Einrichtung einer Compliance-Stelle – Von der Planung über die Umsetzung bis hin zur Erfolgskontrolle

Metz Matthias, Kreuziger Volker and Otterbach Dirk
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Metz Matthias: war bis Juni 2014 Vorstandsvorsitzender der Bausparkasse Schwäbisch Hall AG, Bausparkasse der Volksbanken und Raiffeisenbanken.
Kreuziger Volker: Kreuziger ist Bereichsleiter Recht und Compliance
Otterbach Dirk: Abteilungsleiter Compliance bei der Bausparkasse Schwäbisch Hall AG.

Zeitschrift für das gesamte Genossenschaftswesen, 2014, vol. 64, issue 2, 119-130

Abstract: On January 1, 2013, the German Federal Financial Supervisory Authority amended the Minimum Requirements for Risk Management. This 4th MaRisk Amendment targeted, in particular, the EBA Guidelines on Internal Governance. As a consequence of this amend­ment, financial institutions must create a compliance program (AT 4.4.2 of the 4th MaRisk Amendment). The purpose of this article is to demonstrate which components an effective corporate compliance program should possess and how those components can be imple­mented. Lastly, this article should highlight possible performance review methods of an effective corporate compliance program.

Date: 2014
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DOI: 10.1515/zfgg-2014-0207

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