Risikoanalyse : Seite 2 von 2 : Compliance & Recht

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

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. […]

Role of philosophy in compliance management

From horak lawyersPublished on 5 October 2022Contribution posted in § 19 GwG, General, Adequacy of CMS, Supervisory authority, Supervisory Board, 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 Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Money laundering law, Company law, GwG, Liability law, Reduction of liability, IDW PS 980 Standard, IT compliance, Competition law, Design of the CMS, Material dimension, Mock Dawn Raids, Morality, Morals, Emergency compliance, Personal dimension, Philosophy, Product liability law, Risk assessment, Risk assessment, Compensation, Single Standard, Structured Compliance, Territorial dimension, Environmental legislation, Uncategorized, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Values, Economically eligible personsTagged with Compliance Academy, Excitation, Instructions, Task, Basis, Serviced, For, Contribution, Advising, offer, Blueprint, Compliance, Compliance Academy, Compliance specialist, Compliance issues, Compliance management systems, Compliance management, Law, Laws, Legislative bodies, Basic Convincations, Life, Morality, Morals, Standards, Lawyer (Germany), Case law, Law, Reflection, Role, Non-compliance, Template, Training, will be, Values, Value cannon, Values, ValuationNo comments

Moral, Werte, Sittlichkeit – die Philosophie liefert die Blaupause für Gesetze. Dafür ist eine ethische Reflexion erforderlich. Obwohl das Compliance-Management hauptsächlich eine juristische Aufgabe darstellt, spielt auch die Philosophie eine bedeutende Rolle. Das heißt die philosophische Seite des Compliance-Managements zeigt sich nicht nur in den Rechtswissenschaften selbst, sondern auch in der Gesetzgebung. Wir beraten und […]

Values in Compliance

From horak lawyersPublished on 30 September 2022Contribution posted in § 19 GwG, § 20 GwG, § 21 GwG, § 87 BetrVG, General, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, Works council, Compliance, Compliance Department, Compliance incentives, Compliance audit, Compliance Officer, Compliance brakes, Compliance Manual, Compliance Officer, Compliance Organisation, Compliance programme, Compliance verification, Compliance risks, Compliance sanctions, Compliance strategy, Compliance structure, Compliance objectives, Compliance Management System, Compliance Officer, Compliance process, Compliance rules, Compliance breach, Compliance progress, Data protection law, Financial compliance risks, Functional dimension, Managing Director, 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, Standards, Personal dimension, Product liability law, Risk assessment, 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, Culture of trust, Executive Board, Values, Economically eligible personsTagged with Character, Code, Compliance, Compliance Academy, Compliance specialist, Conduct, Compliance, Beginners, Ethical, Business, Business relations, Basic values, Integre, Morality, Standards, Company, Corporate mission statement, Corporate valuesNo comments

Der innere Werte-Kompass eines Menschn ist nicht ersetzbar durch Regeln. Das macht Werte im Compliance erforderlich. Ein Werte-Kompass ermöglicht Menschen zwischen richtig und falsch zu unterscheiden. Unternehmen können ihren Charakter stärken indem sie Grundwerte klar definierten und im täglichen Geschäft umsetzen. Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M. Unternehmen sollten Compliance nicht nur als die Einhaltung von […]

