Every company faces a multitude of legal challenges. In order to fulfill all obligations, a compliance management system is required, which is tailor-made for the needs of the company.
The preparation of a compliance guideline (Code of Conduct / Code of Ethics) and, if applicable, a compliance brochure and / or a compliance manual might be a necessary first step.
In order to be able to live compliance, it must be implemented and maintained regularly.
This may include, for example, an annual letter of assurance and questionnaires that take a closer look at the risks of the company. Furthermore, workshops, trainings and e-learning, hence the employees are sensitized and remain aware of the rules and obligations concerning them.
In addition, a risk management system is required to correctly assess risks and make them plannable.
A whistleblower box should also be set up, a compliance committee established, and many other measures taken to lay the foundation for a sound compliance system.
The introduction of a compliance system does not only comply with the practice of business life but is also specifically required by the jurisdiction. A missing or inadequate compliance system can inevitably lead to personal liability of the management at civil and criminal law level.
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