Vorschriften Archive : Compliance & Recht

Automated translation of the German original. Legal terminology may require clarification; please refer to the German text. Deutsch

The philosophical side of compliance management

From horak lawyersPublished on 7 November 2022Contribution posted in § 19 GwG, § 20 GwG, § 21 GwG, § 87 BetrVG, General, Adequacy of CMS, Incentives, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Works council, CMS, Compliance, Compliance Department, Compliance audit, Compliance Officer, Compliance brakes, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance principles, Compliance management systems, Compliance Management System, Compliance Officer, Compliance process, Compliance breach, Compliance progress, Data protection law, Financial compliance risks, Functional dimension, Money laundering law, Management, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, Internal Investigations, IT compliance, Competition law, Design of the CMS, Material dimension, Mock Dawn Raids, Morality, Morals, Standards, Philosophy, Risk assessment, Simulated house search, Status analysis, Criminal law, Structured Compliance, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible personsTagged with Connection, Drive, Workers' rights, Work, Task, Meaning, Sectors, Work experience, Professional liability insurance, Corruption, Bribery, Business activities, Evaluation, Awareness, Blueprint, Business administration, Chief Compliance Officer, Compliance, Compliance Officer, Compliance consulting, Compliance issues, Compliance management systems, Compliance management, Compliance Officer, D&O insurance, Dilemma, Directors-and-Officers Insurance, Enforcement, Ethical, Specialist lawyers, Ability, Function, for, Law, Violations of law, Legislation, Feel, Reason, Basis, Liability, Liability risk, Main, identify, Computer science, Information science, Law, Lawyers, legal, Manager liability insurance, Trademark rights, Mechanisms, Morality, Motifs, Clauses, Philosophy, Philosophical, practice, Law, Law, legal science, Reflection, sanction, Creates, Non-morbidity, Morality, Social standards, Environmental protection, immoral, Company, Company, Judgment, Anchor, Responsibility, (see below)., request, Prevention, Property liability insurance, Insurance, Hidden, Requirements, Mainly, Values, Value system, howNo comments

Umweltschutz, Markenrechte oder Arbeitnehmerrechte – das sind die speziellen Bereiche, auf die sich Compliance konzentriert. Compliance bedeutet die Verankerung von Regeln innerhalb eines Unternehmens. Die Regeln geben den ethischen Standard eines Unternehmens wieder und sollen vor allem Mechanismen erschaffen, um Regel- und Gesetzesverstöße zu identifizieren und zu sanktionieren. Wir beraten und unterstützen Sie in allen […]

Hidden values in the law

From horak lawyersPublished on 11 October 2022Contribution posted in General, Adequacy of CMS, Incentives, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Works council, CMS, Compliance, Compliance Department, Compliance incentives, Compliance audit, Compliance brakes, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance Management System, Compliance measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection law, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Company law, Reduction of liability, IDW PS 980 Standard, Insolvency law, Internal Investigations, IT compliance, Competition law, Design of the CMS, Material dimension, Mock Dawn Raids, Morality, Morals, Standards, Emergency compliance, Personal dimension, Philosophy, Product liability law, Risk assessment, Risk assessment, Compensation, Simulated house search, Single Standard, Status analysis, Criminal law, Structured Compliance, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Association sanctions law, Insurance law, Culture of trust, Executive Board, Values, ValuesTagged with Corruption, Bribery, Character, Compliance, Beginnings of compliance, Compliance consulting, Compliance principles, Compliance management systems, Compliance Officer, Dilemma, Enforcement, Compliance, Consistent, Initial advice, Specialist lawyers, Business, Law, Feel, Basic values, Conflict, Human, People, Human, Morality, standard-based, Clauses, Philosophy, Pride, Lawyer (Germany), Rules, Even, Self-responsibility, Non-morbidity, Synergies, immoral, Company, Company, Prevention, Culture of trust, Requirements, Who, Value, Values, Values compass, value-basedNo comments

