Selected References

Observer and Panelist at COSP8 to UNCAC, Abu Dhabi, UEA

December 15, 2019

Honored to be again (after Panama/2013, St.Petersburg/2015 and Vienna/2017) member of IACA’s delegation to the Conference of State Parties (COSP) to the UN Convention against Corruption (UNCAC) and to support - as a Master in Anti-corruption Studies (MACS) graduate 2014 - the Academy in the promotion of their broad range of anti-corruption training to professionals - thus supporting the UN Sustainability Goal (SDG) 16.5). 

Together with other MACS graduates and current students, the panel elaborated on several questions: impact of education in the fight against corruption; presenting specific examples on empowering professionals through education is viewed by government and private sectors organisations; how skills and knowledge acquired through IACA helped us making an impact in the field of anti-corruption.

Lecturer and facilitator for ISO 37001 capcity building workshop, Kuala Lumpur, Malaysia

December 07, 2019

5-days regional of the capacity building initiative of the International Standardization Organization on “ISO 37001:2016 Anti-bribery Management Systems – a tool to contribute to the UN SDGs” in Kuala Lumpur, Malaysia, from 9 to 13 December 2019. This WS within the ISO Action Plan for Developing Countries 2016-2020 is sponsored by the Swedish International Development Cooperation Agency (Sida). Together with my co-lecture we support ed42 participants representing 17 countries from the Asian, South-East Asian and Pacific region (Afghanistan, Bangladesh, Bhutan, Fiji, India, Indonesia, Iran, Lao, Mongolia, Myanmar, Nepal, Pakistan, Philippines, Sri Lanka, Thailand, Vanuatu, Viet Nam) in identifying their ways to promote ISO standards – focusing on anti-bribery and sustainable development – to support the UN SDGs, in understanding bribery issues and the requirements of ISO 37001 as a tool to fight it and on becoming aware of qualifications and techniques about auditing against ISO 37001.

Head of Austrian delegation to TC 309 Organisational Governance, New Delhi, India

November 02, 2019

The 5th plenary meeting of ISO/TC 309 Organizational Governance closed on 9 December 2019. As expert delegate it was my privilege and pleasure to contribute to the remarkable progress achieved in various working groups: Guideline Standards for Organizational Governance (WG1) and Whistle-blowing (WG2), by WG3 on the soon to be published Handbook for ISO 37001 Anti-bribery management systems, and by WG 4 on ISO 37301 Compliance management system (i.e. revision of ISO 19600 to a certifiable requirement standard). Good governance, or the lack of it, impacts the achievement of each of the 17 UN Sustainable Development Goals (SDG). The importance attributed to the ISO/TC 309 is expressed in the high number of members: 52 participating countries with voting rights, 20 observing countries, 39 internal and external liaisons organizations. 

Lecturing at the International Anti-Corruption Academy (IACA), Laxenburg, Austria

October 24, 2019

As an Alumni of the 1st MACS (2014) it is always a privilege and a pleasure to come back as lecture to the International Anti-Corruption Academy (IACA)! A big thank you to the students from 11 countries for the lively discussion on ISO 37001 Anti-bribery management system for being a tool to prevent, detect and react to bribery and related offenses. As part of Module V on “Corruption, Compliance and the Private Sector” of the MACS 2018 program we elaborated similarities to the international standards ISO 19600 Compliance management systems (currently under revision and to be published as a requirement standard under the new number ISO 37301 by latest end 2020). With this group of highly engaged mid-career professionals working in the areas related to anti-corruption agencies, law enforcement, police, compliance in the private sector, we further discussed the usefulness of certification systems for anti-corruption compliance.

FAIR BUSINESS Compliance Certificate for STANLIB Ltd., Johannesburg, South Africa

September 29, 2019

STANLIB Ltd. is one of the largest investment managers in South Africa with more than R600 billion (USD35 billion) asset under management. 100% owner is Liberty Holding Ltd (LHL), one of the leading financial service groups (insurance) in South Africa. Majority owner of LHL is Standard Bank of South Africa Limited, the biggest lender in terms of asset in the country.

 

The certification audit was performed by Austrian Standards plus GmbH, a certification body in accordance with ISO/IEC 17021 and 100% subsidiary of Austrian Standard International. The certificates attests the effective implementation of a CMS according to ISO 19600 Compliance management systems - Guidelines.

CONDUCTING the certification audit as independent LEAD AUDITOR on-site in Johannesburg. 

Compliance Management Systems according ISO 19600 und ISO 37001, Vienna, Austria

September 24, 2019

As CO-HOST of a round table providing an overview of the essential parts of ISO management system standards. A group of more than 30 experienced compliance experts took the opportunity to ask questions how to make their company fit for ISO 19600 Compliance Management Systems and ISO 37001 Anti-bribery Management System. Demonstration of the certification process and its preparation rounded-off the event.

Compliance Executive Week, Warsaw, Poland

July 02, 2019

LECTURER of two sessions on Challenges and Opportunities of Compliance Standardisation and Certification in the first edition of the Compliance Executive Week organized by the Instytut Compliance at the Pałac Zdunowo near Warsaw.

It was a unique event with highly insightful workshops and lectures, approaching compliance in a holistic view (from regulations over integration of measures into business processes to compliance culture and reaction to miscount) to support business development.

ISO 373001 (former ISO 19600) Compliance Management System Standard, Beijing, China

June 02, 2019

The revision and upgrade of ISO 19600 Compliance Management System to a requirements standard (with new number IO 37301) has made a decisive step forward to its publication end 2020. More than 500 comments on the draft from 19 countries around the globe (Argentina and Brazil over France and Switzerland to India, China and Japan) were resolve by experts during the 3rd Working Group 4 meeting of ISO/TC 309 Governance of Organizations in Beijing during this week. As the HEAD of the Austrian Delegation, it was my great pleasure to successfully cooperate with such determined WG-members towards the common goal! 

VIII annual ICA conference - COMPLIANCE: expanding the boundaries, Moscow, Russia

May 22, 2019

It was my honor and pleasure to engage as PANELIST in two session with featured experts in lively discussions!

