Erfolgreich mit Compliance. Barbara Neiger

(Stand 05.03.2021)

       Schweiz: FINMA Rundschreiben 2017/1: Leitplanken zur Corporate Governance bei Banken (https://www.finma.ch/de/news/2016/11/20161101-mm-rs-corporate-governance-bei-banken/ (Stand 05.03.2021)

      54Italien Executive decree no. 231 of 8 June 2001, “Discipline of the administrative liability of legal persons, of companies and of associations even without a legal status, pursuant to Article 11 of Law no. 300 of 29 September 2000”, published in the Gazzetta Ufficiale no. 140 of 19 June 2000. http://www.oecd.org/investment/anti-bribery/anti-briberyconvention/45508054.pdf (Stand 05.03.2021)

       Spanien: Criminal Code, https://www.legislationline.org/download/id/6443/file/Spain_CC_am2013_en.pdf; Circular 1/2016, de 22 de enero, sobre la responsabilidad penal de las personas jurídicas conforme a la reforma del Código Penal efectuada por Ley Orgánica 1/2015. (Rundschreiben 1/2016 vom 22. Januar über die strafrechtliche Verantwortlichkeit juristischer Personen gemäß der Reform des Strafgesetzbuchs durch das Organgesetz 1/2015.) https://www.boe.es/buscar/doc.php?id=FIS-C-2016-00001, (Stand 05.03.2021)

       US: U.S. Department of Justice-Criminal Division: Evaluation of Corporate Compliance Programs (Updated June 2020) https://www.justice.gov/criminal-fraud/page/file/937501/download, (Stand 05.03.2021)

      559-28.000 Justice Manual US-Justizministerium (https://www.justice.gov/jm/jm-9-28000-principles-federal-prosecution-business-organizations, (Stand 05.03.2021)

      56https://www.ussc.gov/guidelines/2018-guidelines-manual/annotated-2018-chapter-8#NaN (Stand 05.03.2021)

      57Vgl. z.B.:(i) United States vs. The Boing Company, Jänner 2021. https://www.justice.gov/opa/pr/boeing-charged-737-max-fraud-conspiracy-and-agrees-pay-over-25-billion . (ii) United States vs. Airbus SE, Jänner 2020. https://www.justice.gov/opa/pr/airbus-agrees-pay-over-39-billion-global-penalties-resolve-foreign-bribery-and-itar-case (Stand 05.03.2021)

      58https://www.worldbank.org/en/about/unit/integrity-vice-presidency#3 (Stand 05.03.2021)

      59African Development Bank Group, Asian Development Bank, European Bank for Reconstruction and Development, Inter-American Development Bank Group. https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ac_home/faqsxb (Stand 05.03.2021)

      60: https://www.worldbank.org/en/projects-operations/procurement/debarred-firms (Stand 05.03.2021)

2Umsetzung der ISO 37301 im Kontext