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Leitfaden Pflichtenmanagement

2023 Haufe Lexware, Freiburg

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„… für Compliance).Definition ZuständigkeitZuständig ist, wer ermächtigt wurde, bestimmte Aufgaben zu …” „… 50001 oder Compliance Managementsysteme nach ISO 37301, sie führen im Rahmen ihres Ansatzes zur …” „… Compliance verbunden. Compliance ist eine Umschrei-bung für streng regelwerkskonformes Arbeiten in …”

7 Regelwerksdatenbanken und Softwarelösungen S. 159-164

„… herunterbrechenEs gibt derzeit eine Reihe von Großunternehmen, die vor allem aus Compliance-Grün-den ein …”

Titelei/Inhaltsverzeichnis S. 1-12

„… Kuno KarstenCompliance und Verantwortung in Arbeitsschutz, Umweltschutz & CoLeitfaden …” „… PflichtenmanagementHaufe GroupFreiburg · München · StuttgartDr. Kuno KarstenLeitfaden Pflichten managementCompliance und …”

Literatur S. 175-176

„… 5/2020.Myska, Martin (2021): Der TÜV-Umweltmanagement-Berater, (insbes. Kap. 5, Compliance). TÜV Media …”

2 Rechtliche Anforderungen an ein Pflichtenmanagement S. 21-42

„… kommt der Druck, Compliance im Unternehmen umzusetzen. Compliance im Betrieb technischer Anlagen meint …”

3 Der Pflichtenmanagementprozess im Unternehmen S. 43-82

„… Technical Compliance (siehe Kapitel 1.2, – also inklusive Um-weltpflichten und Pflichten als Hersteller und …”

4 Pflichten im Betrieb S. 83-132

doi.org/10.34157/9783648168578

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Nachhaltigkeit und Recht

Series: Grundrisse des Rechts

Volume 2024 C.H.BECK, München

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§ 9. Corporate Governance, Compliance und ESG Reporting S. 241-287

doi.org/10.17104/9783406826740

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United Nations Convention on the Law of the Sea

, , ,

Series: Beck International

Volume 2021 C.H.BECK, München

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Article 139. Responsibility to ensure compliance and liability for damage S. 968-976

„… States.31Article 139Responsibility to ensure compliance and liability for damage1. States Parties shall …” „… State Party has taken all necessaryand appropriate measures to secure effective compliance under article …” „… commitment within the principle of common heritage ofResponsibility to ensure compliance and liability for …”

Article 30. Non-compliance by warships with the laws and regulations of the coastal State S. 244-248

„… function as a military vessel.19Article 30Non-compliance by warships with the laws and regulations ofthe …” „… request compliance and, if this is disregarded, require the warship toleave the territorial sea …” „… immediately. This article only refers to laws in relation to passagethrough the territorial sea. Compliance …”

Article 153. System of exploration and exploitation S. 1080-1089

„… control over activities in the Area as is necessary forthe purpose of securing compliance with the …” „… assist theAuthority by taking all measures necessary to ensure such compliance in accordance witharticle …” „… to ensure compliance with its provisions and the exercise of the functionsof control and regulation …”

Article 217. Enforcement by flag States S. 1474-1487

„… ; Page size: 160.00mm 240.00mmArticle 217Enforcement by flag States1. States shall ensure compliance by …” „… their registry are prohibited from sailing, until they can proceed tosea in compliance with the …” „… , VJIL20 (1980), 265–311; Robin R. Churchill, The Persisting Problem of Non-Compliance with the Law of …”

Article 205. Publication of reports S. 1364-1369

„… , Compliance Mechanisms in the International Law of the Sea: From Individual tothe Collective, in: Holster P …” „… (eds.), Ensuring Compliance with Multilateral Environmental Agreements: Aca-demic Analysis and Views …” „… Integrated Marine Assessment: World Ocean Assessment I (2016); UNEP,Compliance Mechanisms under Selected …”

Article 204. Monitoring of the risks or effects of pollution S. 1356-1364

„… Boundaries: A Century of Marine Science under ICES (2002); KamenSachariew, Promoting Compliance with …” „… or as a means of compliance control.3Art. 204 contains two differing monitoring obligations. They do …” „… , Promoting Compliance with International Environmental Legal Standards: Reflections onMonitoring and …”

Article 165. The Legal and Technical Commission S. 1178-1187

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164. Compliance …” „… terms andconditions of contracts.5 If non-compliance occurs, the Council may institute proceedingsbefore …” „… shall ensure the adequacy ofand compliance with the regulations. The Commission is also responsible for …”

Article 215. Enforcement with respect to pollution from activities in the Area S. 1463-1467

„… are indeed related to enforcement, addressing com-pliance and compliance control.1715 ITLOS Seabed …” „… Area that is necessary for securing compliance with Part XI, the lawadopted by the Authority and the …” „… Authority by taking all measures necessary to ensuresuch compliance. Annex III Art. 4 (4), also referring to …”

Article 162. Powers and functions S. 1157-1169

„… non-compliance;(b) propose to the Assembly a list of candidates for the election of the Secretary-General;(c …” „… proceedings on behalf of the Authority before the Seabed Disputes Chamberin cases of non-compliance;(v) notify …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102. Implementation and Compliance …”

Article 31. Responsibility of the flag State for damage caused by a warship or other government ship operated for non-commercial purposes S. 248-250

„… responsibility for any loss or damage to thecoastal State resulting from the non-compliance by a warship or other …” „… extends this responsibility to non-compliance with other provisions of the Conven-tion or rules of …” „… non-compliance with coastal State laws, or provisions ofthe Convention or rules of international law, and which …”

Article 228. Suspension and restrictions on institution of proceedings S. 1547-1552

„… environmentfrom vessel source pollution and discourages flag States from non-compliance.20In case of disagreement …” „… by flag States that proceedings be instituted on the basis of theirrepeated non-compliance, they may …” „… coastal States may beterminated.23Non-compliance with the obligation to share information allows the …”

Article 218. Enforcement by port States S. 1487-1496

„… States may exercise some compliance control, which arguably has a self-disciplin-ing effect on the flag …” „… , Port State Control as anInstrument to Ensure Compliance with International Marine Environmental …” „… better compliance byvessels and their crews with discharge regulations viz. prohibitions. The concept of …”

Article 29. Definition of warships S. 241-244

„… . 30 (compliance with laws and regulations of the coastal State), Art. 31(responsibility of the flag …” „… when thewarship sinks and loses its function as a military vessel.19Article 30Non-compliance by …” „… compliancetherewith which is made to it, the coastal State may require it to leave the territorial …”

Article 226. Investigation of foreign vessels S. 1537-1544

„… substandard ships.Inspections provide an added incentive for compliance for ship-owners and operators, aswell …” „… 240.00mmpollution,18 and, in some cases, also evidence of compliance with specific obligations …” „… Documentation should also evidence seafarers’ compliance with rules andstandards on training, certification and …”

Article 54. Duties of ships and aircraft during their passage, research and survey activities, duties of the archipelagic State and laws and regulations of the archipelagic State relating to archipela... S. 404-408

„… (1)(c). Art. 39 (1)(d)further requires compliance with other provisions of Part III. By implication …” „… , this includesrespecting sea lanes and traffic separation schemes adopted under Art. 41, compliance …” „… withduly adopted domestic laws and regulations concerning passage under Art. 42, and compliancewith the …”

Article 147. Accommodation of activities in the Area and in the marine environment S. 1035-1046

„… a) Compliance with the sea-bed regime, obligation to give of due notice andadequate warning (lit. a …” „… ) Compliance with the sea-bed regime, obligation to give of due notice and adequatewarning (lit. a). Art. 147 …” „… Committee ofthe Authority will observe the compliance of contractors with the present provisions …”

Article 229. Institution of civil proceedings S. 1552-1554

„… and preservation of the marineenvironment and compliance with measures to prevent, reduce and control …” „… proceedings provides another incentive for compliancewith international rules and standards for the protection …”

Article 2. Prospecting S. 2117-2126

„… will accept verification by the Authorityof compliance therewith. The proposed prospector shall, at the …” „… result ofits compliance with the Convention and the rules, regulations and procedures of theAuthority …” „… it in compliancewith the Convention and with the Regulations on Prospecting and Exploration for …”

Article 253. Suspension or cessation of marine scientific research activities S. 1700-1707

„… activities in case of any non-compliance with the provisions of article 248 whichamounts to a major change in …” „… . Purpose and Function1Art. 253 aims at promoting the compliance of States or competent international …” „… promote compliance by giving coastal States theright to require suspension or cessation of MSR activities …”

Article 125. Right of access to and from the sea and freedom of transit S. 898-911

„… . Chayes, The New Sovereignty; ComplianceWith International Regulatory Agreements (1995).Part X. Right of …” „… international economique (3rd edn.1990); Abram Chayes/Anonia H. Chayes, The New Sovereignty; Compliance With …”