Compliance in einem Unternehmen zu praktizieren heißt nicht, starr an Paragrafen und Vorschriften festzuhalten. Selbst wenn etwas den Regeln entspricht so kann es trotzdem sittenwidrig oder unmoralisch sein. Dieses Dilemma führt dazu, dass Compliance scheitert, wenn es ausschließlich auf Regeln ausgerichtet ist. Dem reinen Compliance-Management fehlt bekanntlich ein Gespür für die Durchsetzung ihm unbekannter Werte. […]

Compliance Officer with Liability and Responsibility

From horak lawyersPublished on 4 August 2022Contribution posted in General, Supervisory Board, Compliance, Compliance Department, Compliance Officer, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance Officer, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance management systems, Compliance measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Financial compliance risks, Managing Director, Management, Liability law, Reduction of liability, Risk assessment, Risk assessment, Compensation, Insurance law, Executive BoardTagged with Division, also, on, Task, Detach, Supervisory Board, Representative, Conditions, for example:, Taking into account, Professional liability insurance, Customs, Penalties, Chief Information Officer, Chief Compliance Officer, Compliance, Compliance Officer, Compliance Academy, Compliance specialist, Compliance measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, D&O insurance, Cover, Directors-and-Officers Insurance, Beginners, Managing Director, Management, Business objectives, Laws, Liability, Liability issues, Liability law, Reduction of liability, Liability risk, Recommendations for action, Managers, Manager liability insurance, Post-negotiation, Institutions, Programme, Legal expenses, Directives, Risk, Risk assessment, Risk assessment, Compensation, Training, Seminar, Strategy, Structure, System, Company, Responsibility, Property liability insurance, Commitment, Insurance, Insurance law, Requirements, Requirements, Executive Board, Decision of the BoardNo comments

Mit einer Directors-and-Officers-Versicherung (Directors-and-Officers-Versicherung, Organ- oder Manager-Haftpflichtversicherung) kann ein Unternehmen seinen Compliance-Officer im zivilrechtlichen Rahmen schützen. Schließlich steht der Compliance-Officer in Haftung und Verantwortung. Eine D&O-Versicherung ist eine Vermögensschadenhaftpflichtversicherung und zählt zu den Berufshaftpflichtversicherungen. Der Chief-Compliance-Officer trägt das höchste Haftungsrisiko. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Versicherung abschließen Eine D&O-Versicherung schließt ein Unternehmen für seine Organe […]

Internal Compliance Officer

From horak lawyersPublished on 17 June 2022Contribution posted in Compliance, Compliance Department, Compliance Officer, Compliance Officer, Compliance objectivesTagged with Compliance Department, Compliance requirements, Compliance Officer, Compliance security, Business decisions, Management, Business objectives, Laws, Boards, Business sectors, Business questions, RequirementsNo comments

Je größer das Unternehmen, desto umfassender die Compliance-Anforderungen. Ein einzelner interner Compliance-Officer kann daher schnell gefordert sein. Compliance verzweigt sich schließlich in sämtliche Unternehmensbereiche in denen Gesetze und Vorgaben herrschen. Schon im Lichte der vorhandenen Regelungsdichte für Unternehmen und Unternehmer, grenzüberschreitender Aktivitäten, der zunehmende Regulierung und insbesondere der besonderen Haftung für die Leitungsorgane muss heute […]

Death Sin 3: Preparing a Bad Working Group

From horak lawyersPublished on 19 April 2022Contribution posted in Compliance, Compliance Organisation, Compliance programme, Compliance strategy, Compliance objectives, IT complianceTagged with Chief Information Officer, CIO, Computer systems, Experiences, Skills, Error detection, Information technology, Knowledge, RequirementsNo comments

Kenntnisse, Fähigkeiten, Erfahrungen – zu wenig davon in einer Arbeitsgruppe bringt Probleme. Ein Chief Information Officer (CIO) sollte unbedingt eine hochqualifizierte Arbeitsgruppe für den Bereich Compliance zusammenstellen. Unzureichend vorbereitete Teams können sogar riskant sein. Der CIO trägt die Verantwortung für die Strategien in den Bereichen Informationstechnologie (IT) und Computersysteme mit der Absicht die Ziele des […]