Philipp Gergen, LLM (Exeter)
Rechtsanwalt (Lawyer), certified specialist in banking and capital markets law, Associated Partner
Compliance & Investigations
Philipp is an associated partner based in Noerr’s Frankfurt office. He advises national and international clients in complex regulatory and internal investigations. His practice also focuses on the implementation of compliance measures, particularly in connection with human rights, environmental, technical and digital issues. Philipp also has in-depth experience in banking and capital markets law and as a litigation lawyer before the German courts. His special sector-related expertise includes the banking and automotive sectors. Philipp is a lecturer at Saarland University as well as and regularly publishes in relevant journals and books on his legal specialties.
Projects
- CLAAS KGaA mbH: Internal process-oriented investigation concerning the compliance with the sanctions imposed by the EU against Russia
- Internationally operating automotive supplier: Comprehensive legal advice on the implementation of the German Supply Chain Due Diligence Act (LkSG), including risk analysis, risk assessment, reporting, grievance mechanism, LkSG-related preventive and corrective measures, implementation in corporate processes, roll-out to subsidiaries in Germany and abroad
- DAX 40-Company: Advising the management board regarding allegations of possible gender and sexual discrimination against employees by other employees
- Internationally operating pharmaceutical company: Comprehensive legal advice on the implementation of the LkSG
- German sports club: Advising the management board in connection with the financing of a sports stadium
- DAX 40-Company: Advising the management board on possible claims for breaches of duty by employees in connection with years of global corruption practices in the group, which had already been the subject of settlements with US authorities; internal investigation of the events and their legal processing according to German and respective local law; coordination with the lawyers of the supervisory board with regard to the examination of a possible liability of the executive bodies
- Deutsche Bahn: Internal investigation for Group company, including advice to the management body
- Various German companies: Advice on the implementation of the LkSG
Distinctions
- Recommended Lawyer for Compliance, The Legal 500 Germany
Insights
Career
Working in-house at a state enterprise promoting international cooperation, specialising in digitalisation and sustainability
Secondment in the legal department of a major German bank
Doctorate and scientific assistant at the chair of Prof. Dr. Dr. Dr. h.c. mult. Michael Martinek at the Chair of Civil Law, Commercial and Business Law, International Private Law and Comparative Law at the University of Saarland
Master of Laws in International Business Law (LL.M.) at the University of Exeter (UK)
Magister in Administrative Sciences (Mag. rer. publ.) at the German University of Administrative Sciences, Speyer
Studied law at the Saarland University
At Noerr since 2015
Admitted to the bar of Frankfurt am Main
Memberships
- German Institute for Compliance (Deutsches Institut für Compliance e.V., DICO), working group Digital Transformation
- DAV - working group Banking and Capital Markets Law
Lectures
- WIRUP Compliance Forum 2024
Digital Compliance - PSI Düsseldorf 2024
Supply Chain Compliance
Publications
- German Supply Chain Due Diligence Act (Lieferkettensorgfaltspflichtengesetz (LkSG) - Co-Author of para 1 (Scope), para 4 (risk management), para 9 (indirect suppliers) and para 10 (documentation and reporting), in Schall/Theusinger/Pour Rafsendjani (Hrsg.), LkSG, 2023
- European Supply Chain Act (CSDDD) nearing the finish line (with Karolin Fitzer), ZASA 2024, p. 9-11
- BAFA investigates possible violations of the German Supply Chain Due Diligence Act (with Karolin Fitzer), ZASA 2023, p. 305-306
- Know your risks - managing and analyzing risks in accordance with the German Supply Chain Due Diligence Act (with Karolin Fitzer), Compliance-Berater 9/2022, p. 327-333
- Data Economy and Digital Compliance - the planned Data Act and its implications for corporate compliance (with Andreas Daum), Recht Digital 2022, p. 514-521
- Compliance before and during cyber attacks - management's obligations and their concrete implementation in practice (with Dr Julia Sophia Habbe), Corporate Compliance 2020
- Digitalization & Compliance - joint study by Noerr and the Technical University of Munich, 2022 (with Dr Julia Sophia Habbe, Prof Dr Peter Bräutigam, Prof Dr Dirk Heckmann, Andreas Daum, download https://www.noerr.com/-/media/downloads/studien/2022/noerr_compliancestudie_onlineversion.pdf
- Digitalization & Compliance - joint study by Noerr and the Technical University of Munich, 2021 (with Dr Julia Sophia Habbe, Prof Dr Peter Bräutigam, Prof Dr Dirk Heckmann, Andreas Daum, download https://www.noerr.com/-/media/downloads/studien/2021/noerr_compliancestudie.pdf
- Haftung eines GmbH-Geschäftsführers im Zusammenhang mit Phishing-E-Mails Entscheidungsbesprechung des OLG Zweibrücken vom 18.08.2022 (4 U 198/21) zur Haftung eines GmbH-Geschäftsführers im Zusammenhang mit Phishing-E-Mails (with Dr Julia Sophia Habbe), Recht Digital 2023, S. 303 ff.
- Entscheidungsbesprechung des Bayerischen Oberlandesgerichts vom 08.04.2020 (1 AR 7/20) zu Fragen des Bank- und Internationalen Rechts, Zeitschrift für Internationales Wirtschaftsrecht 2020
- Market infrastructure in transition - on the regulation of OTC derivatives by EMIR, Liber Discipulorum for Prof. Dr. Dr. Dr. h.c. mult. Michael Martinek, juris 2021
- Systemic relevance and state interconnectedness - a contribution to the new market infrastructure for over-the-counter derivatives by involving a central counterparty, juris Monatszeitschrift 4/2015, p. 139 ff.
- Legal issues on the regulation of over-the-counter derivatives - on the new market infrastructure in the European Union, the United States of America and Singapore, dissertation 2015