Article 296. Finality and binding force of decisions S. 1903-1906

„… ’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9I. Purpose and Function1 Art. 296 aims at providing compliance and enforcement to the International …” „… decisive factors for an effective peaceful settlement ofinternational disputes. In addressing compliance …” „… compliance with incidental andinterlocutory decisions and compliance with final decisions. The failure of a …”

Article 117. Duty of States to adopt with respect to their nationals measures for the conservation of the living resources of the high seas S. 803-817

„… theliving resources of the high seas.Bibliography: David Balton, The Compliance Agreement, in: Ellen Hey (ed …” „… compliance with ‘widely accepted fisheries manage-ment principles’.1911 At the Third Session of the …” „… responsibilities are now elaborated on in the 1993Agreement to Promote Compliance with International Conservation …”

Article 216. Enforcement with respect to pollution by dumping S. 1467-1474

„… the Area that is necessary for securing compliance with Part XI, the lawadopted by the Authority and …” „… assist the Authority by taking all measures necessary to ensuresuch compliance. Annex III Art. 4 (4 …” „… merelyconsists in assisting the Authority when it comes to ensuring compliance.20Article 216Enforcement with …”

Article 73. Enforcement of laws and regulations of the coastal State S. 556-563

„… , inspection, arrest and judicial proceedings, as may be necessary toensure compliance with the laws and …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41. ‘measures […] necessary to ensure compliance with the laws and regulationadopted …” „… .III. Elements1. ‘measures […] necessary to ensure compliance with the laws and regulationadopted’4 Art …”

Article 240. General principles for the conduct of marine scientific research S. 1617-1624

„… research shall be conducted in compliance with all relevant regula-tions adopted in conformity with this …” „… ’. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134. ‘compliance with all relevant regulations adopted in conformity with thisConvention …” „… compliance with all relevant regulations adopted inconformity with the Convention (subparagraph d). The …”

Article 18. Penalties S. 2250-2257

„… of non-compliance by a contractor with the fundamental terms of thecontract, Part XI of the …” „… competence to suspend or terminate a contract as penalties.1 Thosecircumstances relate to non-compliance with …” „… the seriousness of non-compliance, including as an alternative tosuspension or termination.4The …”

Article 4. Qualifications of applicants S. 2135-2147

„… 240.00mmframework of its legal system, reasonably appropriate for securing compliance by personsunder its …” „… compliance by persons under its jurisdiction’ . . . . . . . . . . . . . . . . . . . . . . . . . . 219. ‘The …” „… responsibility of a sponsoringState(s) is to ensure that the contractor performs its activities in compliance …”

Article 263. Responsibility and liability S. 1749-1757

„… compliance’ in terms ofArt. 153 (3) and Art. 4 (4) Annex III, whilst this latter provision itself is even …” „… whichare, within the framework of its legal system, reasonably appropriate for securing complianceby …”

Article 292. Prompt release of vessels and crews S. 1881-1893

„… domestic courts. Art. 292 (4) deals with the postingof the bond or security and with compliance with …” „… ensuring compliance with its fisheries laws and regulations inits exclusive economic zone (EEZ). The …” „… thatthere are appropriate procedures established internationally whereby ‘compliance withrequirements for …”

Article 91. Nationality of Ships S. 692-700

„… Organization (FAO) in respect of high-seas fishing. Its 1993 Agreement toPromote Compliance with International …” „… Conservation and Management Measures by FishingVessels (FAO Compliance Agreement)39 attempts to curb the …” „… which the originalflag State was a party. Early suggestions that the FAO Compliance Agreement should …”

Article 146. Protection of human life S. 1028-1035

„… Künzli, The Law of International Human Rights Protection (2010); Filippo Lorenzon, Safetyand Compliance …” „… ensuring compliance of the private operators that they sponsor.2912 a) Test of necessity for additional …” „… an obligation to ensure the compliance of ships flying their flag with theregulations.36 Its Chapter …”

Article 223. Measures to facilitate proceedings S. 1527-1531

„… pursuant to Section 6 and, ultimately, ensure compliance of international rules andstandards; while …” „… official representativesadmissible under domestic law. The assessment of compliance must, however, take …” „… ships and to ultimately deter non-compliance by owners, operators and crews ofsubstandard ships. It may …”

Article 13. Financial terms of contracts S. 2199-2209

„… relevant transactions in other markets.(b) In order to ensure compliance with and enforcement of the …” „… compliance with those rules,regulations and procedures.10. The contractor shall make available to the …” „… financial data as arerequired to determine compliance with this article.11. All costs, expenditures …”

Article 219. Measures relating to seaworthiness of vessels to avoid pollution S. 1496-1505

„… Sea of 1982 and Other International Agreement, IJMCL 11 (1996), 165–177; RobinR. Churchill, Compliance …” „… assess the vessel’s compliance with relevant rules and standards.33 Moreover, the rightis recognized by …” „… , regularinspection of vessels in view of ascertaining their compliance with international rules andstandards as well …”

Article 116. Right to fish on the high seas S. 791-803

„… Organization Agreement to Promote Compliance with InternationalConservation and Management Measures by Fishing …” „… , 516.51 FAO Agreement to Promote Compliance with International Conservation and Management Measures …” „… ).52 The FAO Compliance Agreement addresses the deterrence of flagging orreflagging of vessels fishing …”

Article 249. Duty to comply with certain conditions S. 1679-1690

„… Art. 249 (1), that would allow coastalStates to require compliance with additional conditions after …” „… . However, it would be unreasonable to require complete compliancewith this condition when research …”

Article 43. Navigational and safety aids and other improvements and the prevention, reduction and control of pollution S. 320-324

„… ; Page size: 160.00mm 240.00mmjuncture, the separation of the obligation of compliance with local laws …” „… come into play.20 If compliance (or lack thereof) with local laws and regulations does not affect the …” „… inspite of non-compliance with local laws.51 While delegations at UNCLOS III were concernedwith the …”

Article 10. Preference and priority among applicants S. 2189-2193

„… obligations pursuant to the Contract.10 Conversely, the failure of compliance results6 Art. 9 ‘Separate stages …” „… compliance withits contract. Several warnings are even envisaged by the 1994 Implementation Agreement.8 The …” „… Seabed Disputes Chamber in cases of non-compliance’; on thecompetence of the Legal and Technical …”

Article 42. Laws and regulations of States bordering straits relating to transit passage S. 313-320

„… compliance purposes, even though thereference is confined to a particular category of ship and aircraft.1 …” „… 240.00mmjuncture, the separation of the obligation of compliance with local laws and regulations fromthe …” „… compliance (or lack thereof) with local laws and regulations does not affect the right oftransit passage …”

Article 214. Enforcement with respect to pollution from seabed activities S. 1458-1463

„… results are in compliance with the rules and standards agreedupon at the international or regional level.2 …” „… written authorisation from the competent national authorities whichhave to ensure operators’ compliance …” „… investigation to ensure compliance by operators,and impose appropriate penalties for violations.21 To support …”

Index S. 2553-2618

„… .– adequate warning 147 23– artificial islands 147 19– compliance with the sea-bed regime 147 22– conduct of …” „… seas 65 18, 19;120 17Agreement to Promote Compliance with In-ternational Conservation and …” „… Responsibility to en-sure compliance and liability fo damage inthe Area– limits of the Area 134 8 et seq.– marine …”

Article 288. Jurisdiction S. 1857-1863

„… ) are at present:15– the Agreement to Promote Compliance with International Conservation and …” „… ManagementMeasures by Fishing Vessels on the High Seas, approved in Rome on 24 November 1993(the FAO Compliance …” „… NEAFC Recommendations;Art. 20 (1) SIOFA Agreement; the FAO Compliance Agreement’s dispute-settlement …”

Article 26. Charges which may be levied on foreign ships S. 226-229

„… non-payment of charges may equate to non-compliance with therequirements of innocent passage. As Art. 26 has …” „… render passage non-innocent, although subsequent non-compliance withcoastal State measures to secure …”

Article 118. Cooperation of States in the conservation and management of living resources S. 817-830

„… application of RFMO measures; lack of compliance;and inadequate enforcement.96 In 2006, in response to calls …”

Article 152. Exercise of powers and functions by the Authority S. 1074-1080

„… is necessary forthe purpose of securing compliance with the relevant provisions of this Part and …” „… necessary to ensure such compliance in accordance witharticle 139.5. The Authority shall have the right to …” „… take at any time any measures provided forunder this Part to ensure compliance with its provisions and …”

Article 94. Duties of the flag State S. 707-714

„… tons.22 The Agreement to Promote Compliance with Interna-tional Conservation and Management Measures by …” „… Convention.23 Art 2 (2) Agreement to Promote Compliance with International Conservation and Management …” „… effect of Art 94 (5) is to strengthen these obligations by creating aduty of compliance with ‘generally …”

Article 250. Communications concerning marine scientific research projects S. 1690-1693

„… require compliance with additional conditions after they have given consent to aparticular MSR project …” „… activitieswhen coastal States decide to order suspension or cessation of MSR (Art. 253) in cases ofnon-compliance …”

