work thus combines academic analysis with the practical challenges companies face in their day-to-day compliance operations.