Stephan KolterCompliance Risk Management – Ein risikobasierter Ansatz für den Aufbau und die Zertifizierung von Compliance Management Systemen

About this book deutschenglish

The former fundamental debate around an obligation to implement a compliance management system has become obsolete in light of drastic fines due to compliance violations, in particular with regards to cross-border business transactions. However, the concrete design of a compliance management system poses a significant challenge for business leaders, in particular considering the constant increase of the regulatory complexity. Existing compliance standards are of little value in that respect as they tend to be quite schematic, not taking the individual risk exposure of an organization into account. This also hinders an efficient allocation of corporate resources as compliance management should be based on the actual risk situation. The focus of this analysis aims at closing this gap by providing a risk-based approach to implement a compliance management system effectively in an organization. The legal focus lies with anti-corruption compliance, considering in particular extraterritorial law like the Foreign Corrupt Practices Act and the UK Bribery Act as well as uniform sentencing policies like the United States Sentencing Guidelines. A corresponding certification structure allows for actually proving the implementation of an effective compliance management system. Being able to provide such evidence in case of compliance violations could eventually have a positive impact in the realm of sentencing.

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