Article 233. Safeguards with respect to straits used for international navigation S. 1563-1566

„… imposing ofunattainable compliance standards were imposed.1410In the event that a State should be compelled …” „… vessel as a result of non-compliance with the laws and regulationsof that State.12 The use of the phrase …”

Article 213. Enforcement with respect to pollution from land-based sources S. 1451-1458

„… requiring States to ‘ensure compliance with theirlaws and regulations’ established pursuant to the standards …” „… refers to State action against privatenatural or juridical persons in order to ensure compliance with …” „… Contribution of Procedural Norms, ODIL 33 (2002), 263, 271 et seq,, 287 et seq. On compliance control …”

Article 220. Enforcement by coastal States S. 1505-1512

„… through the competent international organization or as otherwiseagreed, whereby compliance with …” „… of the flag State to ensure compliance by the vessels with the rules on theprevention of marine …” „… provisions of paragraph 6 whenthe flag State had made a specific undertaking to ensure compliance by the …”

Article 6. Approval of plans of work S. 2154-2161

„… non-compliance with theseprocedures or in the absence of any of these undertakings and assurances, theapplicant …” „… the event of non-compliance, the applicant has 45 daysto rectify what has not been observed.9 Art. 6 …” „… Technical Commissionis of the view that an application is not in compliance with the Regulations, it …”

Article 58. Rights and duties of other States in the exclusive economic zone S. 444-458

„… , as may be necessary to ensure compliance with the lawsand regulations adopted by it in conformity …” „… ‘responsibility to ensure’ compliance by vessels flying its flag with the laws andregulations concerning …” „… duty of conduct, i. e., a due diligence obligationto take all necessary measures to ensure compliance …”

Article 23. Foreign nuclear-powered ships and ships carrying nuclear or other inherently dangerous or noxious substances S. 213-217

„… . Compliance …” „… noted further below.2. Compliance4It is the flag State’s duty to ensure that any such vessel flying its …”

Article 16. Exclusive right to explore and exploit S. 2224-2235

„… required the Authority to take anymeasures pursuant to Part XI in order to ensure compliance with the …” „… recognized sea lanes essential to international navigation.’ As Brownwrites, compliance can be secured by way …” „… ascertaining that the proposed exploration activities will be conductedin compliance with Art. 147 of the …”

Article 138. General conduct of States in relation to the Area S. 964-968

„… with those States.31Article 139Responsibility to ensure compliance and liability for damage1. States …” „… compliance under article 153, paragraph 4,and Annex III, article 4, paragraph 4.3. States Parties that are …”

Article 119. Conservation of the living resources of the high seas S. 830-850

„… requirements for the salvage of derelict gear, andthe establishment of national compliance authorities. The …” „… effort; allocation of fishing opportunities; compliance and enforce-ment; and protection of the wider …” „… requirements articulated in the FAO Compliance Agreement,47 theUNFSA and the CBD. However, Art. 119 provides no …”

Article 60. Artificial islands, installations and structures in the exclusive economic zone S. 464-480

„… the Convention the coastal State has the authority to take appropriate measures toensure compliance …” „… only demands compliancewith the generally accepted international standards regarding navigation in the …”

Article 6. Responsibility and liability S. 2540-2544

„… general purpose of Annex IX Art. 6 is to ascertain parties’compliance with the law of the sea while …” „… violations of the obligations under these agreements’,11 even if compliance3 Art. 304 UNCLOS.4 …”

Article 22. Sea lanes and traffic separation schemes in the territorial sea S. 208-213

„… responsibility to ensure thispublicity. Compliance with navigational rules within a sea lane will depend on the …” „… (COLREGs)were revised, with Rule 10 making compliance with all TSS mandatory.56 These developments were taken …”

Article 19. Meaning of innocent passage S. 186-196

„… compliance with coastal States lawsunder draft Art. 18, although this raised concerns about whether trivial …” „… compliance with such local laws is a requirement of passage under Art. 19 (1) sinceregulations must relate to …” „… powers to ensure compliance withsuch laws should be construed as non-innocent because this act would be …”

Article 3. Exploration and exploitation S. 2126-2135

„… the protection of the marine environment,24 and byformulating charges of non-compliance to the Seabed …” „… over activities in the Areafor the purpose of ensuring compliance with Part XI of the Convention, Annex …” „… measures to ensure such compliance as stipulated by Art. 139, Art. 153(4) of the Convention and Art. 4 (4 …”

Article 290. Provisional measures S. 1866-1878

„… trilateral convention:‘is relevant to an evaluation of the extent to which the parties are in compliance with …” „… mmensure prompt compliance with the measures prescribed’. Art. 95 (2) ITLOS Rules provides,in terms similar …” „… has beencomplied with, compliance with Art. 283 has been addressed.63 Without being so …”

Article 11. Finality of award S. 2486-2487

„… the application admissible on this ground.3. The Court may require previous compliance with the terms …”

Article 47. Archipelagic baselines S. 352-374

„… ) Compliance with the Water-to-Land Test …” „… Baselines Under Art. 47 (1)12 a) Compliance with the Water-to-Land Test. As early as UNCLOS I, fears had …” „… lengthof lines limitations, and the need for compliance of lines with the general configuration of …”

Article 257. Marine scientific research in the water column beyond the exclusive economic zone S. 1725-1731

„… provision in Part XIII is Art. 240 (d), which provides that MSR must beconducted ‘in compliance with all …” „… preservation of the marine environment.’This provision requires compliance not only with the provisions of the …”

Article 167. The staff of the Authority S. 1191-1198

„… ‘Compliance Office’, a ‘Data and Archive Center’ and an‘Inspector General’s Office’.283. ‘in accordance with …” „… toapplications alleging non-compliance with the terms of appointment or contracts of employment of staffmembers …”

Article 62. Utilization of the living resources S. 493-506

„… States retain some responsibility under theConvention for ensuring compliance by their vessels with the …” „… flag State to ‘take allnecessary measures to ensure compliance and to prevent IUU fishing by fishing …” „… another state without authorization, and developing enforcement mechanisms to monitorand secure compliance …”

Article 72. Restrictions on transfer of rights S. 554-556

„… , inspection, arrest and judicial proceedings, as may be necessary toensure compliance with the laws and …”

Article 12. Interpretation or implementation of award S. 2487-2489

„… the application admissible on this ground.3. The Court may require previous compliance with the terms …”

Article 27. Criminal jurisdiction on board a foreign ship S. 229-237

„… other words non-payment of charges may equate to non-compliance with therequirements of innocent passage …” „… non-payment doesnot immediately render passage non-innocent, although subsequent non-compliance withcoastal …”

Article 261. Non-interference with shipping routes S. 1744-1746

„… compliance with the obligation to provide due notice and toremove installations, provided by Art. 60 (3), as …”

Article 318. Status of Annexes S. 2037-2039

„… from 20.02.2017 18:43:573B2 9.1.580; Page size: 160.00mm 240.00mm– Non-compliance with a provision of …”

Article 232. Liability of States arising from enforcement measures S. 1561-1563

„… imposing ofunattainable compliance standards were imposed.1410In the event that a State should be compelled …”

Article 8. Applicability of Part XVII S. 2550-2553

„… .– adequate warning 147 23– artificial islands 147 19– compliance with the sea-bed regime 147 22– conduct of …”

Article 161. Composition, procedure and voting S. 1148-1157

„… , subparagraphs (a); (b); (c); (d); (e); (l); (q);(r); (s); (t); (u) in cases of non-compliance by a contractor or …” „… invite theattention of the Assembly to cases of non-compliance;(b) propose to the Assembly a list of …”

Article 283. Obligation to exchange views S. 1830-1838

„… beobjectively verified in order to demonstrate compliance with the provision: M/V ‘Louisa’ (note 1), Rejoinder …” „… would thus have founded ITLOS’s lack ofjurisdiction on the applicant State’s non-compliance with Art …”

Article 5. Declarations, notifications and communications S. 2532-2540

„… constitutes an exceptional measure which must bebased upon the strictest compliance with the principle of …” „… case of non-compliance shall be resolved by peaceful meansand in accordance with the applicable …”

Article 16. Charts and lists of geographical coordinates S. 167-176

„… ’. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166. Consequences of Non-Compliance with Art. 16 …” „… be done in GIS format.586. Consequences of Non-Compliance with Art. 1620 The legal effect for a State …”

Article 239. Promotion of marine scientific research S. 1614-1617

„… conducted in compliance with all relevant regula-tions adopted in conformity with this Convention including …”

Article 262. Identification markings and warning signals S. 1746-1749

„… compliance with the obligation to provide due notice and toremove installations, provided by Art. 60 (3), as …”

Article 224. Exercise of powers of enforcement S. 1531-1534

„… misunderstanding as to the meaning of their presence and actions. Italso aims at inducing compliance, thus avoiding …”

Article 225. Duty to avoid adverse consequences in the exercise of the powers of enforcement S. 1534-1537

