Compliance Management : Compliance & Recht

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

Compliance Annual Planning 2026: Determine Responsibilities and Controls

From horak lawyersPublished on 15 January 2026Contribution posted in Compliance Management

A good annual planning begins with the events in which a breach of law can have significant consequences. For medium-sized companies, clear managers and few reliably executed controls are often more valuable than an ever longer manual.

Internal and external communication – the underestimated core of effective compliance

From horak lawyersPublished on 21 November 2025Contribution posted in Agencies, General, Compliance, Compliance Department, Compliance incentives, Compliance audit, Compliance Officer, Compliance brakes, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Organisation, Compliance programme, Compliance objectivesTagged with goods training, compliance communication, compliance culture, Compliance Management, data protection incident, external communication, Indicative system, internal communication, crisis communication, reporting channels, Emergency communication, Reputation protection, Business communication, company directivesNo comments

Gute Compliance lebt nicht nur von Richtlinien, Checklisten und Prozessen. Sie lebt von Kommunikation. Von Menschen, die verstehen, was wichtig ist – und die wissen, wie sie handeln sollen. Doch genau hier scheitern viele Unternehmen: Regeln existieren, aber niemand kennt sie. Zuständigkeiten sind definiert, aber niemand fühlt sich verantwortlich. Und ausgerechnet im Ernstfall wird geschwiegen, […]

Labour law judgments on compliance

From horak lawyersPublished on 10 February 2025Contribution posted in Labour Court, Employment law compliance, Compliance, Compliance Department, Compliance Manual, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Organisation, Compliance risks, Compliance strategy, Compliance investigation, Compliance officers, Data protectionTagged with Labour Court, Employment law compliance, Compliance investigation, Compliance officers, Fine for companies with insufficient compliance systemNo comments

Hier sind einige aktuelle arbeitsrechtliche Urteile zur Compliance: 1. Arbeitsgericht Erfurt – Widerruf diskreditierender Äußerungen Aktenzeichen: 4 Ca 1285/23Datum: 13. März 2024 Sachverhalt: Ein Mitarbeiter eines Unternehmens (Daimler Truck AG) verschickte eine E-Mail an mehrere Personen im Unternehmen, in der er einem Kollegen vorwarf, Compliance-Regeln nicht einzuhalten. Der beschuldigte Mitarbeiter sah sich dadurch in seinem […]

Liability for compliance violations?

From horak lawyersPublished on 10 February 2025Contribution posted in § 130 OWiG, § 30 OWiG, Compliance, Compliance incentives, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance management systems, Compliance measures, Compliance Officer, Compliance process, Compliance breach, EU Whistleblower Directive, Financial sector, Foreign Correct Practices Act (FCPA), Money laundering, Money laundering directive (AMLD), Liability of companies, Liability law, Reduction of liability, Supply Chain Care Obligations Act (LkSG), Liability of responsible officers, UK Bribery Act, Business criminal law, Whistleblower systemTagged with § 130 OWiG, § 30 OWiG, Fraud, Compliance breach, ESG compliance, EU Whistleblower Directive, Financial sector, Foreign Correct Practices Act (FCPA), Money laundering, Money laundering directive (AMLD), Managing Director, Liability, Liability for compliance violations, Liability of companies, Corruption, Supply Chain Care Obligations Act (LkSG), Liability of responsible officers, UK Bribery Act, Business criminal law, Whistleblower systemNo comments

Die Haftung für Compliance-Verstöße ist ein komplexes und sich ständig weiterentwickelndes Rechtsgebiet, das sowohl im nationalen als auch im internationalen Kontext von großer Bedeutung ist. In den letzten Jahren hat die Rechtsprechung in Deutschland und der EU die Haftungsrisiken für Unternehmen und deren Organe (z.B. Geschäftsführer, Vorstände) im Zusammenhang mit Compliance-Verstößen deutlich verschärft. Hier ist […]

Use of Artificial Intelligence (AI) and Compliance

From horak lawyersPublished on 14 January 2025Contribution posted in Art. 22 GDPR, Art. 35 GDPR, BIAS, Compliance, Compliance audit, Compliance Management, Compliance reporting system, Compliance Organisation, Compliance principles, Data protection, Data protection impact assessment, Data protection law, DSGVO, EU AI Act, KI, AI application, AI system, Whistleblowing systemTagged with Art. 22 GDPR, Art. 35 GDPR, automated decisions, BIAS, Compliance audit, Data protection impact assessment, DSGVO, EU AI Act, KI, AI in the personnel sector, AI algorithms, AI tool, Whistleblowing systemNo comments

