Aufsichtsbehörde : Compliance & Recht

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Searches 2026: Preparing reception, IT and management

From horak lawyersPublished on 15 October 2026Contribution posted in Supervisory authority

On an unannounced official visit, employees need a short, achievable action plan. Clear contacts, factual documentation and the respect of the respective rights are crucial.

Overview of developments in compliance law 2025

From horak lawyersPublished on 17 June 2025Contribution posted in § 130 OWiG, Agency contracts, General right of personality, Incentives, Supervisory authority, Compliance Recommendations, Compliance management systems, Energy law, Liability of companies, Crisis, Patent attorneys, Risk assessment, Transparency Register, Competition law, Whistleblower system, BranchesTagged with AIAct, Barrier-free, Compliance2025, CSRD, Data protection, Data security, Digital law, DSGVO, ESG, Export control, Supply chains and business partners, Sustainability, NIS2, WhistleblowerNo comments

2025 ist geprägt von flankierenden Regularien: Nachhaltigkeit, digitale Sicherheit, KI-Governance und Datenschutz stehen im Fokus. Wer rechtzeitig risikoorientierte Strukturen schafft und Compliance digital verankert, minimiert Sanktionen und steigert Reputation. Lieferketten‑Compliance & Nachhaltigkeitsberichterstattung Die EU-Entwaldungsverordnung greift ab 30. Dezember 2025 – strenge Vorgaben gegen illegale Rodung, auch KMU müssen aufpassen. Die Batterieverordnung (Sorgfaltspflicht ab 18. August 2025) und […]

Excluding third-party risk

From horak lawyersPublished on 5 December 2023Contribution posted in General, Incentives, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Advice, Works council, Compliance, Compliance Department, Compliance incentives, Compliance audit, Compliance Officer, Compliance brakes, Compliance Recommendations, Compliance Management, Compliance reporting system, Compliance Officer, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance management systems, Compliance Management System, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Data protection, Data protection law, digital library, Specialist lawyer, Specialist lawyers, Financial compliance risks, Functional dimension, Management, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, Insolvency law, Internal Investigations, International Company Law, IT compliance, IT security, Java, Competition law, Action, Know-how, Design of the CMS, Material dimension, Metropolises, Mock Dawn Raids, Morals, Standards, Emergency compliance, Patent attorneys, Personal dimension, personal data, Product liability law, Lawyers, Risk assessment, Risk assessment, Risk management, Compensation, Vulnerability, Simulated house search, Single Standard, Status analysis, Criminal law, Structured Compliance, Telephone control, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Employment law compliance, Bank law, Compliance, Compliance Management, Compliance Officer, Compliance specialist, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, Money laundering law, Company law, Compliance law firm, Competition law, Morality, Right, Risk, Insurance law, Economic law, Economic criminal lawNo comments

Ein Weg, um die Risiken zu ermitteln, zu verhüten, und schließlich zu mindern, ist eine risikoabhängige Due-Diligence-Prüfungen über Geschäftspartner. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Wir sind Fachanwälte. Nutzen Sie eine erste Beratung mit uns. Systematische Untersuchungen und Evaluationen von Konzerngesellschaften gehört zur Prophylaxe eines Unternehmens gegen Compliance-Risiken. Auf Basis der Ergebnisse kann eine Risikosteuerung erfolgen. […]

Enjoying corporate privilege

From horak lawyersPublished on 13 September 2023Contribution posted in General, General right of personality, Adequacy of CMS, Employment law compliance, Supervisory authority, Supervisory Board, Advice, CMS, Compliance, Compliance Department, Compliance incentives, Compliance Officer, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance Officer, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance structure, Compliance principles, Compliance management systems, Compliance measures, Compliance Officer, Compliance rules, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Company law, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, Internal Investigations, IT security, Java, Competition law, Action, Know-how, Material dimension, Metropolises, Mock Dawn Raids, Morality, Morals, Personal dimension, personal data, Philosophy, Product liability law, Lawyers, Risk management, Compensation, Harmful software, Vulnerability, Simulated house search, Single Standard, Status analysis, Criminal law, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Employment law compliance, Bank law, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, Money laundering law, Company law, international law, Compliance law firm, Competition law, Morality, Right, Lawyer (Germany), Risk, Company, Insurance law, Values, Economic law, Economic criminal lawNo comments

Wir beraten und unterstützen Sie in allen Compliance-Fragen. Aus kartellrechtlicher Perspektive ist eine genaue Beobachtung wichtig für die Einschätzung der Compliance-Risiken. Mit kartellrechtlichen Gefahren steigt die Bedeutung von Compliance. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Vereinbarungen zwischen Wettbewerbern verboten Das Kartellrecht verbietet wettbewerbsbeeinträchtigende Vereinbarungen zwischen Wettbewerbern wie Absprachen über Preise, Preisänderungen und Kalkulationen sowie über das […]