„… compliance with flag States’ lawsand regulations relating to the seaworthiness of vessels ( Art. 94 (3)(a …”

Article 227. Non-discrimination with respect to foreign vessels S. 1544-1547

„… ’ working conditions in compliance with international legal instru-ments, States may choose not to grant …”

Article 99. Prohibition of the transport of slaves S. 730-733

„… theprotection of their fundamental rights in compliance with the principle of non-refoule-ment’.39 More …”

Titelei/Inhaltsverzeichnis S. I-LII

„… the Convention and to ensure proper compliance withits provisions. It will also offer valuable …” „… Convention.The preparation of the new Commentary is also welcomed because we need to ensureproper compliance with …” „… .... .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. 241Article 30. Non-compliance by warships with the laws and regulations of the coastal State …”

Article 231. Notification to the flag State and other States concerned S. 1557-1561

„… monitoring and compliance system of international rules andstandards.1 It also takes into account States …”

Article 203. Preferential treatment for developing States S. 1352-1356

„… , Promoting Compliance with International Environmental Legal Standards: Reflections on Monitoringand …”

Article 75. Charts and lists of geographical coordinates S. 583-587

„… ), 177–178. The list of States which depositedcharts and submitted information in compliance with due …”

Article 260. Safety zones S. 1740-1744

„… effect, since compliance with them should preclude claims by otherStates concerning the incompatibility …”

Article 92. Status of ships S. 700-704

„… boarding, inspection, arrest and judicial proceedings, as may benecessary to ensure compliance with the …”

Article 1. Title to minerals S. 2113-2117

„… theprotection of the marine environment, and will accept verification by the Authorityof compliance therewith …”

Article 166. The Secretariat S. 1187-1191

„… adequacy of and compliance withregulations and coordinate its implementation. The programme needs the …”

Article 236. Sovereign immunity S. 1591-1596

„… to the coastal Stateresulting from the non-compliance by a warship or other government ship operated …”

Article 268. Basic objectives S. 1778-1783

„… and effective compliance with IMOnorms. The World Maritime University and the International Maritime …”

Article 145. Protection of the marine environment S. 1007-1028

„… basis in domestic law’.82 The exact content of theobligation of States Parties to ensure compliance of …” „… bind all States Parties,119 whichaccording to Art. 139 (1) are also responsible for ensuring compliance …”

Article 8. Internal waters S. 84-96

„… regime. Port State control usually refers to the preventive inspection ofships to ensure compliance with …” „… to ensure compliance with a list of internationalagreements (‘relevant instruments’66). The …”

Article 124. Use of Terms S. 893-898

„… international economique (3rd edn.1990); Abram Chayes/Anonia H. Chayes, The New Sovereignty; Compliance With …”

Article 98. Duty to render assistance S. 725-730

„… theprotection of their fundamental rights in compliance with the principle of non-refoule-ment’.39 More …”

Article 319. Depositary S. 2039-2044

„… ; Page size: 160.00mm 240.00mm– Non-compliance with a provision of an annex amounts to a breach of ‘the …”

Article 241. Non-recognition of marine scientific research activities as the legal basis for claims S. 1624-1630

„… research activities with aneconomic purpose should not be submitted to explicit compliance with all …”

Article 254. Rights of neighbouring land-locked and geographically disadvantaged States S. 1707-1713

„… fact that there would no longerbe grounds for coastal States to suspend MSR when non-compliance is …”

Article 64. Highly migratory species S. 513-519

„… implementation of and compliance with regionalarrangements and national measures regulating shark fisheries and …”

Article 3. Formal confirmation and accession S. 2522-2527

„… competence. Unlike the Agreement to Promote Compliance withInternational Conservation and Management Measures …”

Article 168. International character of the Secretariat S. 1198-1205

„… text identified non-compliance of the confidentiality clause as a ‘gravedisciplinary offence’ and …”

Article 59. Basis for the resolution of conflicts regarding the attribution of rights and jurisdiction in the exclusive economic zone S. 458-464

„… that ‘marine scientific research shall be conducted in compliance with allrelevant regulations adopted …”

Article 5. Transfer of technology S. 2147-2154

„… assurances required by that article. In cases of non-compliance with theseprocedures or in the absence of any …”

Article 120. Marine mammals S. 850-858

„… requirement of equality of treatment also raises problems relating to compliance andenforcement. While States …”

Article 7. Straight baselines S. 65-84

„… straight baseline systems: If asystem meets the guidelines, it is very likely in compliance with …” „… (1) or 7 (2); only then can they betested for compliance with the general direction criterion. It is …”

Article 157. Nature and fundamental principles of the Authority S. 1107-1115

„… relatedto Art. 157 (3) in that the former imposes a condition of respect for – and compliance with –the …”

Article 193. Sovereign right of States to exploit their natural resources S. 1287-1295

„… shelf andis not applicable in the high seas and the Area13, whereas the compliance with the duty …”

Article 237. Obligations under other conventions on the protection and preservation of the marine environment S. 1596-1605

„… in compliance with UNCLOS. As afurtherance of the general principles of the environmental part of the …”

Article 65. Marine mammals S. 519-527

„… implementation of and compliance with regionalarrangements and national measures regulating shark fisheries and …”

Article 310. Declarations and Statements S. 2001-2009

„… non-compliance is without legal effects: As noted above, declarationsamounting to impermissible reservations are …”

Article 194. Measures to prevent, reduce and control pollution of the marine environment S. 1295-1315

„… 9.1.580; Page size: 160.00mm 240.00mmproblem of ensuring comprehensive compliance with existing laws and …” „… receipt from another State of reports ofnon-compliance – is then under the obligation to investigate the …”

Article 234. Ice-covered areas S. 1566-1585

„… the marineenvironment caused by a vessel as a result of non-compliance with the laws and regulationsof …” „… compliance with Art. 234119 and laterbrought the issue before IMO arguing that conventions adopted under its …”

Article 206. Assessment of potential effects of activities S. 1369-1378

„… diligenceobligation to ensure compliance with sponsored contractor’s duties.60 Moreover, the Cham-ber, relying on Reg …”

Article 238. Right to conduct marine scientific research S. 1605-1614

„… accepted that the inclusion of non-members depends upon their compliance withthe Convention’s provisions on …”

Article 66. Anadromous stocks S. 527-536

„… Compliance with International Conservation and Manage-ment Measures by Fishing Vessels on the High Seas, 24 …”

Article 24. Institution of proceedings S. 2387-2395

„… (3) Agreement to Promote Compliance with International Conservation and ManagementMeasures by Fishing …”

Article 211. Pollution from vessels S. 1419-1443

„… interna-tional standard-setting, it aims to coordinate compliance control related to existing conven-tions …” „… . 3 aims to provide the port State with the information necessary to preventproblems of compliance in …”

Article 309. Reservations and exceptions S. 1992-2001

„… non-compliance is without legal effects: As noted above, declarationsamounting to impermissible reservations are …”

Article 156. Establishment of the Authority S. 1097-1107

„… Council would, according to that view,require similarly complex rules to achieve compliance with Art. 4 (4 …”

Article 192. General obligation S. 1277-1287

„… treaties.66 Thus, any State will havestanding to sue for breach or non-compliance. This also applies to the …”

Article 297. Limitations on applicability of section 2 S. 1906-1918

„… between the parties and inrespect of that particular dispute’9 Compliance with court and tribunal …”

Article 9. Activities in reserved areas S. 2177-2189

„… but illustrates a new way of doing business.This new way is in compliance with the legal regime …”

Article 33. Finality and binding force of decisions S. 2439-2451

„… Tribunal’s decision. With a view tofacilitate such compliance by the parties, Art. 33 (3) provides for the …”

Article 143. Marine scientific research S. 989-1002

„… of the seacompatible with the Convention, and shall be conducted in compliance with all …”

Article 17. Rules, regulations and procedures of the Authority S. 2235-2250

„… March each year a report thatcover the activities that were carried out in compliance with the programme …”

Article 160. Powers and functions S. 1132-1148

„… it may be, exists inorder to ensure compliance with the legal framework of the Authority57 and to …”

Article 154. Periodic Review S. 1089-1092

„… non-compliancethe Authority may institute proceedings before the Seabed Disputes Chamber.789. ‘A contract […] shall …”

Article 30. Judgment S. 2425-2430

„… legal rights and duties involved is also indispensable for compliancewith the judgment.13 Furthermore …”

Article 33. Contiguous zone S. 254-272

„… compliance with this strict reading of thelegal regime contained in Art. 33:72 Practice in national court is …”

Article 56. Rights, jurisdiction and duties of the coastal State in the exclusive economic zone S. 418-437

„… to ensure compliance with the lawsand regulations adopted by it in conformity with this Convention.’2 …”

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ICSID Rules and Regulations 2022

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B. Non-Compliance with an Award and the Requirement for Enforcement S. 774-775