Session 1 Five global trends and how they affect compliance tasks

Developing ISO compliance management systems standards and the benefits of external certification to increase  and thus support business development

Session 2 Compliance risks in changing reality 

Clarifying the interconnection of risk appetite for compliance risks and zero tolerance.

ORGANIZATIONAL GOVERNANCE to support SUSTAINABLE DEVELOPMENT

November 01, 2018

A very productive week of the 3rd plenary meeting of ISO/TC 309 Organizational Governance closed today in Sydney. Good governance, or the lack of it, impacts the achievement of each of the 17 UN Sustainable Development Goals (SDG). The ISO - International Organization for Standardization committee contributes with standards directly to the SDGs on Decent Work and Economic Growth (8), Industry, Innovation and Infrastructure (9), Reduced Inequality (10), Sustainable Cities and Communities (11), and Peace, Justice and Strong Institutions (16). As head of the Austrian delegation it was my honor and pleasure to contribute together with such dedicated experts from 27 countries to the remarkable progress achieved in various working groups: on new guideline standards for organizational governance (WG1) and whistle-blowing WG2), WG3 on the soon to be published handbook for ISO 37001 Anti-bribery management systems, and by WG 4 on the revision of the guideline standard ISO 19600 Compliance management system to a requirement standard (then ISO 37301 and certifiable). Extensive work is ahead to assure completion of agreed tasks until the 4th plenary meeting in New Delhi in November 2019.

Lecturing at the International Anti-Corruption Academy (IACA), Laxenburg, Austria

October 18, 2018

What a great day of lecturing at the International Anti-corruption Academy (IACA) returning as as MEMBER of the VISITING FACULTY for the third time this year! As part of Module V on “Corruption, Compliance and the Private Sector” of the MACS program we discussed the international standards ISO 19600 Compliance management systems and ISO 37001 Anti-bribery management as management tools to prevent, detect and react to bribery and related offenses. A big thank you to the students from 15 countries, all of them are mid-career professionals working in the areas related to anti-corruption, law enforcement, police, compliance, media, etc. – for their intensive and substantiated discussion on the efficacy of certification systems for anti-corruption compliance.

National Workshop on application of ISO 37001 Anti-bribery management system, Amman, Jordan

September 18, 2018

FACILITATOR in a 2-days national workshop to promote the international standard ISO 37001 Anti-bribery management systems as part of the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization. An engaged group of participants from the public, private and civil sector reflected on an anti-bribery culture by implementing appropriate measures to prevent, detect and react to potential incidents of wrong doing. 

All the best for the implementation of measures elaborated during the group works and case studies!

Jordan Standards and Metrology Organization (JSMO) - application ISO 37001, Amman Jordan

September 17, 2018

Congratulations to the Jordan Standards and Metrology Organization (JSMO) in applying ISO 37001 Anti-bribery management system! It was a great honor and pleasure for me to supporting a working group of such talented people over the past months. Wishing you encouragement and success on your further path in integrating measures in existing processes and procedures to ensure the effectiveness of the ABMS.

The workshop is the 2nd part of an IMPLEMENTER engagement within the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization which aims to strengthen local standardization institutions in developing, promoting and supporting the use of standards, as well as to build capacity of private sector's stakeholders to apply standards.

National Workshop on application of ISO 37001 Anti-bribery management system, Cairo, Egypt

September 05, 2018

A great thank you to all participants for the intensive and profound discussion during the national workshop on ISO 37001 Anti-bribery management systems as part of the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization. Your contribution to corruption risk assessment and psychology of misconduct were very enriching. All the best for the implementation of the measures developed during the group works!

ISO 37001 Anti-bribery management system, National Seminar, Cairo, Egypt

September 04, 2018

Honored and delighted for having lectured today at the national seminar on ISO 37001:2016 Anti-bribery Management Systems to a distinguished audience of very active participants from the public, private and civil sector in Egypt. A great thank you to the Egyptian Organization for Standardization and Quality as host for this event within the MENA STAR Project, financed by SIDA - Swedish International Development Cooperation Agency and run by ISO - International Organization for Standardization.

Egyptian Organization for Standards & Quality (EOS) - application of ISO 37001, Cairo, Egypt

September 01, 2018

It was a great week at the Egyptian Organisation for Standards and Quality (EOS) in applying ISO 37001 Anti-bribery management system! Congratulations to the working group on the progress over the last four months - EOS to become the role model for the public sector in Egypt to apply this international standard.

The workshop is the 2nd part of an IMPLEMENTER engagement within the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization which aims to strengthen local standardization institutions in developing, promoting and supporting the use of standards, as well as to build capacity of private sector's stakeholders to apply standards.

Jordan Standards and Metrology Organization (JSMO) - application ISO 37001, Amman Jordan

July 23, 2018

​3-days on-site meeting at the premises of JSMO in Amman on 22-24 July 2018. The first day started with a sessions on awareness building and on positioning ISO 37001 as tool for preventing corruption within the local context. The focus of the remaining part of the mission was to verify the current establishment and application of the requirements of ISO 37001 in PSI and to conduct a preliminary bribery risk assessment. 

The workshop is the 1st part of an IMPLEMENTER engagement within the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization which aims to strengthen local standardization institutions in developing, promoting and supporting the use of standards, as well as to build capacity of private sector's stakeholders to apply standards.

National Workshop on application of ISO 37001 Anti-bribery management system, Ramallah, State of Palestine

July 17, 2018

FACILITATOR in a 2-days national workshop to promote the international standard ISO 37001 Anti-bribery management systems as part of the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization. An engaged group of participants from the public, private and civil sector reflected on an anti-bribery culture by implementing appropriate measures to prevent, detect and react to potential incidents of wrong doing. 

All the best for the implementation of measures elaborated during the group works!

Palestine Standards Institution (PSI) - application ISO 37001, Ramallah, State of Palestine

July 16, 2018

3-days on-site meeting at the premises of PSI in Ramallah on 15-17 July 2018. The first day started with a sessions on awareness building and on positioning ISO 37001 as tool for preventing corruption within the local context. The focus of the remaining part of the mission was to verify the current establishment and application of the requirements of ISO 37001 in PSI and to conduct a preliminary bribery risk assessment. 