Organizing compliance processes

From horak lawyersPublished on 6 July 2023Contribution posted in General, General right of personality, Adequacy of CMS, Incentives, Supervisory authority, Bank law, Advice, CMS, Compliance Department, Compliance incentives, Compliance Officer, Compliance brakes, Compliance Manual, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance principles, Compliance management systems, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Specialist lawyers, Money laundering law, Managing Director, Management, Company law, Reduction of liability, IDW PS 980 Standard, Information security, International Company Law, IT compliance, Action, Design of the CMS, Crisis, Material dimension, Metropolises, Mock Dawn Raids, Morality, Morals, Standards, Emergency compliance, Patent attorneys, Product liability law, Lawyers, Risk assessment, Risk management, Compensation, Vulnerability, Simulated house search, Criminal law, Structured Compliance, Telephone control, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, BranchesTagged with Bank law, Compliance Management, Compliance Officer, Compliance Academy, Compliance Officer, Specialist lawyer, Specialist lawyers, international law, Compliance law firm, Morality, Right, Company, Insurance law, Values, Economic lawNo comments

Die im Lichte des Compliance sich ergebende Organisation wird ergänzt durch Absicherungsstufen in den Entscheidungsfindungsprozessen und in der gesamten Aufsichtsorganisation. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Geltende Gesetze einhalten Das große Ziel einer Compliance-Organisation ist die konzernweite Einhaltung aller geltende Gesetze und Regeln. Die bestmögliche Beratung und Unterstützung in allen Konzernbereichen soll die Organisation gewährleiten. Wir beraten […]

Information and communication required

From horak lawyersPublished on 12 June 2023Contribution posted in General right of personality, Adequacy of CMS, Incentives, Supervisory authority, Supervisory Board, Bank law, Advice, Works council, CMS, Compliance, Compliance Department, Compliance incentives, Compliance audit, Compliance Officer, Compliance brakes, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance programme, Compliance verification, Compliance risks, Compliance strategy, Compliance structure, Compliance objectives, Compliance principles, Compliance management systems, Compliance Management System, Compliance measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Specialist lawyers, Financial compliance risks, Money laundering law, Managing Director, Management, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, International Company Law, IT compliance, IT security, Java, Competition law, Action, Know-how, Design of the CMS, Crisis, Material dimension, Metropolises, Morality, Morals, Standards, Emergency compliance, Patent attorneys, Personal dimension, personal data, Philosophy, Product liability law, Lawyers, Risk assessment, Risk management, Compensation, Harmful software, Vulnerability, Simulated house search, Single Standard, Status analysis, Criminal law, Structured Compliance, Telephone control, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Employment law compliance, Bank law, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, Money laundering law, Company law, international law, Compliance law firm, Competition law, Morality, Right, Lawyer (Germany), Risk, Company, Insurance law, Values, Economic law, Economic criminal lawNo comments

Die Fähigkeit eines Unternehmens, sich an geltende Gesetze, Richtlinien und freiwillige Grundsätze zu halten, spiegelt sich in seiner Reputation wider. Wir bieten Compliance-Schulungen an. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Vom Seminar für Einsteiger bis zur Schulung auf dem Weg zur Compliance-Fachkraft bieten wir verschiedene Level an. Die wiederkehrende Schulung der Mitarbeiter sowie interne als auch […]

Monitor and improve CMS

From horak lawyersPublished on 25 April 2023Contribution posted in General, Adequacy of CMS, Incentives, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Advice, Works council, CMS, Compliance, Compliance Department, Compliance incentives, 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 measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Specialist lawyers, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, Internal Investigations, International Company Law, IT compliance, IT security, Java, Competition law, Action, Know-how, Design of the CMS, Crisis, Material dimension, Metropolises, Mock Dawn Raids, Morality, Morals, Standards, Emergency compliance, Patent attorneys, Personal dimension, personal data, Philosophy, Product liability law, Lawyers, Risk assessment, Risk assessment, Risk management, Compensation, Harmful software, Vulnerability, Simulated house search, Single Standard, Status analysis, Criminal law, Structured Compliance, Telephone control, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Employment law compliance, Bank law, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, Money laundering law, Company law, international law, Compliance law firm, Competition law, Morality, Right, Lawyer (Germany), Risk, Company, Insurance law, Values, Economic law, Economic criminal lawNo comments

Wir sind deutschlandweit vertreten. Besuchen Sie unseren Hauptsitz sowie unsere Zweigstellen. IDW PS 980 ist die laufende Überwachung und Verbesserung des Compliance-Management-System (CMS). Angemessenheit und Wirksamkeit des CMS werden überwacht. Eine ausreichende Dokumentation des CMS ist für die Überwachung erforderlich. Ist das Compliance-Management-System angemessen und zeitgemäß? Funktioniert es noch? Das sind die Fragen, die sich […]