„… ICSIDaward.B. Non-Compliance with an Award and theRequirement for Enforcement5 Article 53 ICSID Convention …” „… (international) obligation.Non-compliance with a (pecuniary) ICSID award is the prerequisite to (and leads …” „… anaward creditor to require) enforcement of an ICSID award.6 In an empirical study on the compliance of …”

Rule 53. Security for Costs S. 552-561

„… time limit for compliance,although they should take into consideration the time needed for a party to …” „… relevant terms in an order to provide securityfor costs and shall fix a time limit for compliance with the …” „… proven track-record of non-compliance with cost awards.144 In Kazmin v. Latvia, the Tribunal emphasized …”

Rule 73. Stay of Enforcement of the Award S. 681-688

„… the risk of non-recovery of sums due under an Award; the risk ofnon-compliance with the Award if it is …” „… compliance with the award; (ii) the balance of hardship as betweenthe parties; (iii) prospects of recoupment …” „… , non-compliance with the award if theaward is not annulled, adverse economic consequences on either party and the …”

A. Introduction S. 773-774

„… Compliance with Investment Awards’ (2020) 35/3ICSID Review; Gaukrodger, ‘Foreign State Immunity and Foreign …” „… ................................................................................................ ...................... 1B. Non-Compliance with an Award and the Requirement for Enforcement ......... 5C. Enforcement and …” „… encountered when enforcing an ICSIDaward.B. Non-Compliance with an Award and theRequirement for Enforcement5 …”

D.Argentina & Venezuela – A Test to the (ICSID) System S. 781-784

„… non-compliance with an awardmay be the desire to avoid creating a precedent or “opening the floodgates” (even …” „… compliance with one award will attract other investor-state claims.34The first of such waves of (mainly ICSID …” „… caused the state’s already dilapidatedfinances, it is clear that another reason for non-compliance was …”

Rule 28. Waiver S. 269-279

„… d from27.09.2022 12:09:323B2 9.1.580; Page size: 160.00mm 240.00mmnon-compliance, unless the …” „… deemed to have waived its right to objectto that non-compliance …” „… non-compliance with these thereforecan be a basis for a forum prorogatum.2. ‘if a party knows or should have …”

C. Enforcement and Execution under Article 54 ICSID Convention S. 775-781

„… as“voluntary” compliance. Where (usually partial) payment is achieved only after manyyears of enforcement …” „… case may be described, at least initially, as one of non-compliance.8Secondly, quite apart from a …” „… “remove[s] any doubt as to the legally binding character of it.”8 Thereasons for non-compliance with an …”

E. A Battle of Titans – the Spain Cases or ICSID v. the EU Legal Order S. 784-788

„… an overview of enforcement proceedings: Gaillard and Penushliski, ‘State Compliance withInvestment …” „… . 21-1276, 21-1277, 21-1289, Opinion, 18 January 2022, I(D).67 Gaillard and Penushliski, ‘State Compliance …” „… inits resistance: the EU legal order.48In short, Spain argues that compliance with, as well as …”

Rule 39. Issuance of the Report S. 771-773

„… Enforcement’, UNCTAD/EDM/Misc.232/Add.8; Gaillard and Penushliski, ‘State Compliance with Investment Awards …” „… ................................................................................................ ...................... 1B. Non-Compliance with an Award and the Requirement for Enforcement ......... 5C. Enforcement and …”

Rule 23. Decision on the Proposal for Disqualification S. 224-236

„… such an obligation is that “non-compliance is not a basis to challenge the validity of” the relevant …” „… days”.211 One commentary offers statistics and notes that compliancewith the Rule was “obviously under …”

Rule 58. Timing of the Award S. 591-596

„… ..................................................................... 202. Tribunal’s Non-Compliance with Deadlines ................................................ 22 …” „… prior versions of the ICSID Rules.152. Tribunal’s Non-Compliance with Deadlines22 a) “Best Efforts” and …” „… non-compliance with timelimits. Certain Rules may, however, encourage swiftness on the part of Tribunals.23 …”

F. Outlook – is ICSID (still) the Real Deal? S. 788-791

„… by no means leads to automatic (or even semi-automatic) compliance withor enforcement of ICSID awards …” „… point of compliance and enforcement of awards, the main strength of theICSID system may stem from its …”

Rule 22. Proposal for Disqualification of Arbitrators S. 211-224

„… not impactedby Rule 28 since they do not constitute an objection to a non-compliance of an applicable …” „… objection to a non-compliance of an applicable rule, agreementof the parties, or any order or decision of …” „… byRule 28 since they are not filed by parties, and do not constitute an objection to a non-compliance of …”

Rule 36. Evidence: General Principles S. 318-352

„… ................................................................ 114e) Non-Compliance of the Parties with the Tribunal’s Order................ 115I. General Matters1 …” „… to excusenon-compliance with disclosure requirements, such as the invocation of privilege.According …” „… cases of non-compliance, such as the drawing ofadverse inferences.13968 When drawing adverse inferences …”

B. Commentary S. 591

„… ..................................................................... 202. Tribunal’s Non-Compliance with Deadlines ................................................ 22 …”

A. Introduction S. 590-591

„… ..................................................................... 202. Tribunal’s Non-Compliance with Deadlines ................................................ 22 …”

Rule 2. Contents of the Request S. 85-91

„… a reference to compliance withfork-in-the-road clauses and other conditions for submitting the …” „… toarbitration, including the date of entry of the international treaty and compliance withthe conditions set by …”

Regulation 14. Fees, Allowances and Charges S. 38-46

„… states and the publicfor steps to ensure compliance with deadlines requirements, ICSID has adopted …” „… case-specific timing factors); and that in order to monitor compliance with timeframes, ICSID would be …”

„… dispute toarbitration, including the date of entry of the international treaty and compliance withthe …”

Rule 3. General Duties S. 115-125

„… , ifsuch were requested. ICSID Arbitration Rules (2022), Rule 47. The sanctions for non-compliance with …” „… reasons.”).103 ICSID Working Paper #2, para. 22 (“[T]o monitor compliance with time frames, ICSID will …”

Rule 37. Disputes Arising from Requests for Production of Documents S. 352-371

„… proceedingsthat compliance with the parties’ right to be heard can still be ensured.115 e) Non-Compliance of the …” „… cost too much. However, this would still allow such objecting party toargue that compliance with such …”

Rule 12. Time Limits Applicable to the Tribunal S. 148-155

„… commitments (Rule 19(3) of the ICSID ArbitrationRules 2022);– track compliance with Tribunal time limits on …”

C. The ICSID Convention and the ICS Model S. 794-799

„… . In cases of non-compliance with this obligation, the contracting partiesto EU investment agreements …”

Index S. 861-868

„… objections to jurisdiction AR28 7–8– of objections to non-compliance with or-ders/decisions AR28 19– of the …”

Rule 52. Decisions on Costs S. 544-552

„… shall fix a time limit for compliance with the order.(6) If a party fails to comply with an order to …”

Rule 55. Settlement and Discontinuance by Agreement of the Parties S. 573-581

„… settlement agreement in the consent Awardcontains an arbitration clause, a non-compliance with the consent …”

Rule 47. Provisional Measures S. 489-513

„… that Argentina adopt the necessary measures to ensure full compliance with theICSID provisions and …” „… compliance with this requirement, ICSID Tribunals customarilyinvite parties to exchange written submissions …”

B. The Once and Future ICSID S. 811-835

Rule 48. Ancillary Claims S. 513-524

„… such anadjudication was also in compliance with Article 46 of the Convention499 (emphasisadded). Hence …”

Titelei/Inhaltsverzeichnis S. II-XXII

„… ................................................................................................ ............................ 773B. Non‐Compliance with an Award and the Requirement for Enforcement ............... 774C …”

Rule 6. Review and Registration of the Request S. 95-99

„… remedies or compliancewith a consultation or “cooling off” period are considered questions of admissibility …”

Rule 11. Extension of Time Limits Applicable to Parties S. 142-148

„… compliancewith the time limits.267 As a result, against the backdrop of such “special circumstances”,261 See …”

Rule 24. Incapacity or Failure to Perform Duties S. 236-243

„… statistics and notes that compliancewith the Rule was “obviously under strain”, with “7 decisions taking …”

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The Genocide Convention

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III. Consequences of non-compliance with ‘undertake to enact’ S. 252

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Big Data and Law

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Volume 2021 C.H.BECK, München

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N. Legal consequences of non-compliance with the legal requirements set out in this guide S. 159-168

„… N. LEGAL CONSEQUENCES OF NON-COMPLIANCE WITH THE LEGAL REQUIREMENTS SET OUT IN THIS GUIDE 510The …” „… relevant here]. N. Legal consequences of non-compliance with the legal requirements set out in this guide …” „… with regard to the same subject matter, compliance with all those measures (Art. 83 (2) (i) GDPR); 147 …”

I. Erasure obligations S. 117-134

„… question and for compliance with the legal conditions. In other words, the assignee of all rights and …” „… document destruction procedures therefore does not release the user from compliance with erasure rules, let …” „… GDPR compliance. I. Erasure obligations 122 6. Types of data for which the intended use provides the …”

