Compliance

Compliance has become a key issue for many enterprises: how can risk factors be identified and
minimised through a customised compliance organisation?

Our compliance group comprises leading experts in their fields, for example data protection, capital markets compliance or export control. However, the whole is more than the just sum of expertise of its individuals. We advise national and international enterprises on the strategic analysis, conception and supervision of comprehensive compliance programmes.

Dr. Jürgen Hartung

Partner

Telephone: +49 221 2091 643
Telefax: +49 221 2091 333

juergen.hartung@oppenhoff.eu

Indonesia, Malaysia, Singapore, Taiwan

Current topics of compliance law
Lecture Content

This lecture covers the current topics of compliance jurisprudence and legislation at any time.

Target group

Specialists, legal practitioners in general, managing directors

Duration

45 - 60 minutes

Reliable implementation of the EU Geoblocking Regulation

Lecture content

The lecture provides an overview of the amendments of the new EU Geoblocking Regulation and provides assistance and instruction on implementing the new requirements.

Target group

Legal departments, managing directors, distribution

Duration

90 minutes

Employment law compliance (with a focus on medium-sized enterprises)
Lecture content

This is a lecture on selected compliance topics viewed from the employment law perspective.

Target group

Corporate compliance officers (medium-sized enterprises)

Duration

90 minutes

Employment law compliance, in particular: foreign secondments of employees, use of temporary workers (an introduction)
Lecture content

In this lecture we take the perspective of an enterprise that has been damaged by a cartel and present possible courses of action to protect it.

Target group

Corporate compliance officers, HR staff

Duration

60 minutes

Case study of a compliance programme for medium-sized enterprises
Lecture content

This lecture presents an exemplary analysis of a compliance management system of a typical medium-sized enterprise.

Target group

Corporate compliance officers (medium-sized enterprises)

Duration

30 minutes

Compliance in purchasing – how can I avoid cartel damages through supp-liers and contractors?
Lecture content

This lecture examines the topic of cartel law compliance when purchasing products/services. It provides valuable tips to protect against cartel damages arising from the anti-competitive or coordinated conduct of suppliers and contractors (e.g. in contract award procedures).

Target group

Legal practitioners in general, management, specialists

Duration

ca. 60 minutes

Compliance management systems
Lecture content

This is a lecture on the structure and requirements of compliance management systems: risk analysis, documentation, training, whistle-blower systems and criminal responsibility.

Target group

Legal practitioners, people working in distribution, controlling and compliance

Duration

30 - 90 minutes

Compliance responsibility of the corporate management, compliance organi-sation within the group (an introduction)
Lecture content

This lecture provides a brief overview of the compliance duties of managing directors, management board members and supervisory board members, as well as the possible liability consequences of breaching these duties. The peculiarities of group structures are specifically addressed.

Target group

Corporate compliance officers

Duration

30 minutes

The new Transparency Register
Lecture content

The German Act implementing the Fourth EU Money Laundering Directive, executing the EU Wire Transfer Regulation and reorganising the Financial Intelligence Unit (Gesetz zur Umsetzung der Vierten EU-Geldwäscherichtlinie, zur Ausführung der EU-Geldtransferverordnung und zur Neuorganisation der Zentralstelle für Finanztransaktionsuntersuchungen) dated 23 June 2017 (Federal Law Gazette [Bundesgesetzblatt, BGBl.] I 2017, p. 1822) has now (essentially) entered into force. Besides the revision of the Money Laundering Act, which gives the Directive its name, and which above all increases the compliance requirements to be met by the parties concerned for preventing money laundering and terrorist funding, on the basis of this Act an electronic Transparency Register is being introduced and the requirements for the list of shareholders of a GmbH are being amended. The revision will trigger an immediate need for action at many enterprises. Failure to act can lead to sensitive fines.

Target group

Legal departments, compliance officers

Duration

30 minutes

Data protection and IT compliance (with a focus on medium-sized enterprises)
Lecture content

This lecture provides an introduction to the responsibilities for data protection compliance at an enterprise and the fundamental duties.

