Compliance:
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | German |
| Veröffentlicht: |
Zürich
Schulthess Management
[2019]
|
| Schriftenreihe: | schulthess manager dossier
|
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | 60 Seiten 27.5 cm x 21 cm, 241 g |
| ISBN: | 9783725578368 3725578362 |
Internformat
MARC
| LEADER | 00000nam a22000008c 4500 | ||
|---|---|---|---|
| 001 | BV045538407 | ||
| 003 | DE-604 | ||
| 005 | 20190909 | ||
| 007 | t | ||
| 008 | 190402s2019 sz |||| 00||| ger d | ||
| 015 | |a 19,N14 |2 dnb | ||
| 016 | 7 | |a 1181888298 |2 DE-101 | |
| 020 | |a 9783725578368 |c : CHF 58.00 (freier Preis) |9 978-3-7255-7836-8 | ||
| 020 | |a 3725578362 |9 3-7255-7836-2 | ||
| 024 | 3 | |a 9783725578368 | |
| 035 | |a (OCoLC)1099902746 | ||
| 035 | |a (DE-599)DNB1181888298 | ||
| 040 | |a DE-604 |b ger |e rda | ||
| 041 | 0 | |a ger | |
| 044 | |a sz |c CH | ||
| 049 | |a DE-945 |a DE-M382 | ||
| 084 | |a QP 341 |0 (DE-625)141862: |2 rvk | ||
| 084 | |a 340 |2 sdnb | ||
| 100 | 1 | |a Lengauer, Daniel |d 1964- |e Verfasser |0 (DE-588)172984475 |4 aut | |
| 245 | 1 | 0 | |a Compliance |c Daniel Lengauer |
| 264 | 1 | |a Zürich |b Schulthess Management |c [2019] | |
| 264 | 4 | |c © 2019 | |
| 300 | |a 60 Seiten |c 27.5 cm x 21 cm, 241 g | ||
| 336 | |b txt |2 rdacontent | ||
| 337 | |b n |2 rdamedia | ||
| 338 | |b nc |2 rdacarrier | ||
| 490 | 0 | |a schulthess manager dossier | |
| 650 | 0 | 7 | |a Unternehmen |0 (DE-588)4061963-1 |2 gnd |9 rswk-swf |
| 650 | 0 | 7 | |a Recht |0 (DE-588)4048737-4 |2 gnd |9 rswk-swf |
| 650 | 0 | 7 | |a Compliance-System |0 (DE-588)4442497-8 |2 gnd |9 rswk-swf |
| 651 | 7 | |a Schweiz |0 (DE-588)4053881-3 |2 gnd |9 rswk-swf | |
| 689 | 0 | 0 | |a Schweiz |0 (DE-588)4053881-3 |D g |
| 689 | 0 | 1 | |a Unternehmen |0 (DE-588)4061963-1 |D s |
| 689 | 0 | 2 | |a Compliance-System |0 (DE-588)4442497-8 |D s |
| 689 | 0 | 3 | |a Recht |0 (DE-588)4048737-4 |D s |
| 689 | 0 | |8 1\p |5 DE-604 | |
| 710 | 2 | |a Schulthess Juristische Medien |0 (DE-588)1064209831 |4 pbl | |
| 856 | 4 | 2 | |m DNB Datenaustausch |q application/pdf |u http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=030922392&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |3 Inhaltsverzeichnis |
| 999 | |a oai:aleph.bib-bvb.de:BVB01-030922392 | ||
| 883 | 1 | |8 1\p |a cgwrk |d 20201028 |q DE-101 |u https://d-nb.info/provenance/plan#cgwrk | |
Datensatz im Suchindex
| _version_ | 1804179503441772544 |
|---|---|
| adam_text | INHALTSVERZEICHNIS
VORWORT
.............................................................................................................................
5
1.
EINLEITUNG
BEGRIFFE
..............................................................................................................................
7
HINTERGRUND
........................................................................................................................
7
STEIGENDE
REGULATORISCHE
ANFORDERUNGEN
........................................................................
8
2.
RECHTLICHE
GRUNDLAGEN
UEBERBLICK
.........................................................................................................................
14
COMPLIANCE-MANAGEMENT-STANDARDS
UND
-KONZEPTE
......................................................