The workshop is the 1st part of an IMPLEMENTER engagement within the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization which aims to strengthen local standardization institutions in developing, promoting and supporting the use of standards, as well as to build capacity of private sector's stakeholders to apply standards.

Training for Korea Pharmaceutical and Bio-Pharma Manufacturers Association

July 11, 2018

Professionals from the Republic of Korea’s Pharmaceutical and Bio-Pharma Manufacturers Association at the IACA campus for a specially developed anti-corruption and compliance training program.

LECTURER on ISO 37001 Anti-bribery Management System to equip them with concrete guidance and tools for implementing an AMBS in their organisation. The requirements of the standards are presented and are compared with requirements of international applicable laws and regulations such as the FCPA, the UK Bribery Act, the OECD Guideline, the Brazilian Clean Company Act or the recent French Sapin II law.

Egyptian Organization for Standards & Quality (EOS) - application of ISO 37001, Cairo, Egypt

May 14, 2018

3-days on-site meeting at the premises of EOS in Cairo on 13-15 Mai 2018. The first day started with a sessions on awareness building and on positioning ISO 37001 as tool for preventing corruption within the local context. The focus of the remaining part of the mission was to verify the current establishment and application of the requirements of ISO 37001 in PSI and to conduct a preliminary bribery risk assessment. 

The workshop is the 1st part of an IMPLEMENTER engagement within the MENA STAR Project, financed by SIDA (Swedish International Development Agency) and implemented by ISO - International Organization for Standardization which aims to strengthen local standardization institutions in developing, promoting and supporting the use of standards, as well as to build capacity of private sector's stakeholders to apply standards.

Certification of Compliance Management System (CMS) according ISO 19600

April 24, 2018

Thurgauer Kantonalbank (TKB) - as first bank in Switzerland - obtained the ISO certificate 19600 for its compliance management system. The certificate confirms that the Bank fully implements the recommendations for developing, implementing, evaluating and improving an effective compliance management system. With the certification, TKB wants to ensure a permanently high quality of compliance. Certification reviewed compliance with over 240 requirements in seven areas - organization, leadership, planning, processes, operations, evaluation and improvement. The certification has to be renewed every three years.

MANAGING the audit team and CONDUCTING the CMS audit as independent Lead Auditor for Austrian Standards.

Certification for CSR Internal Audit for ISO 26000 Corpoarte Social Responsiblity (CSR)

April 19, 2018

After successfully passing the exam of a 5-days auditor certification course at Austrian Standard certified in accordance with the relevant certification scheme have in-depth knowledge of the content of the ISO 26000 standard on Corporate Social Responsibility (CSR) and is thus able to plan, introduce and maintain a CSR management system in an organization, and to carry out internal audits based on ISO 26000.

International Standards within the International Master in Anti-Corruption Complainec and Collective Action (IMAAC) at the International Anti_Corruption Academy (IACA)

April 10, 2018

As MEMBER of the VISITING FACULTY providing a big picture of the contribution of voluntary international standards to the combating of corruption in any organisation of the public, private or civil sector. The course is to make the participants familiar with two international voluntary best practice standards on compliance management system (CMS) according ISO 19600 and on anti-bribery management system (ABMS) according ISO 37001 and to equip them with concrete guidance and tools for implementing a CMS/AMBS in their organisation.

The requirements of the standards are presented and are compared with requirements of international applicable laws and regulations such as the FCPA, the UK Bribery Act, the OECD Guideline, the Brazilian Clean Company Act or the recent French Sapin II law.

Corporate Compliance Practice within the Banking, Finance and Compliance Master Program

March 01, 2018

SS 2018 (2 ECTS): Unlike other courses that concentrate on a particular function, institution or topic within the field of compliance (e.g. financial reporting, insider trading or money laundering) my lecture about corporate compliance practice is a big picture course structured in several:

Several management concepts for enhancing effectiveness of a compliance program will be reviewed and discussed:

• organizational culture as determination for adequacy of measures;

• change management to support a structured approach for development and implementation;

• external verification embedded in the concepts of signalling qualification and attitude.

Principles of Corporate Governance International Business Administration Bachelor Program

November 14, 2017

Based on a historical background the approach of this course to the understanding of corporate governance is a broad one. They are seen as a system to ensure that managers are committed to the creation of long-term value for shareholders and that the externalization of costs of such corporate value creation to stakeholders and the society at large are minimized. 

Starting point is the focus on three decisive debates that defined the understanding of modern companies: (i) the analysis of concentration by Adolf Berle and Gardiner Means in their book “The Modern Corporation and Private Property” (1932); (ii) the ideas of Ronald Coase on “The Nature of the Firm” (1937); and (iii) the social dimension and economic purpose of companies as argued by Peter Drucker in “The Future of Industrial Man” (1942).

Corporate Governance within the Banking, Finance and Compliance Master Program

October 01, 2017

WS2017/18 (2 ECTS): The objective of this course is to provide for the developing of a foundational understanding and knowledge of corporate governance in a national as well as international context. The course will prepare future managers to participate in the development and implementation of good governance which include – among others – such matters as:

1. Relationship, rights and responsibilities of shareholders, directors and management;

2. Nature, structure, composition, and duties of institutions such as boards, individual committees and management;

3. Policies/procedures relating to accounting, auditing, executive compensation, and financial reporting.

Regional workshop on ISO 37001:2016, Anti-bribery management systems, Beirut, Lebanon

November 06, 2017

TRAINER for ISO Academy in a 3-days WS within MENA STAR project on ISO 37001:2016 Anti-bribery Management. The MENA STAR is a four-year project designed to support sustainable development in the Middle East and North Africa (MENA) region. It is financed by the Swedish International Development Cooperation Agency and run by ISO - International Organization for Standardization. 30 participants from 9 countries (Algeria, Egypt, Iraq, Jordan, Lebanon, Morocco, State of Palestine, Syrian Arab Republic, Tunisia) have developed knowledge and shared experience about the standard’s requirements and guidance, its contribution to sustainable development, the linkages and integration between other management systems standards and how to carry out a bribery risk assessment.

