Compliance management

The term compliance can be understood as conformity to rules. In terms of content, this means the entrepreneur's duty to ensure compliance with binding obligations within the company.

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Compliance with the law, conformity to rules

This is how the term compliance, which originated in North America, can be understood.

In terms of content, this means the entrepreneur’s duty to ensure compliance with binding obligations within the company. These include legal standards (laws, directives and regulations from the EU, federal government, state and local authorities) as well as official approvals, requirements and permits. Binding obligations from insurance, rental, service contracts, etc. can play a role, and customer-specific specifications and requirements from standards (product and system standards) are also relevant.

All in all, a 6-digit number of requirements from the most diverse sources quickly accumulate, which the management must know and have implemented in its own organization with regard to its duties to act.

The following principle applies: Ignorance is no excuse!

In concrete terms, this means that the management is liable with its private assets and in its own person in the sense of organizational culpability if it does not systematically ensure compliance with the binding obligations.

Let’s take a look at German SMEs and the degree to which this very issue is implemented, namely the extent to which the management / board of directors systematically deals with the issue of compliance (or not): In our daily practice, we often experience that companies do not have a legal and approval register, for example. Inhouse legal counsel is also rarely assigned, and external law firms are only called in very sporadically to deal with compliance. At most, the call for legal assistance is made when unpleasant situations arise.

However, the recognition of negative behavior and the implementation of appropriate internal sanctions within the company is often decisive (in terms of liability).

Prevention is the guiding principle in compliance.

And this is where we support your company! Our inhouse team of lawyers accompanies you on your way to (legal) compliance.

We attach particular importance to adopting a pragmatic approach on the one hand, and to exercising the necessary care on the other, without drifting into legal advice in the legal sense. After all, legal advice can only be provided by a lawyer in private practice (m/f/d) or by an in-house lawyer (m/f/d) for the company for which he/she is appointed.

Legal and permit register

Our services start with the topic of the legal and permit register. We focus first on the following topics

  • Environment
  • Energy
  • Occupational health and safety
  • Data protection
  • Information security
  • Sustainability

as the classic consulting fields of msa-b GmbH and DIE TOP BERATER.

If required, we can expand the topics to be considered almost any need. Rail transport requirements can be applied as well as, for example, medical law, the food sector and professional sports.

Our professional approach:

  • Clarification of the desired subject areas
  • Site inspection & review
  • Preparation of the legal and approval register
  • Derivation of required actions
  • Explanations and support in the company
  • Ongoing maintenance and expansion

creates the basis for (legal) compliance.

Conducting (legal) compliance audits

Knowing the applicable binding obligations and being aware of the resulting duties to act is one thing. The other is the random inspection of the actual compliance.

The assignment of entrepreneurial duties and responsibilities (resulting from the binding obligations) includes not only the assignment of measures, deadlines and responsibilities, but also the verification whether the assigned tasks are actually implemented.

One tool for this is compliance audits, which are carried out systematically and recurrently by us as an independent and objective body and are verifiably documented by detailed reports. We are also happy to support you as a team in planning and follow-up.

Only when compliance audits are concluded with positive results, the noose around the management's neck regarding personal liability can be loosened.

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Compliance Management System (CMS) according to ISO 37301:2021

Compliance with the law and regulations must be ensured on an ongoing basis.

Stakeholders (advisory board, supervisory board, BaFin, shareholders, ...) place more stringent requirements on the company's compliance, and not only in the case of larger corporations. Without a functioning management system that recognizes, evaluates and implements compliance requirements in a concrete and systematic manner, the hurdles to implementing compliance throughout the company can hardly be overcome.

Compliance is often understood as the totality of all operational measures that are intended to ensure the rule-compliant behavior of all employees. A functioning compliance management system in accordance with ISO 37301:2021 can prevent violations.

In jurisdiction, a development was initiated some time ago by the Federal Court of Justice, which takes the installation of a functioning compliance management system into account when assessing fines (BGH 1 StR 265/16 - judgment of May 9, 2017).

Here, the fundamentals of ISO 37301:2021 become interesting.

ISO 37301 follows the so-called High Level Structure and is thus consistent in nomenclature to standards such as ISO 9001, ISO 14001, etc. These are standards that are already classically applied in companies.

The integration into existing management systems can be realized comfortably and since we as a service provider have been implementing and maintaining integrated management systems for almost 40 years, we are also a good partner in the area of compliance management systems in connection with our own legal department with a certified compliance officer/compliance manager. The compliance certification according to ISO 37301:2021 is the final step on the way to (legal) compliance.

Let's take on this journey together!
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