COMPLIANCE & RIGHT · TREATY
Compliance goals turn general expectations into concrete tasks. They describe which risks are dealt with as a matter of priority, who is responsible for them and what progress is being made. The starting point is the company's legal obligations and business model.
Deriving objectives from risks
A high-risk distribution structure needs different priorities than an exclusively regional service provider. Target planning takes into account products, customers, countries, employees and previous incidents. Statutory obligations must be observed; an economic balance cannot legitimise unlawful conduct.
Set measurable results
For example, suitable objectives describe fully audited intermediary contracts, reliable representations or the timely processing of notifications. The mere number of directives says little about their application. In addition to appointments, quality and required proofs are determined.
Editing Conflicts
Cost, speed and control are often in tension. A clear path of escalation prevents employees from resolving these conflicts on their own. Decisions on resources, priorities and reasonable organisational arrangements are documented with their reasons.
Regularly retaxed
New products, markets or legal changes can overtake targets. The management therefore regularly checks whether measures have been completed and are actually effective. A reasoned adjustment decision is more meaningful than the unchanged continuation of an unattainable plan.
Legal classification and advice
Organizational and supervisory obligations are governed by legal form, activity and specific risk situation. An important point of reference is § 130 OWiG. The measures required can only be assessed on the basis of the company concerned. We examine the legal requirements, arrange responsibilities and develop feasible rules and control points.
Four practical examples
The following fictitious cases illustrate typical examination questions. The concrete solution depends on the circumstances of the individual case.
01 · Measurable training goal
A company wants to train all its employees. It also sets out which groups of activities should make certain decisions and how learning needs are recognised.
02 · No notifications as a measure
A low number of clues is considered a success. The company also checks trust, accessibility and quality of processing rather than comparing silence with risk-freeness.
03 · Overdue clearances
Deliveries are waiting for a test for days. One goal combines timely processing with complete evidence and clear representation.
04 · High-risk growth
A new region is being opened up. Target planning includes concrete steps for partner testing, training and local legal clarification.
Your next step
Do you want to transfer the requirements to your company or have a specific process checked? A brief description and a reference to existing deadlines are sufficient for the first contact. We shall vote on the scope of examination and compensation prior to commissioning.