Every company is confronted with a multitude of legal challenges. In order to meet all obligations, a compliance management system is required that is precisely tailored to the needs of the company.
The creation of a compliance guideline (code of conduct/code of ethics), possibly a compliance brochure and/or a compliance manual is the theoretically necessary first step.
In order for compliance to be practiced, it must be implemented and regularly maintained.
This can include, for example, an annual letter of assurance and questionnaires that take a closer look at the company's risks. Furthermore, workshops, training and e-learning courses to ensure that employees are and remain aware of the rules and obligations that affect them.
A risk management system is also required in order to assess risks correctly and make them plannable.
In addition, operator obligations should be recorded and updated as part of a legal register or integrated into the management system so that all obligations that are essential for the company can be accessed at any time.
A whistleblower box should also be set up, a compliance committee established and many other measures taken to lay the foundations for a solid compliance system.
The introduction of a compliance system is not only in line with business practice, but is also specifically required by case law. A missing or inadequate compliance system can inevitably lead to personal liability of the management under civil and criminal law.
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