Incentives in the Compliance Management System

From horak lawyersPublished on 20 March 2023Contribution posted in General, Adequacy of CMS, Incentives, Employment law compliance, Supervisory authority, Advice, CMS, Compliance, Compliance Department, Compliance incentives, Compliance Officer, Compliance Manual, Compliance Recommendations, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance principles, Compliance management systems, Compliance Management System, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Specialist lawyer, Functional dimension, Money laundering law, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, Internal Investigations, Know-how, Design of the CMS, Crisis, Material dimension, Standards, Emergency compliance, Patent attorneys, Personal dimension, personal data, Lawyers, Risk assessment, Risk assessment, Risk management, Compensation, Simulated house search, Single Standard, Status analysis, Criminal law, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Incentives, Employment law compliance, Bank law, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Management System, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, Money laundering law, Company law, international law, Compliance law firm, Competition law, Morality, Right, Lawyer (Germany), Risk, Company, Insurance law, Values, Economic law, Economic criminal lawNo comments

Wir sind deutschlandweit vertreten. Besuchen Sie unseren Hauptsitz sowie unsere Zweigstellen. Ein Anreiz ist etwas, das Interesse erregt. Anreize können Menschen motivieren, etwas zu tun und beispielsweise in materieller oder finanzieller Form auftreten. Unsere gesellschaftsrechtliche Praxis steht Ihnen dabei nicht nur beratend zur Seite, sondern wir unterstützen Sie bei der Umsetzung des Compliance-Management ebenso, wie […]

Penalties in the compliance management system

From horak lawyersPublished on 24 February 2023Contribution posted in General, Adequacy of CMS, Incentives, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Advice, Works council, CMS, Compliance, Compliance Department, Compliance incentives, 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 measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Specialist lawyers, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, Internal Investigations, International Company Law, IT compliance, IT security, Java, Competition law, Action, Know-how, Design of the CMS, Crisis, Material dimension, Metropolises, Mock Dawn Raids, Morality, Morals, Standards, Emergency compliance, Patent attorneys, Personal dimension, personal data, Philosophy, Product liability law, Lawyers, Risk assessment, Risk assessment, Risk management, Compensation, Harmful software, Vulnerability, Simulated house search, Single Standard, Status analysis, Criminal law, Structured Compliance, Telephone control, Territorial dimension, Transparency Register, Environmental legislation, Uncategorized, Judgments, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible persons, BranchesTagged with Workplace, Employment law compliance, Bank law, Transport, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Officer, Data protection law, Specialist lawyer, Specialist lawyers, negligent, termination without notice, Money laundering law, Company law, international law, Compliance law firm, Competition law, Co-operative, Morality, Right, Lawyer (Germany), Risk, Sanctions, Penalty, Company, Insurance law, Warning, wilful, Values, Economic law, Economic criminal lawNo comments

Eine Strafe ist eine Sanktion für ein bestimmtes Verhalten. Normalerweise straft der Erzieher, der Staat oder der Vorgesetzten ein Unrecht. Dafür muss das Verhalten jedoch zuerst als unangebracht qualifiziert sein. Strafen sind in der Rechtswissenschaft, Theologie, Philosophie, Psychologie und in den Erziehungswissenschaften bedeutend. Wir sind Fachanwälte. Nutzen Sie eine erste Beratung mit uns. Arten von […]

Check compliance properly

From horak lawyersPublished on 23 December 2022Contribution posted in General, Adequacy of CMS, Supervisory authority, Supervisory Board, Advice, Compliance, Compliance Department, Compliance audit, Compliance Officer, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance principles, Compliance Officer, Data protection, Specialist lawyer, Specialist lawyers, Management, Company lawTagged with Adequacy, Employment law compliance, Auditor, Bank law, Compliance Management, Compliance Officer, Compliance reviews, Data protection law, Authenticity, Specialist lawyer, Leader, Money laundering law, Company law, international law, Compliance law firm, Competition law, Conception, Common sense, Insurance law, Effectiveness, Economic law, Economic criminal lawNo comments

Konzeption, Angemessenheit und Wirksamkeit, das sind die drei Prüfstufen, die eine Prüfung des Compliance-Management-Systems durchläuft. Für den unabhängigen Auditor ist dabei interessant, ob die geltenden Richtlinien und gesetzlichen Vorschriften im Unternehmen eingehalten werden. Ein Compliance-Audit stellt eine umfassende Prüfung innerhalb eines Unternehmens dar. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Zweck der Compliance-Prüfung Mit einer Compliance-Prüfung möchten […]