Regional workshop on ISO 37001:2016, Anti-bribery management systems, Belgrad, Serbia

October 22, 2017

TRAINER for ISO Academy for a workshop to improve the dissemination, use of, and compliance with, standards. The workshop will be delivered in English with simultaneous interpretation into Russian. 29 participants from 16 countries (Albania, Armenia, Azerbaijan, Belarus, Bosnia and Herzegovina, Georgia, Kazakhstan, Lithuania, Moldova, Montenegro, Romania, Serbia, The former Yugoslav Republic of Macedonia, Ukraine, Uzbekistan) have developed knowledge and shared experience about:

  • Anti-bribery and its contribution to sustainable development

  • Requirements and guidance of the international standard ISO 37001:2016

  • Linkages and integration between other management systems standards and management standards

  • How to develop an Anti-Bribery Management System and how to carry out a bribery risk assessment

  • Best practice on how to start implementation of ISO 37001 and the route to certification

Certification of Compliance Management System (CMS) according ISO 16900, ISO 37001 and ONR 192050

October 19, 2017

Casinos Austria Group reached another milestone to achieve serious gambling in Austria: the certification according to Compliance standards ISO 19600, ISO 37001 and the CSR standard ONR 192500 conforming compliance with conditions regarding gambling law, anti-money laundering and anti-corruption and underlines the responsible treatment of the group with the environment and the society.The certified Compliance Management System comprises the following legal entities: Casinos Austria AG, Austrian Lotteries GmbH, win2day Entwicklungs- und Betriebsgesellschaft m.b.H., Tipp3 Österreichische Sportwetten GmbH., Winwin Glück- und Unterhaltungsspiel BetriebsgesmbH.

MANAGING the audit team and CONDUCTING the CMS/CSR audit as independent Lead Auditor for Austrian Standards.

Certification of Compliance Management System (CMS) according ISO 16900, ISO 37001

October 08, 2017

HYPO NOE First Facility has been officially certified being the first facility manager to receive anti-corruption and compliance certification in accordance with ISO 19600 and ISO 37001 standards in Austria.

Acting as independent Lead Auditor for Austrian Standards.

BEST OF with Drago Kos at the International Anti-Corruption Academy (IACA)

July 03, 2017

PARTICIPANT in the seventh “Best Of” seminar that took place in July 2017 and featured Drago Kos, Chair of the OECD Working Group on Bribery and a member of IACA’s frequent visiting faculty. The two-day program covered a range of issues, including the roles of anti-corruption agencies, the private sector, civil society, and individuals in fighting corruption. Participants also discussed the struggle against corruption in conflict and post-conflict states, and took part in a practical exercise

Certification ISO 37001 Anti-bribery management system - first SME in Austria

June 27, 2017

AME International GmbH (AME) is a global provider of complex, state of the art healthcare technology solutions, based in Vienna, Austria. The AME Compliance Framework (AMECF) closely corresponds with the ISO 19600:2014 and ISO 37001 Standards.  

Acting as LEAD AUDITOR in the conformity assessment audit of AME’s  Anti-Bribery Management System to receive certification according to ISO 37001 on 28 June, 2017 – as the first small and medium-sized company in Austria.

EU Deepening Knowledge School – Economic Modules, Durres, Albania

May 26, 2017

AmCham Kosovo is organizing the EU Deepening Knowledge School - Economic Modules, a project funded by Kosovo Foundation for Open Society (KFOS), which aims to deepen EU knowledge, economic and trade aspects Kosovo will deal with in its process towards integration in the European Union.

It was my pleasure and honour to provide a one-day LECTURE on anti-corruption management systems to committed and dedicated professionals of the public sector of Kosovo. In the afternoon, the WORKSHOP on practical implementation contributed to the fight against corruption by building teamwork and strengthening inter-institutional networking and advocacy among participants.

Corporate Compliance Practice within the Banking, Finance and Compliance Master Program

April 17, 2017

SS 2018 (2 ECTS): Unlike other courses that concentrate on a particular function, institution or topic within the field of compliance (e.g. financial reporting, insider trading or money laundering) my lecture about corporate compliance practice is a big picture course structured in several:

Several management concepts for enhancing effectiveness of a compliance program will be reviewed and discussed:

• organizational culture as determination for adequacy of measures;

• change management to support a structured approach for development and implementation;

• external verification embedded in the concepts of signalling qualification and attitude.

Corporate Governance within the Banking, Finance and Compliance Master Program

April 17, 2017

Lauder Business School, Vienna, Austria

SS 2017 (2 ECTS): The course is how Corporate Governance of companies are to structured and directed so that for every decision the right questions get asked and adequate checks and balances are in place to ensure long-term, sustainable value creation for investors, employees and the community at large.

II. International Congreso Compliance, Madrid

January 01, 2020

On Friday, 12 May 2017, 9:00 in the 6th Panel on : Compliance Superstructures - ISO Standard 19600

PANELIST Barbara Neiger - neiger C. Advisory – Austria together with 
Bartosz Makowicz Viadrina Compliance Center – European-UniversityViadrina – Germany

Presented and moderated by Alain Casanovas, lawyer and partner in charge of Compliance at KPMG Lawyers.

KOCHAR & Co Inc. - ISO 19600 and ISO 37001 training, Dubai

March 14, 2017

A week long training hosted by the law firm KOCHAR & Co Inc., Dubai on Anti-Corruption Compliance in Taj Dubai, along with ETHIC Intelligence on the two international standards ISO 37001 Anti-bribery management sysrems - Reuqirements with guidance for use and ISO 19600 Compliance managements systems - Guidelines.

It was my pleasure and honor to PROVIDE TRAINING and work with the committed and dedicated participants, who had joined from across the world.

Denison Consulting - European Certification Workshop for Business Partners, London

January 25, 2017

In an environment where the reputation is an essential asset for sustainable business development, a strong culture of ethics and compliance is the foundation of a robust risk management program. 

As a fundamental component of an effective ethics and compliance program, culture is now referenced in several Guidelines to international applicable regulations, which include expectations for organizations to promote an “organizational culture that encourages ethical conduct” and “compliance with the law.”