15
ANFORDERUNGEN
UND
GRUNDELEMENTE
DES
COMPLIANCE-MANAGEMENTSYSTEMS
..................
17
3.
AUFGABEN
UND
ZUSTAENDIGKEITEN
DER
ORGANE
AKTIENRECHTLICHE
VORGABEN
...............................................................................................
19
RISIKOBEURTEILUNG
............................................................................................................
19
COMPLIANCE-KULTUR
...........................................................................................................
19
COMPLIANCE-STRATEGIE
UND
ZIELE
.......................................................................................
20
ORGANISATION
DES
COMPLIANCE-MANAGEMENTSYSTEMS......................................................
20
OPERATIVE
UMSETZUNG
DES
COMPLIANCE-MANAGEMENTSYSTEMS.........................................
21
UEBERWACHUNG
DES
COMPLIANCE-MANAGEMENTSYSTEMS......................................................
21
4.
COMPLIANCE-RISIKOBEURTEILUNG
UEBERBLICK
.........................................................................................................................
24
IDENTIFIZIERUNG
VON
RISIKEN
..............................................................................................
24
BEWERTUNG
DER
RISIKEN
(COMPLIANCE
RISK
ASSESSMENT)....................................................
26
RISIKOSTRATEGIE
..................................................................................................................
27
RISIKOLANDKARTE
................................................................................................................
27
5.
COMPLIANCE-KULTUR
UEBERBLICK
.........................................................................................................................
28
VERHALTENSGRUNDSAETZE
(CODE
OF
CONDUCT)........................................................................
28
6.
COMPLIANCE-STRATEGIE
UND
-ZIELE
CO
M
P
L
I
A
N
CE
-ST
RATEGI
E
......................................................................................................
31
COMPLIANCE-ZIELE
.............................................................................................................
31
7.
COMPLIANCE-ORGANISATION
UND
-STRUKTUREN
(AUFBAUORGANISATION)
UEBERBLICK
.........................................................................................................................
33
CHIEF
COMPLIANCE
OFFICER
BZW.
COMPLIANCE-ABTEILUNG
.....................................................
33
ORGANISATION
IM
KONZERN.................................................................................................
35
OUTSOURCING
VON
COMPLIANCE-AUFGABEN
..........................................................................
35
INHALTSVERZEICHNIS
8.
COMPLIANCE-PROZESSE
(ABLAUFORGANISATION)
UEBERBLICK
..........................................................................................................................
36
DUE-DILIGENCE-PROZESSE....................................................................................................
36
GENEHMIGUNGSPROZESSE...................................................................................................
36
INTERNE
KONTROLLEN
............................................................................................................
36
INTERNE
BERICHTERSTATTUNG
.................................................................................................
37
EXTERNE
BERICHTERSTATTUNG
.................................................................................................
37
DOKUMENTATION
DES
COMPLIANCE-MANAGEMENTSYSTEMS
...................................................
37
INTERNE
REGELUNGEN
..........................................................................................................
38
DOKUMENTEN-
UND
DATENMANAGEMENT
............................................................................
38
UNTERNEHMENSINTERNE
UNTERSUCHUNGEN
...........................................................................
41
INTERNE
UND
EXTERNE
KOMMUNIKATION
BEI
COMPLIANCE-VORFAELLEN
.....................................
44
ANZEIGE
BZW.
SELBSTANZEIGEN
BEI
COMPLIANCE-VERSTOESSEN
...............................................
44
MONITORING
REGULATORISCHER
ANFORDERUNGEN
.....................................................................
44
9.
INFORMATION
UND
KOMMUNIKATION
KOMPETENZ
UND
SCHULUNG
................................................................................................
45
DOKUMENTATION
.................................................................................................................
45
HELPDESK
...........................................................................................................................
45
EXTERNE
KOMMUNIKATION
...................................................................................................
45
10.
COMPLIANCE-UEBERWACHUNG
UND
-PRUEFUNG
UEBERBLICK
..........................................................................................................................
46
MITARBEITERUMFRAGEN
.........................................................................................................
46
COMPLIANCE-ERKLAERUNGEN
..................................................................................................
47
PRUEFUNG
VON
GESCHAEFTSVORGAENGEN
.....................................................................................