Titelei/Inhaltsverzeichnis S. I-XXIII

„… ) Processing carried out in the public interest or in compliance with a legal obligation …” „… ............................................................................................. 41 4. Securing instruments for compliance with data protection obligations of a controller of Big …” „… ......................................... 155 III. Compliance management system …”

J. Relevant rights of data subjects in Big Data applications according to the GDPR S. 135-146

„… compliance, IT security, and senior management 13. Data integrity 460Personal data stored in the Big Data …” „… measures (integrity and confidentiality); 464 Compliance with all these principles, even in the case of Big …” „… application is obliged to ensure compliance with the principles in Art. 5 (1) GDPR and must, above all, be …”

M. Protection of Big Data applications S. 155-158

„… the subject of trade secrets within the meaning of § 2 No. 1 GeschGehG. III. Compliance management …” „… system 499 Big Data activities should be part of a compliance management system. In practical terms, the …”

A. Introductory remarks S. 1-14

„… carried out in the public interest or in compliance with a legal obligation 31 The GDPR allows Member …” „… collection and processing of personal data must at all times be in a position to prove compliance with data …” „… necessary. This preliminary examination is required from general compliance aspects in order to prevent …”

C. The controller S. 37-48

„… ) GDPR with regard to content and form. 4. Securing instruments for compliance with data protection …” „… controller can prove compliance with the data protection provisions (Art. 5 (2) GDPR on accountability). A …” „… of individual personal data from the backup, too; – assist the controller in ensuring compliance with …”

E. Lawful ground for data processing (collection, acquisition, transmission, evaluation and commercialization) S. 53-70

„… data not relating to natural persons, factual data and anonymized data, only compliance with the …” „… ) GDPR); I. Statutory lawful grounds for personal data 55 – the processing is necessary for compliance …” „… particular on the basis of demonstrating compliance pursuant to Art. 5 (2) GDPR). – The processing of special …”

Index of keywords S. 177-178

„… trade secret 49, 105 C Change of purpose 230 – dynamic 234 Collective works 81, 527 Compliance …”

O. Big Data Applications as a service S. 169-174

„… technically capable of maintaining client separation within his cloud application and of ensuring compliance …”

D. Specific requirements and tasks of the data protection officer with regard to Big Data applications S. 49-52

„… not only check for compliance of relevant data protection provisions, but also of the internal …”

L. System data protection when operating Big Data applications S. 149-154

„… compliance. 489 Against this background, possible technical and organizational measures that may become …”

H. Development of a Big Data application S. 83-116

„… . compliance data on natural persons and companies from a data service provider), it is initially important …” „… than applied for the original data collection; for personal data, therefore, there must be compliance …”

B. Types of data S. 15-36

„… available to everyone for use in Big Data applications, lawful use of open data requires compliance with the …”

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International Arbitration 10x10

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5. Excess of jurisdiction or non-compliance with the procedure are reasons for challenging an award S. 172-174

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Controlling

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CON Volume 24 (2012) Issue 3 ISSN Online: 0935-0381 C.H.BECK, München

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Klaus Wolf Compliance Controlling S. 181-187

„… ¾ Compliance-Untersuchungen¾ Compliance-Reviews¾ Compliance-KontrollenDas Siemens-Compliance-System¾ Vorbeugen ¾ Erkennen …” „… ComplianceControlling........................................................Die nachfolgend dargestellten Ansätzefür die Ausgestaltung eines ComplianceControlling haben keinen …” „… Unternehmenspraxis........................................................Definition und Ziele des ComplianceManagementDer Begriff „Compliance“ ist in der Literatur und Praxis …”

Burkhard Pedell Optimierung des Beteiligungscontrollings S. 133-135

„… ComplianceControlling hinsichtlich Planung, Kontrolle und Informationsversorgung ineinem Compliance Management System …” „… branchen- undländerspezifische Vergleiche vorgenommen.Compliance ControllingZiele, Adressaten und Ansätze …” „… Unternehmen ein Compliance Management System eingeführt, wobei insbesondere Haftungsfragen der Organmitglieder …”

Titelei S. U1-U2

„… Vergleich derNachhaltigkeitsberichterstattungHummelCompliance ControllingWolfCONTROLLING-DIALOG Controlling …”

VERANSTALTUNGEN S. 198-206

„… Funktionen Risikomanagement,Compliance und Interne Revision diskutiert. Eine festliche Abendveranstaltung,die …”

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Controlling

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CON Volume 21 (2009) Issue 2 ISSN Online: 0935-0381 C.H.BECK, München

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Ulrike Baumöl Compliance S. 106-108

„… % Spezielle Compliance-Programme35% Compliance-Beauftrager/26% Compliance-Abteilung13% gar nicht82 …” „… . 2: Compliance-Umsetzung und Compliance-Controllingden Rahmen für Vorgaben und Maßnahmen setzen muss …” „… Standardabfragen durch den Compliance-Manager Ort Compliance-Portal und Desktop-Arbeitsplatz des …”

LITERATUR S. 132-135

„… Fachbuch-TestMarc Diederichs undMartin KißlerAufsichtsratreporting. CorporateGovernance,Compliance …” „… Compliancestellt sich zunehmend die Frage nach deradäquaten Rolle des Controllings. DasBuch gibt insbesondere in …”

Klaus Möller Innovation ist in! S. 73-76

„… BaumölCompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 …”

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Controlling

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CON Volume 22 (2010) Issue 11 ISSN Online: 0935-0381 C.H.BECK, München

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Petra Schaffner, Richard Mayer-Uellner Notwendigkeit, Konzeption und Elemente eines effektiven Compliance-Systems S. 611-616

„… - undKapitalmarktrecht tätig.Stichwörter: Code of Conduct Compliance-Officer Compliance-System Haftung und …” „… Compliance-Systems........................................................Commitment oder Mission StatementEin effektives Compliance-System setztvoraus, dass sich die …” „… Compliance-Systems - 3 Modelle aus der Praxis -Stabsstelle ComplianceRechtsabteilungInterne Revision/Risikomanagement …”

Sven Hirsekorn, Robert Heinicke, Thomas Kirstan Aufbau und Prüfung eines Compliance Management Systems und die Rolle des Controllings hierbei S. 598-604

„… Anmerkungenentsprechend. Compliance-ProgrammDas Compliance-Programm bildet denformellen Rahmen der Compliance-Aktivitäten …” „… Überschneidungen zu denCOSO Komponenten vorliegen. Compliance-KulturFür ein erfolgreiches Compliance-Programm ist …” „… unterstreichen, kann dieses vonErfolg gekrönt sein. Compliance-ZieleDie Festlegung der Compliance-Ziele erfolgt …”

Bernd Schartmann, Frank Büchner Interne Revision heute - ein Eckpfeiler für mehr Compliance S. 605-610

„… Interne Revision heute – ein Eckpfeilerfür mehr ComplianceBernd Schartmann und Frank …” „… Financial ControlsFinancial Controls & ComplianceGovernance, Risk& ControlsOperational ControlsEra of …” „… Berichterstattung• Einhaltung der gesetzlichen Vorgaben und interner Compliance-Richtlinien • Zuverlässige und …”

Burkhard Pedell Controlling als Bindeglied zwischen Compliance und Performance S. 593-595

„… von zentraler Bedeutung.Angesichts der verstärkten Auseinandersetzung mit der Compliance-Thematik …” „… gehen auf die Rolle des Controllings beim Aufbau und der Prüfung eines Compliance-Management-Systems ein …” „… bestehen und welche Aspekte insbesondere bei der Einführung eines Compliance-Systems zu berücksichtigen …”

Claudine Perlet Interdisziplinäre Zusammenarbeit der Kontrollfunktionen als Chance für ein besseres Risikomanagement? Plädoyer für einen integrierten Ansatz S. 617-621

„… Compliance.Die immer wieder geführte Diskussion,welche Struktur der anderen überlegenist, soll an dieser Stelle …” „… & ComplianceControllingInformationTechnologyCommon charter & language+Harmonized risk & control processesAbb. 2: Organisationsrahmen mit Integrated …” „… 4/2010 (WA), Mindestanforderungen an die Compliance-Funktionund die weiteren Verhaltens …”

LITERATUR S. 653-656

„… NavePraxishandbuch Corporate ComplianceGrundlagen, Checklisten, ImplementierungWeinheim: WILEY-VCHVerlag 2009, 454 …” „… Compliance-Risken inden einzelnen Unternehmensbereichenzu identifizieren, vorzustellen und Vorschläge für die Praxis …” „… sowie zusätzlichenCompliance-Anforderungen erweitertsich der Aufgabenumfang der Finanzfunktion immer …”

Dietrich Walther, Dirk Nölken, Thomas Reichmann Das Outsourcing von komplexen Management- und Controlling-Prozessen am Beispiel der Die Skonto AG S. 645-650