More and more, ORGANISATIONAL CULTURE has to move from a lofty concept to something TANGIBLE that is defined and measured, that can be continually improved.

ICA certificate for ISO 19600:2014 “Compliance management systems” for Sberbank, Moskau

December 28, 2016

Sberbank of Russia is the leader of the Russian banking industry accounting for 28.6% of aggregate banking assets. The Bank operates through 14 territorial banks and over 16.5 thousand branches in all 83 constituent entities of the Russian Federation located across 11 time zones. Services are provided to over 137 million retail clients and to over 1.1 million corporate clients.

The certification audit was performed by ICS LLC, the exclusive partner of the International Compliance Association (ICA) for assessing conformity of compliance management systems in Russia and in CIS.

MANAGING the audit team and CONDUCTING the CMS audit as independent Lead Auditor.

ISO 37001 Anti-bribery management system

November 16, 2016

Eine neue Norm von Anwendern für Anwender (A new standard for useres develop by users)

VORTRAG zur Generalversammlung 2016 (Lecture at the General Assemlby of the Austrian Association of Compliance Officer)

Benefits of International Standards for Preventing Misconduct. Brussels

November 06, 2016

The 2016 Compliance Week Europe conference looks beyond the basics of compliance program management to what the future of what a robust and truly integrated program should be.

ISO 37001 Anti-Bribery Management Systems (ABMS) and the ISO 19600:2014 Compliance Management Systems (CMS) provide potential powerful tools for organizations to prevent and detect misconduct within their operations and in relation to business partners.

LECTURER in a session to discuss how the implementation of these standards can support a strong conduct culture and provide evidence of an effective compliance surveillance based on an adequate risk assessment

The 2nd International Compliance Forum: The Art of Effective Corporate Compliance. Nicosia.

October 13, 2016

The recent evolution in the legal, regulatory, and governance framework on an international level, have rendered the importance of an effective compliance function into a strategic aspect for all corporations.

LECTURER: The personal liability of the Compliance Officer and effective ways of managing it
The international standards ISO 19600:2014 Compliance Management Systems (CMS) and the ISO 37001 Anti-Bribery Management Systems (ABMS), which will launch in 2016, provide potential powerful tools for organizations to prevent and detect misconduct within their operations and throughout their supply chains. The session will discuss how the implementation of these standards can support a strong conduct culture and provide evidence of an effective compliance surveillance based on adequate risk assessments.

Standards and Guidelines: Recent Developments in Anti-corruption Compliance. Paris

September 11, 2016

The conference will take stock of the 10 years of guidelines starting with the Italian Law Decree 231 in 2001 to the soon-to-be-published ISO standard 37001 on Anti-bribery Management Systems. Representatives from various idustries are invited to elaborate on the added-value of these guidelines.

PANELIST: Non-governmental standards: what do they add?

IV. Viadrina Compliance Congress - Compliance Across Europe

July 05, 2016

Cross border compliance issues are discussed by European experts from more than 12 European countries and organisations representing academia, business, authorities, international organisations and more.

PANELIST on Cross Border Compliance Standards

Corporate Compliance Practice within Banking, Finance and Compliance Master Program

June 27, 2016

Unlike other courses that concentrate on a particular function, institution or topic within the field of compliance (e.g. financial reporting, insider trading or money laundering) my lecture about corporate compliance practice is a big picture course structured in six units:

- Introduction to the concept of compliance and the position of compliance management in the governance structure of an organization

- Compliance risk management as component of a broader enterprise risk management framework

- Role of actors in compliance management

- Role of functions – like Communication, Human Resources, etc. – in compliance management

- Compliance management in a group structure and in the supply chain management

- Reporting, investigation and external verification of compliance management

Several management concepts for enhancing effectiveness of a compliance program will be reviewed and discussed:

• organizational culture as determination for adequacy of measures;

• change management to support a structured approach for development and implementation;

• external verification embedded in the concepts of signalling qualification and attitude.

ISO 37001 - the new standard on Anti-bribery management systems

June 15, 2016

Yearly gathering of Compliance - Law - Internal Audit

My LECTURE about new international standard ISO 37001 Anti-bribery management system focus on:

- differences between ISO 19600 und ISO 37001

- stautus of development (publication expectd end 2016)

- benefits of certification

ISO 37001 Anti-bribery management systems

May 28, 2016

After ISO/DIS 37001 received vast majority approval in the voting closed April 4, 2016, the FINAL Project Meeting for developing this international best practice requirement standard is to clarify the final comments to the standard.

Participating as featured expert and Head of the Austrian delegation to ISO/PC 278. Negotiating the Austrian position in all project meetings (Madrid/04.2014, Miami/09.2014, Paris/03.2015, Kuala Lumpur/09.2015).

9. INFORMATICS SAPshots - Compliance with and within SAP

May 11, 2016

The INFORMATICS SAPshots event series focuses on subjects that are of great important for the efficiency of your business processes. Twice a year the company invites two a symposium, where participants receive theoretical and practical input for their  organisations.

As SPEAKER I reflected on compliance risk-assessment.

OECD Integrity Forum, Paris

April 18, 2016

The OECD and the CleanGovBiz Initiative organise annually an Integrity Week at the OECD Headquarters to actively support governments and organisations to strengthen integrity, build trust, and fight corruption.

PANELIST at the Integrity Forum 19-20 February on Standards, Certification and Accreditation Instruments as Incentives for Corporate Integrity.

International Compliance Association (ICA) - Members' Assembly, London

April 11, 2016

Guest speaker on "Psychological Aspects of Compliance - external verification of a compliance program as a tool to increase ability to respond."

The presentation gave encouragement to critically look at one’s own behavior and the behavior of others to identify measures supporting compliant behavior. The external verification of a compliance program is one of these measures to sustainable increase internal and external awareness about the status of compliance management within an organisation.

1st International Congreso Compliance, Madrid

March 16, 2016

The 1st International Compliance Congress has been organised to gather key players involved in compliance functions in a view to making the congress into a reference for all professionals while contributing to the dissemination of the compliance function in Spain.

