Corporate Compliance - Practical Guide for Management and Governance. First book wordwide on practical implementation of compliance steering and monitoring tasks of CEOs and Members of the Executive Board. Handelsblatt Group Publishers 2018, 605 pages, Juergen Pauthner originator, chief editor and main author.

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Cover text by Handelsblatt Group Publishers:

It is of key interest to the company's management to be able to reliably identify and manage compliance risks for controlling and avoiding undesirable economic and legal consequences. This work provides Executive Boards and other managers with indispensable control- and decision-making tools for this purpose. It supports them in practical implementation, management and monitoring of effective compliance processes, systems and governance in daily business. Content and practical examples are consequently geared to the needs of CEOs, board members, managing directors, COOs and similar managers.

• Part 1 lists numerous detailed implementation examples and tips for processes, principles, leadership, delegation and monitoring of compliance management at companies of all sizes. These are based on practical experience of manage-ment bodies of numerous companies and are thus suitable for transfer and application to specific management- and decision-making situations in all businesses.

• Part 2 provides information on compliance-related manage-ment duties of CEOs, Executive Boards and similar functions, on avoiding respective liability, on avoiding loss of D&O liablity cover due to negligence clauses by operating effective compliance management systems, on legally required effective  investigations, as well as on data security and compliance audits.

• Part 3 consists of detailed implementation reports of standard compliance management systems in well-known international companies.

• Part 4 features an overview of the most important legal areas of corporate compliance management relevant for Executive Boards.

Compliance Monitoring by Supervisory Boards and Boards of Directors - Compliance Management Systems, Internal Investigations and own Compliance Rules. First book globally on practical implementation of compliance monitoring tasks by the supervisory function. Handelsblatt Group Publishers 2019, 418 pages, Juergen Pauthner originator, chief editor and main author.

Table of Contents, (...) and

Cover text by Handelsblatt Group Publishers:

Supervisory Boards are required to know the essential elements of effective compliance management systems as well as to be aware of and understand the correponding taks of the company's mana-gement. Only in this way can they properly fulfill their duty of  effectively monitoring the compliance management of the Executive Board. This reference book provides Supervisory Boards of all types with compact and reliable guidelines for this purpose. Contents are consistently geared to the needs of Supervisory Boards, as against those of executive functions. 260 practical tips and examples provide guidance on design and implementation of monitoring activities. Effectiveness principles of compliance systems featured correspond to all codified international standards.

• Part 1 provides an overview of legally required and economi-cally reasonable elements of compliance management systems of various types and sizes of companies. Supervisory Boards are legally required to be familiar with these in order to exercise their monitoring functions, as required by laws.

• Part 2 explains graduated intensities, measures and instru-ments for monitoring the compliance management system as well as the various ways for the Supervisory Board to gather relevant information and to take action, when legally required. Liability principles in the event of insufficient compliance monitoring by the Supervisory Board are commented.

• Part 3 provides a concise overview of monitoring internal investigations conducted by the Executive Board. These are subject to particular legal requirements. The Supervisory Board faces special legal and practical challenges here, which extend to legally required independent investigations conducted by the Supervisory Board itself.

• Part 4 features a condensed presentation of the legally required compliance rules which the Supervisory Board stipulates for its own affairs in order to ensure legal conduct and exclude potential liability of Supervisory Board members.