„… Verarbeitungsprozess sicherzustellen. Die Anforderungen des Compliance-Managementsim Hinblick auf die Analyse und …” „… derCIC Group, www.ciconline.deStichwörter Compliance Factoring Next Generation Outsourcing …” „… beachten. Das Risikomanagement(vgl. Reichmann, 2006, S. 615 ff.) und dieCompliance sind daher für eine …”

Titelei/Inhaltsverzeichnis S. U1-U2

„… Compliance-SystemsSchaffner/Mayer-UellnerInterdisziplinäre Zusammenarbeit der Kontrollfunktionenals Chance für ein besseres Risikomanagement? Plädoyerfür …” „… . M.CONTROLLING-SCHWERPUNKTCompliance11/2010Controlling-SchwerpunktComplianceCONTROLLINGAufbau und Prüfung eines Compliance …” „… für mehrComplianceSchartmann/BüchnerNotwendigkeit, Konzeption und Elemente eineseffektiven …”

Thomas Reichmann, Martin Kißler Neue Anforderungen an das strategische Controlling S. 596-597

„… , verstärktsind jedoch auch volkswirtschaftliche,ethische und rechtliche Risiken (Compliance-Risiken) zu beachten …”

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Mindestanforderungen an das Risikomanagement (MaRisk)

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Anlage 21: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Sitzung des MaRisk-Fachgremiums am 24. April 2013 Protokoll S. 1753-1757

„… der Compliance-Funktion beschrieben noch eine abschließende Definition von Compliance-Risiken …” „… BaFin fasst zu Beginn der Sitzung kurz ihre Sichtweise zum Thema Compliance-Funktion zusammen, wie sie …” „… 2 entnehmen. Mit der Compliance-Funktion soll nicht nur den Risiken, die sich aus der …”

Anlage 19: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Rundschreiben 10/2012 (BA) zur Überarbeitung der MaRisk Übermittlungsschreiben vom 14. Dezember 2012 S. 1746-1750

„… Anforderungen an die Compliance-Funktion auf eine angemessene Compliance-Kultur innerhalb des Institutes ab, die …” „… vor allem in den neuen Modulen AT4.4.1 (Risikocontrolling-Funktion) und AT4.4.2 (Compliance-Funktion …” „… Compliance-Funktion und Verrechnungssysteme für Liquiditätskosten, -nutzen und -risiken infrage. Dabei bietet sich …”

AT 4 Allgemeine Anforderungen an das Risikomanagement S. 221-711

„… - und -controllingprozesse (?AT4.3.2), die Risikocontrolling-Funktion und die Compliance-Funktion. In …” „… Compliance-Funktion (?AT4.4.2) und die Interne Revision (?AT4.4.3) gehören, im Rahmen des traditionellen Modells der …” „… , einschließlich der Prozesse zur Berichterstattung, sowie der Risikocontrolling-Funktion, der Compliance-Funktion …”

AT 8 Anpassungsprozesse S. 786-826

„… sein, z.B. die Risikocontrolling-Funktion, die Compliance-Funktion oder die Rechtsabteilung …” „… Compliance-Funktion und die Interne Revision im Rahmen ihrer Aufgaben zu beteiligen (?AT8.1 Tz.5). In der Regel bilden …” „… Risikocontrolling-Funktion, die Compliance-Funktion und die Interne Revision (zumindest) zu beteiligen (?AT8.1 Tz.5). Soweit …”

Anlage 18: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Erster Entwurf zur Überarbeitung der MaRisk Übermittlungsschreiben vom 26. April 2012 S. 1741-1745

„… zugutekommen. Beispielhaft sei hier auf die Anforderungen an die Compliance-Funktion (AT4.4.3) sowie auf das …” „… und beinhaltet mit dem Risikocontrolling und der Compliance-Funktion nun zwei weitere wichtige …” „… Compliance-Funktion ist im deutschen Aufsichtsrecht kein Novum. Eine entsprechende Funktion wird schon nach §33 WpHG …”

Anlage 27: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Mindestanforderungen an das Risikomanagement (MaRisk) inkl. Erläuterungen Rundschreiben 09/2017 (BA)vom 27. Oktober 2017 S. 1773-1836

„… – eine Risikocontrolling-Funktion und eine Compliance-Funktion. Das Risikomanagement schafft eine …” „… -controllingprozesse einzurichten und c) eine Risikocontrolling-Funktion und eine Compliance-Funktion zu implementieren …” „… : – Risikocontrolling-Funktion, – Compliance-Funktion, – Marktfolge, – Abwicklung und Kontrolle. Sofern die Übergangsfristen zu …”

AT 9 Auslagerung S. 827-945

„… Auslagerung der Compliance-Funktion nach MaComp............................................ 185 5.8 …” „… ....................................... 308 11.7 Vollauslagerung der Compliance-Funktion …” „… Compliance-Funktion sowie der Internen Revision. Da diese besonderen Funktionen für die Geschäftsleitung wichtige …”

BTR 4 Operationelle Risiken S. 1517-1560

„… Compliance-Risiken 33 Das Compliance-Risiko bezeichnet das Risiko, dass gegen Gesetze, Vorschriften oder interne …” „… Compliance-Risiko beschäftigt sich naturgemäß die Compliance-Funktion, die in verschiedenen Gesetzen und …” „… Compliance-Risiken verbunden sind. Genannt werden zudem Auslagerungsrisiken und Risiken der Zusammenarbeit mit …”

Anlage 23: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Erster Entwurf zur Überarbeitung der MaRisk Übermittlungsschreiben vom 18. Februar 2016 S. 1760-1763

„… , Vollauslagerungen der Compliance-Funktion und der 1762 BaFin-Schreiben vom 18. Februar 2016 Internen Revision nur …” „… Kontrollbereichen Risikocontrolling, Compliance und Interne Revision, die als Steuerungs- und Kontrollinstrumente …” „… Möglichkeit von Teilauslagerungen in den genannten Funktionen und Bereichen (Risikocontrolling, Compliance, IR …”

AT 5 Organisationsrichtlinien S. 712-726

„… , Risikosteuerungs- und -controllingprozesse, Risikocontrolling- und Compliance-Funktion) und zur Internen Revision …” „… auf datenschutzrechtliche Bestimmungen sowie Compliance-Regelungen. Es bietet sich an, in diesem …” „… Zusammenhang im Wesentlichen auf die Tätigkeit der Compliance-Funktion abzustellen. Die Compliance-Funktion …”

Teil I S. 1-86

„… Risikocontrolling-Funktion und die in den MaRisk erstmals explizit genannte Compliance-Funktion. Daneben wird seither von …” „… zwischen der Geschäftsleitung und dem Aufsichtsorgan und zur Einrichtung einer Compliance-Funktion als …” „… )............................................................................................ 184 8.3 Mindestanforderungen an Compliance (MaComp …”

Anlage 29: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Sitzung des MaRisk-Fachgremiums am 15. März 2018 Protokoll S. 1839-1844

„… Funktionen Risikocontrolling-Funktion, Compliance-Funktion oder Interne Revision [...] lediglich für …” „… unnötig einzuschränken. Hinsichtlich der Compliance-Funktion wird seitens der Teilnehmer angemerkt, dass …” „… Tz. 5 MaRisk, dass »eine vollständige Auslagerung der Compliance- Funktion oder der Internen …”

AT 1 Vorbemerkung S. 90-136

„… -controllingprozesse) und – eine Risikocontrolling-Funktion und eine Compliance-Funktion. Das Risikomanagement schafft …” „… eine Risikocontrolling- und eine Compliance-Funktion zu verfügen. Im Rahmen der vierten MaRisk-Novelle …” „… eine umfassende und unabhängige Risikocontrolling-Funktion als auch eine Compliance-Funktion …”

Literaturverzeichnis S. 1887-1932

„… Finanzdienstleistungsaufsicht, Mindestanforderungen an die Compliance-Funktion und weitere Verhaltens-, Organisations- und …” „… Compliance-Funktion, 25.Juni 2012. European Securities and Markets Authority, Leitlinien zu einigen Aspekten der …” „… . Compliance-Organisation in der Bankenund Wertpapierdienstleistungsbranche, S.651–669. Gebhard, Rüdiger/Reeder, Johannes …”

AT 3 Gesamtverantwortung der Geschäftsleitung S. 193-220

„… Risikocontrolling-Funktion und eine Compliance-Funktion umfasst; d) in angemessenen Abständen, mindestens aber …” „… Compliance-Funktion bleiben die Geschäftsleiter und die Geschäftsbereiche für die Einhaltung rechtlicher Regelungen …” „… Beschlüsse der Geschäftsleitung, die für die Compliance-Funktion wesentlich sind, sind ihr bekanntzugeben …”