Speaker on ISO 19600 Compliance management systems and ISO 37001 Anti-bribery management systems

I generally believe that the conference was a great success with high-level panels of national and international experts from public and private sector. A large number of participants followed at the auditorium and via live-streaming. 

Integrity Officer Network

March 09, 2016

As an essential element of the Austrian Anti-Corruption Strategy a national integrity officer network is currently in development and in implementation. The Austrian Anti-Corruption Agency (BAK) provides the framework for this network in form of basic education, scientific expertise and international knowledge, public relations and consultation with interested parties and servicing of an internet platform ("Integrity Board"). Target group are executives and managers from all sectors (public, private and civil) from the fields of legal, HR, QM, controlling and internal audit.

Within the one-week basic education I delivered training on ethics and compliance management programs and systems.

V. Annual ICA Compliance Conference, Moscow

February 17, 2016

SPEAKER on "Recommendations of a compliance management system auditor on how to achieve effective management of compliance obligations". 100+ delegates - including representatives from the Bank of Russia, Federal Antimonopoly Service of the Russian Federation, Federal Agency for State Property Management and the Ministry of Labour and Social Protection - attended the event, sponsored by Thomson Reuters, Dentons, Debevoise & Plimpton, Alvarez & Marsal and Pepeliaev Group.

ICA Compliance 2015 Award

February 17, 2016

RECEIVING the award for SUCCESSFUL COMPLIANCE - my practical guide to ISO 19600:2014 at the V. Annual ICA Conference in Moscow on February 18, 2016. At the opinion of the Expert Council, the book's influence is very wide as it is not only useful for compliance professionals for developing a CMS within an organisations but also important for students, regulators, lawyers, risk managers, directors etc, even for those who are not aware about compliance and need to gain understand (right knowledge from the beginning). Expert Counsel wanted to emphasize that the achievement is bringing knowledge to people, jurisdictions, and to compliance as a discipline.

4th Assembly of Parties of the International Anti-Corruption Academy (IACA), Vienna

December 08, 2015

On the occasion of the International Anti-Corruption Day, IACA welcomes more than 250 delegates from around the world forming 70 national delegations.  Important items on the agenda included elections to IACA’s Board of Governors and fundraising activities for the Academy.

PARTICIPATING as member of the IACA delegation.

 

Experience with Certification of Compliance Management Systems

December 03, 2015

HOSTING two round tables about experience with certification of Compliance Management Systems according ONR 192050:2013 and ISO 19600:2014 Compliance Management Systems. 

Compliance now!

December 02, 2015

SPEAKER about the upcoming International Standard ISO 37001 Anti-Bribery Management Systems (publication expected in late 2016)at Austria's most relevant meeting point for compliance experts and practitioners to exchange about current issues, trends and developments.

 

 

November 01, 2015

Participating in the sixth session of the Conference at the Lenexpo Exhibition Complex in St. Petersburg, Russian Federationas as OBSERVER and PANELIST being a member of the delegation of the International Anti-Corruption Academy (IACA).

 

 

Compliance Training at the Austrian Federal Bureau of Anti-Corruption (BAK)

October 19, 2015

LECTURER at the Austrian Federal Bureau of Anti-Corruption (BAK)

Developing and Implementing a two-day work-shop organized by BAK: How can lawful conduct be ensured?

Participants came from various departments of the Austrian Minstery of Interior, mainly from the security sector.

 

ISO 37001 Anti-bribery management systems ISO/PC 278 Anti-Bribery Management System, Kuala Lumpur

September 26, 2015

Project Meeting for developing an international best practice requirement standard.

Participating as featured expert and Head of the Austrian delegation to ISO/PC 278. Negotiating the Austrian position in all project meetings (Madrid/04.2014, Miami/09.2014, Paris/03.2015, Kuala Lumpur/09.2015).

Successful Compliance - Practical Guide for efficient organisations with ISO 19600:2014 Compliance Management Systems

September 08, 2015

AUTHOR of the Practical Guide explains elements of ISO 19600:2014 and provides practical tips for a phased implementation of a Compliance Management System (CMS) in any type of organisation. Austrian Standards, Vienna.

Certification of a Compliance Management System (CMS) according ISO 19600:2014

July 14, 2015

Rosenbauer receives the Fair Business Compliance Certificate by the Austrian Standards Institute in accordance with ISO 19600:2014.

Participating in the preparing, conducting and follow-up of conformity assessment audit as  Auditor.

IRCA Certified ISO 9001:2015 Lead Auditor Training Course

May 17, 2015

Course to gain confidence, knowledge and skills required to undertake and lead a successful management systems audit of an organization's Quality Management System (QMS) to ISO 9001:2015. Over 5 days, knowledge and skills gained required to describe the purpose of an ISO 9001:2015 QMS audit and satisfy third-party certification.

Erfolgreich mit Compliance - zur effizienten Organisation mit ISO 19600:2014

June 03, 2015

AUTHOR of the Practical Guide (written in German: Erfolgreich mit Compliance) explains all elements of ISO 19600:2014 and provides numerous practical tips for a phased implementation of a Compliance Management System (CMS) in any type of organisation. Austrian Standards, Vienna.

Lecture on ISO 19600:2014

June 16, 2015

Co-Lecturer at a one day course at Austrian Standards, Vienna, Austrian, that provided comprehensive information on the new international standard ISO 19600:2014 and the Austrian standard ONR 192050 in respect to the development, implementation, maintenance and continual improvement of a compliance management system.

Compliance Certification MA48 (part of municiplaity office), Vienna

March 11, 2015

Municipal Department of the City of Vienna for Waste Management, Street Cleaning and Vehicle Fleet (MA 48)

By Austrian Standards Institue, handing over the Certificate according the ISO 19600 Compliance management system (CMS) to the Head of MA 48. 

Having CONDUCTED the CMS audit as independent lead auditor.

Lecturing on the new standards ISO 19600:2014 Compliance Management Systems

March 03, 2014

Lecturer at a half-day course at Austrian Standards, Vienna, Austrian, that provided comprehensive information on the new international standard ISO 19600:2014 in respect to the development, implementation, maintenance and continual improvement of a compliance management system.

