Compliance Update

Compliance Update

Compliance Update – Product No. A02


Your benefit:

  • Compliance: No liability, no penalties, no investigation
  • Top informs about current compliance topics
  • High level controls to manage compliance risks
  • Communicate compliance properly


Here you come to our information blog: Compliance Management System – Fines mitigating effect – Federal Court of Justice judgment of 09.05.2017:


The BGH judgment of 09.05.2017 explicitly confirms the penalty-reducing effect of a compliance management system and underlines the importance of an appropriate and effective organizational structure and procedure for dealing with compliance risks. Typical compliance risks include anti-corruption, money laundering, terrorist financing, privacy and tax compliance.




Target Group – Compliance update

  • Directors and managing directors of companies in the non-financial sector and in the financial sector,
  • Compliance Officer, employee of compliance and legal departments,
  • Head of Internal Audit, Data Protection Officer, Money laundering Officer, Legal Advisor,
  • Specialists and executives in the area of ​​compliance.



Seminar Price – Compliance Update

Price: 690, – £ excl. 19% VAT.

Included in the price:
Participants documents as PDF,  3-course meal, coffee, tea, Soft drinks and Snacks in the breaks




Compliance Update



Compliance: No Liability, No Penalties, No Investigations – Compliance Update 

  • Current regulatory and audit-related requirements
  • What should the job description of the compliance officer look like and what about the guarantor position?
  • When is the Compliance Officer liable? And when is the company liable?
  • Legal Inventory as a basis for monitoring and controlling the compliance function
  • Risk assessment for the prevention of money laundering, other offenses as well as compliance-relevant facts
  • What happens after the risk assessment? Duties and Due Diligence of the Compliance Officer


Top informs about current compliance topics

  • Gifts, Invitations and Co.
  • Reliability testing of employees – What types of labor inspections are permitted?
  • Business Partner Check – What is important?
  • New Data Protection Law – What needs to be considered as Compliance Officer?
  • Internal investigations vs. external investigations – When the emergency becomes a crisis
Each participant will receive the following S & P products with the seminar:
+ Sample job description Compliance Officer
+ Sample policy Compliance in the company
+ Rating tool for creating a legal inventory
+ 92-point check for a secure compliance system


High level controls to control compliance risks

  • Control Plan Compliance – The most important monitoring and control actions
  • Optimal control of interfaces between money laundering and compliance
  • Optimal interaction with the outsourcing officer
  • Implement tax compliance securely
  • IT Compliance: The new BAIT as a benchmark for practice
  • Compliance officer’s control plan: monitoring and reporting requirements, review of compliance requirements
Each participant will receive the following S & P products with the seminar:
+ Checklist: Audit of the regularity of the management
+ Control Plan Compliance: Monitoring and Control Plan

Compliance Update - Product no. A02

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