COMPLIANCE & RIGHT · TREATY
A resilient compliance culture can be seen where business pressure and legal boundaries meet. Employees must be able to see that the management expects legitimate conduct, allows questions and factually clarify infringements. A code of conduct supports this culture, but does not replace reliable decisions.
Leadership and Responsibility
Management and executives set the standard by their own approvals, communication and allocation of resources. Those who set high sales targets must at the same time ensure that there are permissible ways to achieve them. Illegal abbreviations must not be rewarded in fact.
A clear code of conduct
The Code should describe the actual situations of conflict: gifts, contacts with competitors, conflicts of interest, confidential information and handling of notices. Short decision-making rules and achievable contact persons are more helpful than standard confessions without procedures. Special guidelines can regulate details, but must match the code.
Notes and open questions
A culture of demand is created by reliable processing. Reporters should know who they can contact and how information is handled. Legal whistleblower protection, data protection and the rights of accused persons remain to be examined independently. Neither any complaint nor any critical demand may be equated with a proven breach of law.
Monitoring effectiveness
Discussion rounds, comprehensible case evaluations and appropriate interviews can show whether rules are understood. Individual key figures are in need of explanation: Few messages can mean both low problems and lack of trust. Knowledge is translated into training, leadership and control.
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 · Model of management
A leader wants to bypass a permit. The process is processed according to the same rules as other cases and the decision is clearly justified.
02 · Notice from the distribution
An employee reports a problematic commission. Managers provide for a factual examination and avoid personal disadvantages due to a protected notification.
03 · Unclear code of conduct
Employees do not understand an abstract rule. The specification is explained with concrete decisions, contacts and examples.
04 · Conflict of objectives in the annual accounts
A sales target creates pressure on unacceptable commitments. Target system and clearances are adapted in such a way that legitimate behaviour is practically possible.
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.