Key to effective an effectuve CMS: ISO 19600:2014 Compliance Management Systems

December 14, 2014

After two years of intensive negotiations, the new international standard ISO 19600:2014 Compliance Management Systems - Guidelines is published. 

 

Participating as featured expert of the Austrian delegation to ISO/PC 271. Negotiating the Austrian position in all project meetings (Sydney/04.2013, Paris/10.2013, Vienna/06.2014).

 

ISO 19600:2014 provides guidance for establishing, developing, implementing, evaluating, maintaining and improving an effective and responsive compliance management system within an organization.

The guidelines on compliance management systems are applicable to all types of organizations. The extent of the application of these guidelines depends on the size, structure, nature and complexity of the organization. ISO 19600:2014 is based on the principles of good governance, proportionality, transparency and sustainability.

 

ISO is an independent, non-governmental international organization with a membership of 162 national standards bodies. Through its members, it brings together experts to share knowledge and develop voluntary, consensus-based, market relevant International Standards that support innovation and provide solutions to global challenges.

Graduation Master in Anti-Corruption Sudies (MACS) at the International Anti-Corruption Academy (IACA)

December 08, 2014

As one of 22 students from 17 different countries I received my Master’s degrees in Anti-Corruption Studies (magna cum laude) on December 9, 2014. 

 

The MACS was launched in December 2012 as the first post-graduate progamme on anti-corruption and compliance. An “in career" programme, it was designed against an interdisciplinary background of theoretical and practical approaches, drawing on the best of the public sector and the business world. The MACS ran over two years combining seven on-site modules and distance learning. Module VI (Enforcement) was delivered in cooperation with the Malaysian Anti-Corruption Commission at the Malaysian Anti-Corruption Academy in Kuala Lumpur.

 

During his commencement address, Mr. Luis Moreno Ocampo, the guest of honour and formerly the first prosecutor of the International Criminal Court, shared his personal experience of fighting corruption. He also stressed the importance of the alumni network and reminded graduates that although those fighting corruption are always running slower than those doing it, great progress is nevertheless being made.

Internal Audit for Compliance Management Systems

November 23, 2014

Co-Lecture on a two days course at Austrian Standards, Vienna, Austrian, that prepares participants for an internal auditor activity of compliance management systems according to the new ONR 192050 in their organization.

Master in Anti-Corruption Studies (MACS - Module VII) at the International Anti-corruption Academy (IACA)

August 03, 2014

The last Module of the MACS-Program focuses on prevention through challenges and best practices in the application of legal instruments, promoting public ethics and integrity, building an anti-corruption culture, awareness raising, and the analysis and anticipation of future trends.

Stuart Gilman will talked about monitoring and evaluation strategies, asset declarations, codes of conduct, and procurement integrity, drawing on his decades of experience working at universities, non-profit organizations, and the United Nations. Sven Biermann shared the findings of his multi-year project on motivating businesses to counter corruption, which has been tested through collective action initiatives in Egypt and Nigeria.

Civil society, community integrity building, and the future of (anti)corruption and compliance will be covered by Professor Michael Levi, specializing in organized crime, corruption, fraud, money laundering and terrorism, Frederik Galtung, Chief Executive of a London-based NGO devoted to making public services work better for the poor, and Gary Hicky, a research expert with 20 years’ experience in both academic and practitioner environments.

Master in Anti-Corruption Studies (MACS - Module VI) at the International Anti-corruption Academy (IACA)

May 11, 2014

Module VI is hosted by IACA´s cooperation partner, the Malaysian Anti-Corruption Commission (MACC), in Kuala Lumpur. During this module, the participants will focus on the topic of anti-corruption and enforcement.

On the venues of the Malaysian Anti-Corruption Academy (MACA), the MACS students, together with lecturers and practitioners from South East Asia and the Pacific, will research and discuss investigations strategies and techniques by studying cases from the region. The class will also dwell into financial forensics, ethics, media, and civil society’s role in the fight against corruption.

Certification of Compliance Management System (CMS) according ONR 192050

May 04, 2014

Compliance Certification awared to Kelag AG, Kelag Wärme und Kelag Netz for proper conformity to requierements of ONR 192050 Compliance Management Systems.

Preparing, conducting and follow-up of conformity assessement audit as Lead Auditor.

 

KELAG concern (founded in 1923) is one of the leading energy service providers in Austria. Subsidiaries of the concern are actively engaged in the fields of electricity, district heating and natural gas.

Asset Quality Review (AQR) by the European Central Bank (ECB)

March 30, 2014

The ECB together with the national supervisors carried out financial health checks of such banks, the ECB will directly supervise in the future.  These comprehensive assessments helped to ensure that the banks are adequately capitalised and can withstand possible financial shocks.

The assessment usually comprises two main pillars: (i) an asset quality review (AQR) – to enhance the transparency of bank exposures, including the adequacy of asset and collateral valuation and related provisions and (ii) a stress test – to test the resilience of banks’ balance sheets, performed in close cooperation with the European Banking Authority (EBA).

Participating in the AQR under an assignment of PricewaterhouseCoopers (PWC) as team leader for specific corporate credit portfolios in Austria, Hungary, Croatia and Romania.

ISO 37001 Anti-bribery management systems - requirements / KICK-OFF Meeting

March 23, 2014

The future ISO 37001, Anti-bribery management systems, specifies a series of measures to help organizations prevent, detect and address bribery. These include adopting an anti-bribery policy, appointing a person to oversee anti-bribery compliance, training, risk assessments and due diligence on projects and business associates, implementing financial and commercial controls, and instituting reporting and investigation procedures.

Publication scheduled for late 2016.

Participating as featured expert and Head of the Austrian delegation to ISO/PC 278. Negotiating the Austrian position in all project meetings (Madrid/04.2014, Miami/09.2014, Paris/03.2015, Kuala Lumpur/09.2015).

Master in Anti-Corruption Studies (MACS - Module V) at the International Anti-corruption Academy (IACA)

February 09, 2014

Leading international expert in anti-corruption programmes, Ronald MacLean-Abaroa, shared his decade-long experiences with MACS students..

