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1.
What legal role does corporate risk and compliance management play in your jurisdiction?
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2.
Which laws and regulations specifically address corporate risk and compliance management?
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3.
Which are the primary types of undertakings targeted by the rules related to risk and compliance management?
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4.
Identify the principal regulatory and enforcement bodies with responsibility for corporate compliance. What are their main powers?
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5.
Are ‘risk management’ and ‘compliance management’ defined by laws and regulations?
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6.
Are risk and compliance management processes set out in laws and regulations?
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7.
Give details of the main standards and guidelines regarding risk and compliance management processes.
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8.
Are undertakings domiciled or operating in your jurisdiction subject to risk and compliance governance obligations?
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9.
What are the key risk and compliance management obligations of undertakings?
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10.
What are the risk and compliance management obligations of members of governing bodies and senior management of undertakings?
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11.
Do undertakings face civil liability for risk and compliance management deficiencies?
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12.
Do undertakings face administrative or regulatory consequences for risk and compliance management deficiencies?
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13.
Do undertakings face criminal liability for risk and compliance management deficiencies?
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14.
Do members of governing bodies and senior management face civil liability for breach of risk and compliance management obligations?
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15.
Do members of governing bodies and senior management face administrative or regulatory consequences for breach of risk and compliance management obligations?
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16.
Do members of governing bodies and senior management face criminal liability for breach of risk and compliance management obligations?
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17.
Is there a corporate compliance defence? What are the requirements?
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18.
Discuss the most recent leading cases regarding corporate risk and compliance management failures?
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19.
Are there risk and compliance management obligations for government, government agencies and state-owned enterprises?
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20.
Please provide an overview on the risk and compliance governance and management framework covering the digital transformation (machine learning, artificial intelligence, robots, blockchain etc.).
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Updates and trends
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Rotthege | Wassermann is a leading German boutique law and tax firm with more than 50 professionals and a strong focus on corporate, compliance and transactions. We are specialised in the development of tailor-made solutions in the areas of business law and real estate.
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Düsseldorf
Graf-Adolf-Platz 1540213
Düsseldorf
Germany T: +49 211 955991 15
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