Das Konstanz Institut für Corporate Governance

    Requirements for effective compliance management

    Guidelines with recommendations for the design and assessment of compliance management systems

    • How can companies ensure the fulfillment of essential organizational duties in the management and monitoring of companies through a functioning compliance management system?
    • What structures are necessary to ensure appropriate and effective compliance management?
    • What are the requirements for an independent, large-scale compliance organization?
    • Is it necessary to have a separate Compliance Officer/Chief Compliance Officer?
    • Which compliance measures and structures can be regarded as functionally equivalent to an independent compliance department in small and medium-sized companies?
    • The research project "Guidelines for the Management of Organisational and Supervisory Duties" has investigated the answers to these questions.

    The results of the research project can be downloaded here.

    In connection with the research project, Christine Butscher's dissertation entitled "Anti-Fraud Management and Corporate Governance in Medium-Sized Businesses" was also written (2014, Metropolis Verlag).

    The project "Anti-Fraud Management in Medium-sized Businesses", which was already carried out in 2010/2011, provided the first important findings in this area.

    As part of the project study "Multistakeholder Analysis of KICG Compliance Management System Requirements", the research findings and recommendations of the guidelines were recently evaluated and verified by various stakeholder groups. The results can be read in the publication "Compliance Essentials - What really counts from the perspective of the judiciary, associations and companies".