Who is liable for poor compliance?In BaFin’s April 2021 technical article, key points regarding liability in the event of a compliance violation were regulated. With S+P Compliance News you will receive the following BaFin interpretations:
#1 Does a board member have to fulfill all compliance duties himself?
#2 Who is the “legal...
Obligation to notify outsourcing at securities institutions: What is to be observed? The auditor must report separately on outsourcing of material activities and processes, taking into account the requirements set out in section 40 of the Securities Institutions Act. In doing so, a statement must be made as to whether the classification of...
No more pointless meetings: Practice new moderation techniques. Why do bad meetings feel so inevitable? Have we really resigned ourselves to sitting in pointless meetings – or worse, having to lead them? We shouldn’t. Here are the most common reasons why you sit in a meeting every day and how you can get your schedule under control:
#...
2021 EU BANKING PACKAGE. Mit dem EU Banking Package wird der Verordnungsentwurf zur Änderung der Verordnung (EU) Nr. 575/2013 bezüglich dem Kreditrisiko, dem Risiko der Anpassung der Kreditbewertung, dem operationellen Risiko, dem Marktrisiko sowie dem output floor veröffentlicht. Das EU Banking package umfasst drei wichtige Bausteine:
#1...
Digitale Transformation: Drei Hacks für mehr Tempo. Digitale Transformation erfordert neue Perspektiven im Projektmanagement. Was die Mitarbeiter im Unternehmen betrifft, so zeigen die Erfahrungsberichte aus der Praxis, dass Digitalisierungsansätze, die für alle passen, nicht funktionieren. Diese #3 Transformation Hacks werden dir die Planung...