Mr. MacLean Abaroa served as mayor of La Paz between 1985 and 1997, having been democratically re-elected four times. Within two years of his first mandate, he managed to turn the city into what some sources call, an island of effectiveness and integrity, restoring and improving municipal government services, multiplying city revenues and increasing investments in public works while regaining the city’s international creditworthiness.

 

The Module V focused on the rule of law and anti-corruption, national anti-corruptions law in a comparative perspective (by Andrew B. Spalding University of Richmond School of Law), human rights and anti-corruption (Moritz Beck/Ludwig Boltzmann Institute), international legal instruments (UNCAC, OECD, etc.) against corruption (by Dimitri Vlassas/UNODC, Kathleen Kao/OECD, Nikos Passas/Northwestern University).

5th Conference of the States Parties to the United Nations Convention against Corruption (UNCAC)

November 24, 2013

Observer and featured panellist at the 5th session of the Conference of the States Parties to the United Nations Convention against Corruption (Panama) as member of the delegation of the International Anti-Corruption Academy (IACA).

Master in Anti-Corruption Studies (MACS - Module IV) at the International Anti-corruption Academy (IACA)

November 10, 2013

Module IV focuses on business and corruption. How do industrial actors embrace compliance policies rather than fear them? How are reputations managed in the era of social media? Are compliance policies in business sometimes only window dressing, potentially disguising a continuation of unsound and corrupt practices? Is the external audit of compliance policies and compliance certification a potential catalyst for genuine business compliance? How do you include facilitators of corruption in business compliance? These were some of the question addressed.

Classes were given by: Jean-Paul Louisot (Professor Panthéon Sorbonne, Paris), Ramakrihna Velamuri (China Europe International Business School, Shanghai) and Bruce Horowitz (Paz Horowitz Robalino Garcés, Quito)

Master in Anti-Corruption Studies (MACS - Module III) at the International Anti-corruption Academy (IACA)

July 28, 2013

The focus of the third module is analyzing diverse forms of political corruption and identifying elements for the development of successful strategies to prevent and counter corruption in the political arena is the focus of this module. Course sessions will cover political science theories on corruption, political corruption in the public sector and security, research methods, and corruption and development. The professors include Dr. Humphrey Assis Asobie, a former professor at the University of Kenya, Dr. Mushtaq Husain Khan from the School of Oriental and African Studies (SOAS) at the University of London, and Dr. Claudia Baez-Camargo from the Basel Institute on Governance.

Certification of Compliance Management System (CMS) according ONR 192050

May 19, 2013

Rosenbauer is the world’s leading manufacturer of systems for firefighting and disaster protection. 

The Fair Business Compliance Certificate by the Austrian Standards Institute was received for conformity with requirements of ONR 192050.

Participating as observer in the conformity assessment process. 

 

Master in Anti-Corruption Studies (MACS - Module II) at the International Anti-corruption Academy (IACA)

May 05, 2013

Lectures of Module II held by Tina Soreide (Professor in Economics and Law at the Norwegian School of Economics) on micro-economics and Johann Graf Lambsdorff (Professor of Economic Theory at the University of Passau) on macro-economics will:

  • enable the participant to understand and apply economic theories and models explaining causes and mechanisms that drive and sustain corruption,

  • enable the participant to understand and apply economic theories and models explaining the consequences of corruption,

  • enable the participant to apply quantitative and qualitative research methods in the area of corruption and anti-corruption.

ISO 19600:2014 Compliance Management Systems - Kick-off Meeting

April 07, 2013

Development of the international standard ISO 19600 Compliance management systems – Guidelines (publication in 12.2014).

Participating as featured expert of the Austrian delegation to ISO/PC 271. Negotiating the Austrian position in all project meetings (Sydney/04.2013, Paris/10.2013, Vienna/06.2014).

Master in Anti-Corruption (MACS - Module I) at the International Anti-corruption Academy (IACA)

February 15, 2013

On Saturday, 16 February 2013, I joined thirty students from seventeen different countries at the first class on campus. As participants in this inaugural master class we all will analyze the concepts and theories of corruption from a wide array of angles in Professor Vito Tanzi’s initial course “Introduction and conceptual considerations”, followed by Professor Nikos Passas' lecture on the sociological aspects of corruption. Professor Edward Spence will examine ethical and cultural dimensions of corruption, with Professor Celia Moore concluding the module with her course on the psychology of corrupt behaviour. 

Publication of ONR 192050 Compliance Management Systems

January 31, 2013

Austria as pioneer in compliance management.
By February 1, 2013, the local standards ONR 192050 "Compliance Management Systems" was published.

 

Contributed as member of the drafting group.

1st Assembly of Parties of the International Anti-Corruption Academy (IACA)

November 28, 2012

The first session of IACA’s Assembly of Parties took place in Vienna, Austria, bringing together delegations from 34 Parties and 54 Observers committed to fighting corruption through their support of the Academy. 

Participating as member of the IACA delegation (as student representative of the inaugural class in anti-corruption master studies - MACS 2012-14).

Certification of Compliance Management System (CMS) according ONR 192050

June 30, 2014

Compliance Certification awared to Kelag AG, Kelag Wärme und Kelag Netz for proper conformity to requierements of ONR 192050 Compliance Management Systems has been extended to Kelag International and its subsidiaries.

Preparing, conducting and follow-up of conformity assessement audit as Lead Auditor.

 

KELAG concern (founded in 1923) is one of the leading energy service providers in Austria. Subsidiaries of the concern are actively engaged in the fields of electricity, district heating and natural gas.reparing,

Publication of practice commentry to ONR 192050 - Compliance Management Systems

June 23, 2013

Co-Publisher and author of the chapter "The role and responsibilities of top management" (in German).

The present practice commentary explains the new ONR 192050: 2013 02 01 - Compliance Management Systems (CMS) - which deals with the requirements and guidance on the implementation of an effective compliance management system. It is applicable to organisations of any industry, size and legal form and to the entire organization as well as modular to subareas of an organization. The comment is aimed at all compliance managers, among others compliance officer, risk managers, external and internal auditors.

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