Haftungsvermeidung und -minimierung bei Aufsichtspflichtverletzung und Verbandsgeldbuße durch Compliance in der Praxis

The work shows from a qualitative empirical study whether and in what circumstances compliance leads to an avoidance of (or even increase in) liability in the case of provisions on fines levied on organisations (§ 30 OWiG, German Law on Administrative Offences) and breach of supervisory duties (§ 130 OWiG) essential to the responsibility of companies in Germany. As well as covering case-law and academic literature it introduces the practical viewpoint as a further source of knowledge in the form of interviews.
The work deals both with the question of a legal duty to implement a compliance management system and also with the factual and legal consequences element of § 30 and § 130 OWiG as well as the practice followed by law enforcement agencies in exercising their discretion. It also examines whether compliance might in certain cases lead to an increase in liability.
The author comes to the conclusion that effective compliance has a positive effect on avoidance of fines.