47
MOCK
DAWN
RAIDS
..............................................................................................................
47
HINWEISGEBERSYSTEM
(WHISTLEBLOWING)
.............................................................................
47
COMPLIANCE-PRUEFUNGEN
BZW.
-ZERTIFIZIERUNGEN
.................................................................
49
11.
ANREIZE
UND
SANKTIONEN
UEBERBLICK
..........................................................................................................................
50
ANFORDERUNGEN
AN
DAS
INTERNE
SANKTIONSSYSTEM
.............................................................
50
SANKTIONEN
.......................................................................................................................
50
COMPLIANCE-ANREIZE
..........................................................................................................
51
ENDNOTEN
.........................................................................................................................
52
VERWENDETE
UND
WEITERFUEHRENDE
LITERATUR
.................................................................
55
QUELLEN
............................................................................................................................
58
ABKUERZUNGSVERZEICHNIS..................................................................................................
59
4
|
| any_adam_object | 1 |
| author | Lengauer, Daniel 1964- |
| author_GND | (DE-588)172984475 |
| author_facet | Lengauer, Daniel 1964- |
| author_role | aut |
| author_sort | Lengauer, Daniel 1964- |
| author_variant | d l dl |
| building | Verbundindex |
| bvnumber | BV045538407 |
| classification_rvk | QP 341 |
| ctrlnum | (OCoLC)1099902746 (DE-599)DNB1181888298 |
| discipline | Rechtswissenschaft Wirtschaftswissenschaften |
| format | Book |
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| geographic | Schweiz (DE-588)4053881-3 gnd |
| geographic_facet | Schweiz |
| id | DE-604.BV045538407 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-10T08:20:54Z |
| institution | BVB |
| institution_GND | (DE-588)1064209831 |
| isbn | 9783725578368 3725578362 |
| language | German |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-030922392 |
| oclc_num | 1099902746 |
| open_access_boolean | |
| owner | DE-945 DE-M382 |
| owner_facet | DE-945 DE-M382 |
| physical | 60 Seiten 27.5 cm x 21 cm, 241 g |
| publishDate | 2019 |
| publishDateSearch | 2019 |
| publishDateSort | 2019 |
| publisher | Schulthess Management |
| record_format | marc |
| series2 | schulthess manager dossier |
| spelling | Lengauer, Daniel 1964- Verfasser (DE-588)172984475 aut Compliance Daniel Lengauer Zürich Schulthess Management [2019] © 2019 60 Seiten 27.5 cm x 21 cm, 241 g txt rdacontent n rdamedia nc rdacarrier schulthess manager dossier Unternehmen (DE-588)4061963-1 gnd rswk-swf Recht (DE-588)4048737-4 gnd rswk-swf Compliance-System (DE-588)4442497-8 gnd rswk-swf Schweiz (DE-588)4053881-3 gnd rswk-swf Schweiz (DE-588)4053881-3 g Unternehmen (DE-588)4061963-1 s Compliance-System (DE-588)4442497-8 s Recht (DE-588)4048737-4 s 1\p DE-604 Schulthess Juristische Medien (DE-588)1064209831 pbl DNB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=030922392&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis 1\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk |
| spellingShingle | Lengauer, Daniel 1964- Compliance Unternehmen (DE-588)4061963-1 gnd Recht (DE-588)4048737-4 gnd Compliance-System (DE-588)4442497-8 gnd |
| subject_GND | (DE-588)4061963-1 (DE-588)4048737-4 (DE-588)4442497-8 (DE-588)4053881-3 |
| title | Compliance |
| title_auth | Compliance |
| title_exact_search | Compliance |
| title_full | Compliance Daniel Lengauer |
| title_fullStr | Compliance Daniel Lengauer |
| title_full_unstemmed | Compliance Daniel Lengauer |
| title_short | Compliance |
| title_sort | compliance |
| topic | Unternehmen (DE-588)4061963-1 gnd Recht (DE-588)4048737-4 gnd Compliance-System (DE-588)4442497-8 gnd |
| topic_facet | Unternehmen Recht Compliance-System Schweiz |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=030922392&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| work_keys_str_mv | AT lengauerdaniel compliance AT schulthessjuristischemedien compliance |