Die Nutzung von Künstlicher Intelligenz (KI) im Compliance-Bereich bietet zahlreiche Vorteile, erfordert jedoch rechtliche Absicherung und strategische Maßnahmen, um Herausforderungen zu bewältigen. Mit konkreten Beispielen und der Rolle von Anwälten ergibt sich folgendes Bild: 1. Datenschutz 2. Bias und Diskriminierung 3. Transparenz 4. Haftung 5. Regulatorische Anforderungen 6. Whistleblowing 7. Ethik Zusammenfassung der anwaltlichen Leistungen […]

Risk in compliance law

From horak lawyersPublished on 3 April 2024Contribution posted in General, Supervisory Board, Bank law, CMS, Compliance Department, Compliance audit, Compliance Officer, Compliance brakes, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance risks, Compliance sanctions, Compliance strategy, Compliance objectives, Compliance principles, Compliance management systems, Compliance Management System, Compliance Officer, Compliance process, Compliance rules, digital library, Specialist lawyer, Specialist lawyers, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Reduction of liability, IDW PS 980 Standard, Information security, Insolvency law, IT compliance, IT security, Java, Competition law, Action, Know-how, 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 Anti-corruption laws, Compliance, Compliance Management, Compliance Officer, Compliance Academy, Compliance specialist, Compliance Officer, Data protection provisions, Data protection law, Specialist lawyer, Specialist lawyers, financial losses; or, international law, Compliance law firm, Competition law, Right, Legal consequences, Lawyer (Germany), Regulatory requirements, Reputation risks, Risk, Monitoring mechanisms, Environmental legislation, Values, Economic criminal lawNo comments

Durch die angemessene Identifizierung und Bewältigung von Compliance-Risiken können Unternehmen nicht nur rechtliche Probleme vermeiden, sondern auch das Vertrauen der Stakeholder stärken und langfristige Nachhaltigkeit sicherstellen. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Das Risiko im Compliance-Recht bezieht sich auf die Möglichkeit, dass ein Unternehmen oder eine Organisation gegen geltende Gesetze, Vorschriften oder interne Richtlinien verstößt. Die […]

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. […]

The IT compliance is legal

From horak lawyersPublished on 9 October 2023Contribution posted in Compliance, Compliance Department, Compliance audit, Compliance Officer, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance Organisation, Compliance programme, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance principles, Compliance management systems, Compliance measures, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection, Data protection law, digital library, Specialist lawyer, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Company law, Liability law, Reduction of liability, IT compliance, IT security, Emergency compliance, Lawyers, Risk assessment, Risk assessment, Risk management, Compensation, Harmful software, Vulnerability, Executive Board, ValuesTagged with Cloud Computing, Going Public, Reduction of liability, IT compliance, Lending, Creditworthiness, Boards, Mobile services, Infringements, Criminal proceedings, Monitoring obligationsNo comments

Rufen Sie uns einfach an. Wir beraten Sie gerne. Im Bereich der IT-Landschaft herrschen gesetzliche, unternehmensinterne und vertragliche Regelungen. Mit dem Begriff IT-Compliance können wir in der Unternehmensführung die Einhaltung der Regelungen beschreiben. Compliance bedeutet dabei an sich lediglich, dass die jeweils geltenden rechtlichen Regeln und anerkannten gesellschaftlichen Werten und Normen im Rahmen allen unternehmerischen […]

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 […]

The various jurisdictions of compliance

From horak lawyersPublished on 21 August 2023Contribution posted in General, Incentives, Employment law compliance, Supervisory Board, Bank law, Advice, Works council, Compliance audit, Compliance Officer, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance Organisation, Compliance programme, Compliance verification, Compliance strategy, Compliance structure, Compliance principles, Compliance management systems, Compliance Management System, Compliance process, Compliance rules, Compliance breach, Data protection, Specialist lawyer, Specialist lawyers, Financial compliance risks, Money laundering law, 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 beraten und unterstützen Sie in allen Compliance-Fragen. Die Gestaltung eines wirksamen Compliance-Management-Systems beinhaltet diverse Rechtsgebiete innerhalb eines Unternehmens. Rechtsexperten mit unterschiedlichen Schwerpunkten haben Erfahrung mit den entscheidenden Fragestellungen in den folgenden Compliance-relevanten Rechtsbereichen: Dabei versteht es sich von selbst, dass wir nach der Identifizierung der Risiken, die rechtlichen Maßnahmen eines Compliance-Management-Systems für Ihre konkrete […]