Target group

Corporate compliance officers (medium-sized enterprises)

Duration

60 minutes

Export control (an introduction)
Lecture content

This lecture gives a brief introduction to the significant regulations and structure of export control.

Target group

Corporate compliance officers

Duration

45 minutes

Fundaments, significance and structures of compliance in medium-sized enterprises
Lecture content

This lecture gives an overview of the compliance-related duties of the management of medium-sized enterprises in particular, and presents the possible liability consequences, essential elements of a compliance structure, peculiarities in medium-sized corporate groups and aspects of the responsibility for the compliance of third parties.

Target group

Corporate compliance officers (medium-sized enterprises)

Duration

90 minutes

Liability – How the courts call managers to account
Lecture content

The lecture gives an overview of specific risk potentials of the management level in connection with breaches of cartel law.

Target group

Specialists, legal practitioners in general, employees without legal expertise, managing directors

Duration

ca. 30 - 60 minutes

Antitrust law (an introduction)
Lecture content

This introductory lecture provides a comprehensive insight into cartel law compliance, giving especial consideration to the current decision-making practice of the cartel authorities and courts. Amongst other things, it deals with questions such as the correct handling of competitors, working groups, association meetings, restraints of competition in supply contracts and the abusive use of a market-dominating position.

Target group

Corporate compliance officers

Duration

ca. 60 minutes

Anti-corruption (an introduction)
Lecture content

This lecture gives a brief introduction to the essential measures for combatting corruption and the legal bases.

Target group

Corporate compliance officers

Duration

45 minutes

Compliance as a task of the corporate management
Lecture content

The lecture explains which requirements the law and jurisprudence currently stipu-late for the compliance efforts of managing directors, management board members and supervisory board members and which liability consequences can arise from a breach of these duties. The peculiarities of group structures are specifically ad-dressed in the lecture.

Target group

Legal departments, employees without in-depth compliance knowledge

Duration

60 - 120 minutes

Compliance in M&A transactions
Lecture content

Compliance is also playing an increasingly important role in M&A transactions. In addition to aspects of compliance due diligence, the lecture also examines the risks in the event of compliance breaches during an M&A transaction as well as the integration of the acquired enterprise into the buyer’s compliance organisation.

Target group

Corporate compliance officers

Duration

30 minutes

Corporate social responsibility – overview, current developments

Lecture content

Corporate social responsibility not only covers the social conduct of enterprises but – and not only initially on the basis of the CSR Directive - also the associated legal framework conditions whose observance is vital to enterprises and their corporate organs.

Target group

Legal practitioners in general, interested employees

Duration

30 minutes

Direct communication between compliance officer and supervisory board
Lecture content

Where possible breaches by the management board are an issue, it would be helpful if the supervisory board could directly communicate with the compliance officer. Being subordinate to the management board, however, such communication touches upon the distribution of competences amongst the corporate organs. This lecture presents the status of the debate and gives practical recommendations.

Target group

Corporate compliance officers, supervisory board members

Duration

30 minutes

Liability for compliance breaches of third parties
Lecture content

Compliance has long since stopped being a matter that ends at your own front door. In their considerations, measures and programme, enterprises now also have to include their business partners: from the joint venture partner to the component supplier. But for what risks are enterprises or their managers responsible? The lecture examines the possible liability risks and how to avoid them.

Target group

Corporate compliance officers

Duration

30 minutes

Who is liable for the foreign subsidiaries? – compliance in international groups
Lecture content

The management of a group parent company also has an obligation to organise and monitor the compliance of its subsidiaries, whilst still observing the legal independence of the subsidiaries and the corporate legal structures. International corporate groups in particular face the threat of conflicts between the group headquarters and the regional management, as well as between the different legal systems and cultural circles. The lecture describes the legal situation from the German perspective and gives practical tips.

Target group

Corporate compliance officers

Duration

30 minutes