Creating synergies through a culture of trust

From horak lawyersPublished on 22 September 2022Contribution posted in § 19 GwG, § 20 GwG, § 21 GwG, 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 Officer, Compliance brakes, Compliance Manual, Compliance Recommendations, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, 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, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, Company law, Liability 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, Standards, Emergency compliance, Personal dimension, 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, Association sanctions law, Procurement law, Insurance law, Culture of trust, Executive Board, Values, Economically eligible personsTagged with Voted, Expiration, Complete, Purpose, Active, Activities, Other, Requirements, Commission, Adjustment, Approaches, Working Party, exercise, Impact, mastery, Both, Advising, Sector, Sectors, Work experience, Professional liability insurance, Business activities, Business administration, Chief, Chief Compliance Officer, CIO, Compliance, Compliance analysis, Beginnings of compliance, Compliance requirements, Compliance Officer, Compliance consulting, Compliance development, Compliance issues, Compliance Governance, Compliance principles, Compliance management systems, Compliance Management System, Compliance Management Systems, Compliance management, Compliance Manager, Compliance managers, Compliance Officer, Compliance officers, Compliance professionals, Compliance Steps, Computer systems, D&O insurance, Directors-and-Officers Insurance, The Court of Justice, Properties, Experience, Experiences, add, Results, Technical departments, Specialist lawyers, Subject areas, Skilled workers, Ability, Skills, Business operations, Management, Laws, Laws, Searched, win, Governance structure, Governance structure, cross-border, Basis, Liability, Liability risk, Händering, High efficiency, highly qualified, Computer science, Information, Information flow, Information technology, Information science, In-house, within, in particular:, integrity, Internal, IT, IT compliance, Merchant, Knowledge, Combination, Comments, Skills, Controls, Costs, Cost-intensive, Boards, Manager liability insurance, Lack of, lacks, more, Michael, reduce, Demand, Standards, standard-based, standard-based, Use, Officer, Institutions, Principles, Pride, Problems, Processes, Qualified persons, Framework, Reactions, legal, Lawyer (Germany), Lawyers, Legal compliance, Legal understanding, legal science, reduce, Control density, regulatory, Regulation, correct, correct, Risk coverage, Risk, Collect, all airports, create, Creates, Flap, Bad, finally, closes, Quick, Interface, protect, Self-responsibility, September, Security, Secure, to ensure, Standards, Strengthen, Strategies, Strategic, Unstructured, Studies, Synergies, Teams, expensive, Deadly Sin, of the, Overview, Monitored, more comprehensive, Dealing with, All the same, necessarily, our, Company, Company, Business architecture, Business sectors, Company operation, Business management, Entrepreneurs, Entrepreneurship, different, support, Insufficient, Persons responsible, Responsibility, Ratio, Property liability insurance, Missed, Confidence, Insurance, Understanding, Culture of trust, Confidence cultureGeneral, familiar, Branched, Total, Total, Prepare, prepared, Requirements, existing, Training, Values, value-based, value-based, Values, Main, again, civil law, First, Increasing, put together, CompetenceNo comments

Man nehme eine Prise wertebasierte Compliance-Anfänge und ein paar normenbasierten Compliance-Grundlagen und schon haben wir hocheffizientes Compliance-Management für ein Unternehmen. Sowohl Werte als auch Normen können nämlich richtig abgestimmt aufeinander das Compliance-Management eines Unternehmens stärken. Unternehmen sollten demzufolge durch das Compliance-Management eine Vertrauenskultur schaffen und Selbstverantwortung festigen. Werte und Normen sollten im Einklang miteinander stehen. […]

Compliance development of standards to values

From horak lawyersPublished on 20 September 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 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 management systems, 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, GwG, Liability 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, Standards, Emergency compliance, Personal dimension, 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, Association sanctions law, Procurement law, Insurance law, Executive Board, Values, Economically eligible personsTagged with Purpose, Requirements, Incentives, Definition, Advising, do it, Compliance, Compliance Academy, Compliance specialist, Compliance issues, Compliance violations, therefore:, Beginners, Close-meshed, Decision situations, Ethics, In fact,, requests, Continued, works, Opportunities, grown, Uniformity, Challenges, Ideals, integrity, Complexity, Controls, control, Method, Michael, Modern, modern, possible, Morality, standard-based, standard-based, standards-based, Unoriented, positive, Practice, Lawyer (Germany), reduce, Rules, all airports, Training, severe, Seminar, Strengthening, Systems, Systems, Company, Business culture, support, Connection, Dates, Communication, different, Further development, World, Values, value-based, value-based, Values, Economy, Economic crimeNo comments

Eine Compliance, die orientierungslos und blind für Moral ist, kann die Anforderungen der modernen Wirtschaft nur begrenzt erfüllen. Moderne Unternehmenskultur erfordert die Weiterentwicklung von normenbasierter hin zu einer wertebasierten Compliance. Compliance sollte demzufolge aus Integrität hervorgehen. Integrität ist ein Begriff aus der Ethik und fordert Gleichförmigkeit zwischen den eigenen Idealen und Werten und der faktischen […]