Stichwortregister S. 1933-1955

„… – Beteiligung der Compliance-Funktion AT 8.2, 10 – Beteiligung der Internen Revision AT 8.2, 10 – Beteiligung …” „… Compliance-Funktion AT 4.4.2, 66 – der Internen Revision AT 4.5, 99; AT 9, 301 – Einbeziehung in Risikomanagement AT 9 …” „… 3 KWG AT 4.4.2, 4 Compliance-Beauftragter – auf Konzernebene AT 4.4.2, 86 – Benennung AT 4.4.2, 76 …”

Titelei/Inhaltsverzeichnis S. I-XXXVIII

„… . Stärkung der Risikocontrolling- und Compliance-Funktion sowie der Internen Revision führten. Mit der …” „… .................................................................................. 583 AT 4.4.2 Compliance-Funktion …” „… .................................... S. 618 Abb. 42: Kernaufgaben der Compliance-Funktion …”

Anlage 26: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Rundschreiben 09/2017 (BA) zur Überarbeitung der MaRisk Übermittlungsschreiben vom 27. Oktober 2017 S. 1767-1772

„… der Risikocontrolling-Funktion, der Compliance-Funktion und der Internen Revision, nicht vollständig …” „… Institute vorgesehen; diese können ihre Compliance-Funktion und die Interne Revision weiterhin vollständig …”

BT 1 Besondere Anforderungen an das interne Kontrollsystem S. 946-952

„… (?AT4.4.1) und einer Compliance-Funktion (?AT4.4.2) insbesondere die Anforderungen an die Ausgestaltung …” „… - und die Compliance-Funktion sowie geschäfts- und risikoartenübergreifende Prinzipien an das interne …”

AT Allgemeiner Teil S. 87-89

„… 4.4.1 Risikocontrolling-Funktion AT 4.4.2 Compliance-Funktion AT 4.4.3 Interne Revision AT 5 …”

BTO Anforderungen an die Aufbau- und Ablauforganisation S. 953-991

„… Geschäftsleiter (?AT4.4.1 Tz.5), zur Einrichtung der Compliance-Funktion als eigenständige Organisationseinheit …” „… , 2000, S.17–18. Compliance- und die Risikocontrolling-Funktion spielen alle eine wesentliche Rolle bei …” „… nicht-risikorelevantes Geschäft Handel nicht-risikorelevante Aktivitäten Rechnungswesen Treasury Compliance Abb. 52 …”

AT 6 Dokumentation S. 727-732

„… Stresstests (?AT4.3.3 Tz.1 und 4), bei der möglichen Wahrnehmung der Aufgaben des Compliance-Beauftragten …”

AT 7 Ressourcen S. 733-785

„… besonderen Funktionen gestellt, also an die Leiter der Risikocontrolling-Funktion, der Compliance-Funktion …” „… Personen sowie der Compliance-Beauftragte haben besonderen qualitativen Anforderungen entsprechend ihres …” „… einen umfangreichen Katalog von Fachkenntnissen, die die mit der Compliance-Funktion nach MaComp …”

BT 3 Anforderungen an die Risikoberichterstattung S. 1617-1672

BTR Anforderungen an die Risikosteuerungs- und -controllingprozesse S. 1223-1247

„… Risikocontrolling-Funktion gehört hingegen mit der Compliance-Funktion u.a. zur zweiten Verteidigungslinie (?AT4.4 …” „… Rechtsrisiken und (Fehl-)Verhaltensrisiken insbesondere Compliance-Risiken, Reputationsrisiken sowie IT-Risiken …”

BT 2 Besondere Anforderungen an die Ausgestaltung der Internen Revision S. 1561-1616

„… und Kontrolle, und in Kontrollbereiche, wie die Risikocontrolling-Funktion und die Compliance-Funktion …” „… das Institut weiteren wesentlichen Risikoarten, wie z.B. das Compliance-Risiko oder das …”

AT 2 Anwendungsbereich S. 137-192

„… Wertpapierdienstleistungs-Verhaltens- und Organisationsverordnung (WpDVerOV) sowie den Mindestanforderungen an die Compliance-Funktion …” „… 11 Bundesanstalt für Finanzdienstleistungsaufsicht, Mindestanforderungen an die Compliance-Funktion …” „… Compliance-Funktion sowie – die Einrichtung einer Konzernrevision. 25 Im Rahmen des Trennbankengesetzes wurden die …”

BTO 2 Handelsgeschäft S. 1161-1222

„… Compliance als interner Kontrahent fungieren sollte und auf interne Geschäfte sogar ein höheres Augenmerk …”

BTR 2 Marktpreisrisiken S. 1291-1362

BTO 1 Kreditgeschäft S. 992-1160

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Controlling

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CON Volume 20 (2008) Issue 3 ISSN Online: 0935-0381 C.H.BECK, München

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Johannes Isensee Compliance-Controlling S. 161-162

„… entsprechendeInstrumente für z. B. das Compliance-Reporting liefert.Die Durchführung des Compliance-Controllings folgt …” „… Organisationsformen.Abb. 1: Einordnung des Compliance-Controllings im Organisations-Controlling (in Anlehnung an v …” „… . Werder/Grundei 2006, S. 19–21)Controlling-Lexikon Compliance-ControllingAusgangssituationEine zunehmende Zahl an …”

Péter Horváth Back to the roots: Compliance! S. 123-124

„… EditorialBack to the roots: Compliance!Liebe Leserinnen und Leser,die Controllingpraxis greift …” „… „Chief-Compliance-Officer“geschaffen worden. Auch die Interne Revision ist bei Compliance-Themengefordert. Hier ist also Koordination …” „… ist es aber, dass er Compliance-Aufgabeneine stärkere Aufmerksamkeit schenkt.Mit den besten …”

Titelei/Inhaltsverzeichnis S. 1-122

„… to the roots: Compliance! 123Controlling-Wissen Carsten Knobel und Sascha MayerManagementorientiertes …”

Dr. Michael Kieninger, Prof. Dr. Dr. h.c. mult. Péter Horváth Controlling bei Horváth und Partners S. 157-160

„… Partners Controlling, Heft 3, März 2008 159Neu: Corporate Compliance Zeitschrift.Mit Best Practice gegen …”

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WiSt - Wirtschaftswissenschaftliches Studium

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WIST Volume 38 (2009) Issue 2 ISSN Online: 0340-1650 C.H.BECK, München

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Jens Grundei, Till Talaulicar Corporate Compliance S. 73-77

„… sind.3.3. Compliance-OrganisationUnter den Compliance-Maßnahmen erfährt die Ausgestaltung einer …” „… Corporate ComplianceProf. Dr. Jens Grundei, Berlin, und Dr. Till Talaulicar …” „… Einrichtung einer zweckmäßigen Compliance-Organisation besondere Bedeutung zu.Prof. Dr. Jens Grundei ist …”

Titelei/Inhaltsverzeichnis S. I-IV

„… EinführungGrundei/Talaulicar Corporate ComplianceFendel/Frenkel Die Subprime Krise 2007/08: Ursachen, Auswirkungenund …” „… Talaulicar, BerlinCorporate Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73Prof …”

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WiSt - Wirtschaftswissenschaftliches Studium

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WIST Volume 43 (2014) Issue 5 ISSN Online: 0340-1650 C.H.BECK, München

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Stefan Greil, Sven Kiesow Tax Compliance S. 270-273

„… Das aktuelle StichwortTax ComplianceStefan Greil und Sven KiesowDr. Stefan Greil ist u.a. Dozent …” „… der Steuerpflichtige imRahmen seiner Tax Compliance-Strategie sein unternehmensindividuelles Risiko zu …” „… ermitteln, die Unternehmensführung sich zur Rechtsstreue zu bekennen (Tax Compliance-Commitment), eine …”

Titelei/Inhaltsverzeichnis S. 1-226

„… C.H.BECK und Vahlen · München · Frankfurt a.M.Das aktuelle StichwortTax ComplianceStefan Greil/Sven Kiesow …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266Das aktuelleStichwortTax ComplianceDr. Stefan Greil, Berlin, und Dipl.-Finanzwirt (FH) Sven Kiesow …”

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CON Volume 26 (2014) Issue 4-5 ISSN Online: 0935-0381 C.H.BECK, München

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Tatiana Badaeva Korruptions-Controlling S. 283-285

„… demnach zu einer deutlicheren Compliance-Orientierung und zu einem vergleichsweise höheren Umfang der …” „… Compliance-Maßnahmen einzurichten, das allerelevanten unternehmensinternen und-externen Regelungen erfasst und darüber …” „… Compliance-Management-Systems wird in Deutschland mittlerweile fast konform von zahlreichen Unternehmensvertretern befürwortet …”

Heinz Heineke, Thomas Reichmann Controlling bei der Schleupen AG S. 286-288

„… , dieEinhaltung von Compliance-Anforderungen sowie die Dokumentation undPrüfung des internen …” „… , praxisgerechte Softwareproduktezu liefern.Beim Thema Compliance sehe ich alsmittelständischer Unternehmer die …”

VERANSTALTUNGEN S. 295-302

„… Kontrollsystem sowie Compliance-Aufgaben■ Motivations- und Anreizsysteme■ Vergleich verschiedener …”

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