Frequently Asked Questions
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Of course!

The new supply chain due diligence obligations (in particular the LKSPG) should prevent violations of human rights and violations of environmental protection along the supply chain. These duties are important for “global players” as well as SMEs. Therefore affected companies should concentrate on the date of implementation of the necessary requirements.

The failure to set up a CMS is usually not punishable. However, if a rule is violated because the appropriate control was not provided, the management can be personally liable for negligence offenses according to the Criminal Code and the company can even be liable according to the VbVG.

Many data protection processes can be handled transparently and efficiently with software solutions. Automations simplify the fulfillment of compliance requirements.

Rather rely on legal technology and don’t be a compliance outlaw!

It doesn’t pay to get a dissuasion.

Notification is generally not mandatory for private companies.

However, the report must be clarified regardless of the scope of application of the Whistleblower Protection Act, otherwise there is a risk of liability. An internal investigation must be initiated with the help of (external) specialists, if necessary.

Yes, as far as operational issues are concerned. If the allegations are directed against employees, the incriminating evidence have to be disclosed. Sometimes the obligation to provide information under employment law is in tension with the criminal refusal to give evidence, especially if the records are to be used in criminal proceedings.

In individual cases, it may make sense to point out to employees that they do not have to incriminate themselves.

The task of compliance is to ensure good behavior and compliance with regulations. Compliance officers have to do a lot of convincing.

It is necessary to enter into relationships with people to ensure this. In this way, empathy is an important key. It creates trust and helps to build bridges.

Compliance surveys and whistleblowing reports show that discrimination is the number one non-compliance issue.

It happens every day in many different ways. Companies have to take structured measures against discrimination for ethical and legal considerations.

External support of internal reporting channels enables efficient planning of resources and professional processing of reports. This promotes corporate culture.

Reporters trust in independence. This ensures external support – friendly, legally secure, efficient and smart!

Everyone knows: Regular brushing is important for healthy teeth. Awareness? My kids and I made a picture with a big toothbrush for this. You can see: Regular tooth brushing works. Why? Clear instructions, consistent implementation and regular monitoring – that’s how compliance works.

Whether it’s an orchestra, a school class or a soccer team – inspiration, courage, orientation and security only come from good role models. In companies it is no different and therefore the often quoted Tone from the Top is essential. Good compliance that is lived needs excellent role models!

Compliance means that managing directors must, among other things, ensure that an internal control system is in place to prevent breaches of standards in accordance with Section 22 of the German Limited Liability Companies Act (GmbHG). According to the law, they are liable for its implementation both internally and under certain circumstances, towards third parties.

Organizations are exposed to numerous legal risks, e.g. corruption, antitrust law, data protection, etc. An effective CMS helps to identify and reduce specific risks.

This increases employee satisfaction and secures the company’s long-term existence.

A well functioning CMS fulfills three core functions.

First and foremost, it serves to prevent breaches of rules (prevention) and, if they do occur, to identify them (detection) and react to them (response).

Careful clarification of the facts and the taking of suitable and appropriate measures are essential.

No.

At best, compliance officers have an interdisciplinary profile. They are marketing, legal, human resources development, audit, organizational development, strategy, etc.

The success of compliance does not lie in the profession of its members, but in their ability to use their strengths for prevention, recognition and reaction.

Yes!

Since January 1, 2006, legal entities can also be held liable under criminal law (VbVG). However, compliance structures enable them to minimize their risks under both civil and criminal law.

On the contrary, the GDPR provides mechanisms that allow us to work more efficiently, purposefully and successfully.

The same applies as in our private lives: Tidying up is time-consuming. But without unnecessary baggage and with a new and clear order, life is much better.

It is said that co-determination may not be necessary if the statutory obligations are implemented.

However, if the scope of application is expanded, the system is subject to co-determination. This legal uncertainty still needs to be resolved through statutory implementation – in case of doubt, it is therefore advisable to involve the workers’ council.

The involvement of suppliers in the whistleblowing process brings the supply chain and its stakeholders closer to the company.

A whistleblowing system is therefore an essential component of current (and in the future mandatory) sustainability developments as well as the associated due diligence obligations.

When designing environmentally and socially relevant advertisements, the boundaries of unfair competition can quickly be crossed – there is a fine line between “doing good and talking about it” and greenwashing.

A careful preliminary check within the company is essential. Unfortunately, the lack of a uniform definition of “greenwashing” complicates the examination.

Wrong!

The purpose of the Whistleblower Protection Act is to enable whistleblowers to disclose wrongdoing without risk.

Legal conformity in the company and a good working atmosphere add up to (also) lived corporate social responsibility. This results in: Satisfied employees, customers and suppliers, which means more success – both in terms of the business and its people.

Sanctioned owners are often obscured by complex corporate structures and legal requirements from secondary sanctions, e.g. OFAC 50% Rule, are insufficiently known.

It is now more important than ever to know the shareholder structure of the third parties and to check them for current sanction risks.

You should communicate complex topics in a practical and understandable way. This is how we manage to anchor data protection and compliance in the minds of our colleagues.

Compliance doesn’t stop at any size of company. If companies want to establish themselves on the market, they can’t afford any violations. The reputation can be irreparably damaged aside from a financial damage.