Confidence as an indispensable factor

From horak lawyersPublished on 31 August 2022Contribution posted in § 19 GwG, § 20 GwG, General, Adequacy of CMS, Employment law compliance, Supervisory authority, Supervisory Board, Bank law, CMS, Compliance, Compliance Department, Compliance audit, Compliance Management, Compliance Management System, Compliance reporting system, Compliance Officer, Compliance programme, Compliance verification, Compliance sanctions, Compliance strategy, Compliance objectives, Compliance measures, Compliance process, Compliance rules, Compliance breach, Data protection law, Financial compliance risks, Functional dimension, Money laundering law, Managing Director, Management, GwG, Liability law, IDW PS 980 Standard, Insolvency law, Internal Investigations, Competition law, Design of the CMS, Material dimension, Mock Dawn Raids, Emergency compliance, Personal dimension, Risk assessment, Risk assessment, Compensation, Simulated house search, Status analysis, Criminal law, Structured Compliance, Territorial dimension, Transparency Register, Association sanctions law, Association sanctions law, Procurement law, Insurance law, Executive Board, Economically eligible personsTagged with Drive, Basis, describe, bonum, Compliance, Compliance Academy, Compliance efforts, Compliance efforts, Compliance consulting, Compliance specialist, Compliance management systems, Venerable, Self-reliant, Beginners, to comply with, Feeling, Not applicable, Origin, Success, Replaced, Specialist lawyers, Factor, Social, Laws, Laws and standards, in principle, left behind, Idol, integrity, Merchant, Complexity, control, Level, Management tool, Measure, Together, Modern, Check, Right, Lawyer (Germany), Rule-based, Rules, Regulations, Callback, Training, Seminar, Series, Rigidity, systematic, Virtue, Essential, Company, Origins, USA, common, Simplified, Commit, different, Confidence, Way, World, if:, Economic life, Economic scandals, ObjectiveNo comments

Die ansteigende Starrheit und Komplexität der Gesetze und Normen kann für viele Unternehmen schwierig werden. Die Folge ist, dass immer umfangreicherer Compliance-Anstrengungen erforderlich werden. Ein wichtiger Faktor ist in diesem Zusammenhang das Vertrauen. Compliance und Vertrauen sind eng aneinander gekoppelt. Vertrauen kann man nämlich als einen unentbehrlichen Faktor beschreiben. Da Vertrauen sowohl prüfen als auch […]

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 […]

First Compliance Steps of a Compliance Officer

From horak lawyersPublished on 24 June 2022Contribution posted in General, Compliance, Compliance Department, Compliance Officer, Compliance Management, Compliance Management System, Compliance Officer, Compliance Organisation, Compliance risks, Compliance strategy, Compliance objectives, Compliance measures, Risk assessment, Risk assessmentTagged with Approval management, Compliance, Compliance analysis, Compliance Management System, Compliance Steps, Invitations, Gifts, Organisation, Risk, Whistleblower, Whistleblowing softwareNo comments

Zu den ersten Compliance-Schritte eines Compliance-Officer gehört der Aufbau eines Compliance-Management-Systems. Für einige Unternehmen ist Compliance etwas völlig neues und sie machen sich gerade erst damit vertraut erste Compliance-Schritte zu unternehmen. Andere Unternehmen wiederum haben schon ein vollwertiges Compliance-Management-System etabliert. Wir sind Fachanwälte. Nutze Sie eine erste Compliance-Beratung. Compliance-Analyse Der Compliance-Officer beschäftigt sich zunächst mit […]

Compliance in 6 steps

From horak lawyersPublished on 20 October 2020Contribution posted in Compliance rules, Emergency compliance, Risk assessment, Status analysisTagged with Compliance Officer, Compliance Board, Compliance rules, Compliance status, Compliance breach, Implementation Compliance, Emergency plans, WhistleblowingNo comments

Compliance kann in 6 Schritten strukturiert angewendet werden. 1. Risikoanalyse: Identifizierung der Risiken und rechtliche Anforderungen Jede Compliance-Analyse wird in der Regel mit der Identifizierung der allgemeinen und branchen- oder unternehmensspezifischen Risiken beginnen, in denen sich das Unternehmen bewegt. Dabei sind die gesetzlichen Rahmenbedingungen und die hieraus resultierenden Compliance Anforderungen zu ermitteln. 2. Statusanalyse: Aktueller […]