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MaGo – Internal Control System

MaGo – Internal Control System- The companies design the internal control system depending on their risk profile. The internal control system must be appropriately integrated into the structures and processes of the organizational and operational structure so that it fulfills its purpose.

The internal control system also takes outsourced areas and processes into account where necessary.

MaGo - Internal Control System

MaGo – Internal control framework and reporting regulations

The companies define the principles, procedures and measures for internal controls in the internal control framework. The internal control framework must be appropriate to the risk profile.
In particular, the type, frequency and scope of the internal controls are based on the risks of the respective areas and processes.

MaGo – Internal Control System

The persons responsible for the internal controls must have all the necessary information. Appropriate information and communication systems must be set up for this purpose.
The adequacy and effectiveness of internal controls must be continuously monitored using appropriate procedures.
The entire management receives reports on the results of the monitoring at regular intervals, at least once a year. Ad hoc reports are also required in special situations, particularly where there are significant deficiencies in internal controls. Management ensures that the necessary adjustments are implemented promptly.

If you´re interested in this topic, the following seminars might be just right for you!

Certified Compliance Officer (S+P) course

Are you newly appointed as a compliance officer in a non-financial company? With the Certified Compliance Officer course, the S+P Entrepreneur Forum conducts training to become a certified Compliance Officer (S+P).  This certified program offers well-founded  training at the highest level with top-class speakers with practical experience  – with maximum reference to entrepreneurial practice.


MaGo – Internal Control System- Your added value with the S+P certification program:

Our certification offer with a focus on your company:

  • Fast and direct implementation instructions from practice for practice
  • Modular structure of the certification
  • Flexible scheduling of the individual modular building blocks
  • The S+P Tool Box provides you with assistance for safe implementation in your own company practice
  • Sample guidelines, assessment tools and checklists guide you in putting what you have learned into practice.


MaGo – Internal Control System- Your practical implementation is our goal and with the certification offer we pave the way for you.

Book the Certified Compliance Officer (S+P) course. Convenient and easy with the  online seminar form and product no. A 14.


IT Compliance Manager

Are you fit & proper as an IT compliance manager? With the New IT Compliance Manager course, participants learn the following technical skills:


Book the New IT Compliance Manager course conveniently and easily with the online seminar form  and product no. A16.

Target group for the New IT Compliance Manager course

  • Board members and  managing directors  at banks, financial service providers, capital investment and fund companies, leasing and factoring companies
  • Executives and specialists from the areas of information security management, outsourcing controlling, risk controlling, compliance, data protection and  internal auditing


Your advantage over the New IT Compliance Manager course

Each participant receives the following S+P products with the seminar:

+ Organization manual for the information security guideline (approx. 30 pages)

+ S+P Tool Risk Assessment: Determination of IT protection requirements

+ S+P Check: User authorization management

+ S+P organization handbook data protection management (approx. 40 pages)

+ S+P Check: data protection, IT security and cyber risks


Program for the New IT Compliance Manager course

Implementing IT compliance securely

  • You need to know these “red lines”: implement the minimum requirements from BAIT, VAIT, DIN EN ISO 2700x and BSI basic protection in an audit-proof manner
  • Which risks are “material”? Differentiation of terms from Section 25b KWG; § 26 ZAG and § 32VAG
  • Outsourcing or outsourcing? Correct evaluation of software and IT services
  • IT compliance at a glance: dovetailing of IT strategy, IT governance, information security and information risk management
  • AT 7: Audit focus on IT compliance : IT strategy, IT environment and IT organization in the focus of the new MaRisk, MaGO, KAMaRisk and BCBS 239


With the New IT Compliance Manager course, participants receive the S+P Tool Box:

+ S+P Test: Is the IT system compliant?

+ Organization manual for the information security guideline  (approx. 30 pages)

+ S+P Check: Systemprüfung zum IT-System


IT governance: Risk analysis to determine the need for IT protection

  • Risk analysis in information management
  • Implementation of the qualitatively tightened IT risk analysis based on uniform scoring criteria
  • Assessment of the need for protection with a view to integrity, availability, confidentiality and authenticity
  • New BaFin requirements for cloud computing: strategy, risk analysis and materiality assessment
  • Information security management: Creation of the catalog of target measures and derivation of risk-reducing measures


With the New IT Compliance Manager course, participants receive the S+P Tool Box:

+ S+P Tool Risk Assessment: IT protection requirements with scoring and risk-oriented  derivation of the catalog of target measures


Obligations in data protection: Actively control interfaces between compliance, information security, money laundering prevention and data protection

  • Modules of an effective data protection system: Interface management to
    • Processing directory Art. 30 EU-DSGVO
    • Data protection impact assessment Art. 35 EU-DSGVO
    • Deletion concept Art. 17 EU-DSGVO and DIN standard 66398
  • Safe handling of self-developed IT applications, access rights, IT approvals and changes in the IT system
  • Efficient communication to outsourcing, data protection, money laundering and information security officers
  • Compliance control plan  – The most important monitoring and control actions
  • Compliance requirements for control and reporting obligations in the IT area


Each participant receives the S+P Tool Box with the New IT Compliance Manager course:

+ Checklist: data protection for practitioners in accordance with the new GDPR

+ Checklist: Monitoring and documentation of control actions

+ Job description for information security officer


In addition to the New IT Compliance Manager course, the participants were also interested in the following seminars:

Compliance management in the company

Compliance Update 2019

Outsourcing in the focus of banking supervision

MaRisk 2017 – risk-bearing capacity – SREP – ICAAP

MaRisk 6.0 – new requirements for risk management

Risk management and internal control system

Compliance and risk management for entrepreneurs

Quality management course with certification

Data protection – duties for directors and compliance

MaGo – Internal Control System