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• eBook-Kapitel aus dem Buch Managing Risks in Supply Chains

  Enterprise and Supply Risk Management from the Perspective of Internal and External Auditors

  Michael Henke, Reiner Kurzhals, Christopher Jahns

  …categories can be accounted for in the process model: “strategic” (supply risk strategy), “op- erations” (integral supply process) and “compliance” (SOA etc.)…
• eBook-Kapitel aus dem Buch Managing Risks in Supply Chains

  A Tool for Assessing Product Non-Compliance Risks in Supply Chains

  Alex Martin, Kieren Mayers, Chris France

  …the tool being widely used to assess product non-compliance risks. Keywords: Product Compliance, Supply Chains, Risk Assessment, Management Systems… …material sourcing within their supply chains, which may not be directly within their control. Producers may choose to assure product compliance through… …the time. However, producers can continuously improve their assurance of product compliance. One way in which producers can do this is by identifying… …and prioritising the risks of product non- compliance occurring. This paper discusses the selection, adaptation and use of a risk assessment tool for… …assuring product compliance must consider material sourcing and product manufac- turing activities within supply chains. Material sourcing can be extensive… …improve compliance assurance. An existing tool was chosen for the risk as- sessment: failure mode and effects analysis (FMEA). The choice of FMEA over… …. This scope is insufficient for as- sessing the risks of failing to assure product compliance with substance use restric- tions as various business… …system requirements may fail to be implemented or prove insufficient to assure product compliance with substance use restrictions. – Failure effects… …volved inviting staff with operational and managerial responsibilities for assuring product compliance with substance use restrictions at SCEE to score a… …implementing the company’s management requirements for assuring product compliance with sub- stance use restrictions. The analyst drew on his expertise to first…

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• eBook-Kapitel aus dem Buch Managing Risks in Supply Chains

  Assessment of the Uncertainty of Delivery – Promises to Increase the Reliability of Production Networks

  Lars Zschorn

  …promise already before submitting a binding offer. Reliability refers here to the compliance to delivery dates and quantities. The offers of the inquired… …expressive concerning the reliability of the compliance to a concrete order and therefore are not considered in the definition of the reliability of delivery… …the compliance to the planned date of deliv- ery toffer of the viewed order based on the buffers included in the machine schedule. Those buffers… …of the delay of the single jobs on the machines of the production sys- tem. As illustrated, the disturbances for the compliance to the planned date of… …network or whether there are disturbances. In addition, it can be esti- mated how the uncertainties about the compliance to promised delivery dates will…

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• eBook-Kapitel aus dem Buch Wettbewerbsvorteil Risikomanagement

  Management von Operationellen Risiken in Finanzinstituten: Quantitative Verfahren

  Dr. Björn Lenzmann

  …, M., „The big unknown“, OpRisk and Compliance 2006, 33-35 Kalkbrener, M., „An axiomatic approach to capital allocation“, Mathematical Finance 2005… …Compliance Oktober 2005 Kaiser, Management / Verfasserkorrektur 2 / 19.1.2007…
• eBook-Kapitel aus dem Buch Wettbewerbsvorteil Risikomanagement

  Methoden zum Management von Reputationsrisiken

  Christian Böing, Dr. Thomas Kaiser, Ingo Schäl

  …Risikocontrolling Revision Risikokomitee „ Bereich 1 „ Bereich 2 „ Bereich 3 „ ... Spezialabteilungen „ Recht / Compliance „ Human Resources „ Information… …Risikocontrolling Revision Risikokomitee „ Bereich 1 „ Bereich 2 „ Bereich 3 „ ... Spezialabteilungen „ Recht / Compliance „ Human Resources „ Information…

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• eBook-Kapitel aus dem Buch Wettbewerbsvorteil Risikomanagement

  Management von Reputationsrisiken bei Konsumgüterherstellern

  Swaran Sandhu

  …auch. Sie stellen Fotos von 66 58 57 47 40 34 34 34 14 11 0 10 20 30 40 50 60 70 Non compliance with regulation/legal obligations Exposure… …Gesetzen („Compliance“) – Korruption: Einsatz von Schmiergeld oder Bestechung – Unerlaubter Umgang mit Kundendaten / Verletzung der Privatsphäre – Unter-…
• eBook-Kapitel aus dem Buch The Role of Internal Audit in Corporate Governance in Europe

  Introduction

  European Confederation of Institutes of Internal Auditing (ECIIA)

  …compliance with the SOX requirements. This means that there often is no capacity left to perform other audits or execute audits based on risk-oriented audit…
• eBook-Kapitel aus dem Buch The Role of Internal Audit in Corporate Governance in Europe

  Results of the Survey

  European Confederation of Institutes of Internal Auditing (ECIIA)

  …Protection of shareholders’ rights and their equitable treatment Recognition of the rights of relevant stakeholders Compliance with laws and legislation Clear… …Auditors (IIA) contacted were not able to give clear responses. This was partly due to the fact that CG imple- mentation and compliance in European… …like the Neth- erlands e. g., compliance with Corporate Governance is mandatory (by law), which results naturally in a very high level of awareness. 0%…

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• eBook-Kapitel aus dem Buch The Role of Internal Audit in Corporate Governance in Europe

  State of the art Internal Audit

  European Confederation of Institutes of Internal Auditing (ECIIA)

  …objectives the most relevant for Corporate Gov- ernance are: Strategic Reporting Compliance To arrive at a sound internal audit methodology, the following… …mission statements, codes of ethics, and codes of conduct. Process audits focusing on those units in a company charged with compliance can be of valuable…
• eBook-Kapitel aus dem Buch The Role of Internal Audit in Corporate Governance in Europe

  Proposals for the Role of Internal Audit in Corporate Governance in Europe

  European Confederation of Institutes of Internal Auditing (ECIIA)

  …framework, e. g. the COSO ERM framework or similar ISO-Standards which enable effective- ness and efficiency evaluations. 4.2 Support to ensure compliance… …Governance policies as well as compliance with laws and regulations need to be monitored by the management. The Internal Audit Function provides ob- jective… …audit plan should also include a review of the organisation’s compliance program and its procedures including reviews to determine whether it can be… …clearly documented by the Internal Audit Function, with reference to the International Standards. However, in improving an organi- sation’s compliance with… …laws, regulations and governance policies, there should be clear guidance for internal auditors to establish a balance between compliance and advisory… …illegal behaviour that might also compromise the integrity of financial statement or Corporate Governance compliance. The existence of a company code of… …meet its many new regulatory requirements in Corporate Gov- ernment compliance. Therefore there should be ongoing communication be- tween the CEO, the… …with today‘s Corporate Governance requirements. As a result of increased requirements and scope of audits related to Corpo- rate Governance compliance… …and irregularities. Ad hoc reviews of other areas of concern, including unacceptable levels of risk. Reviews of the compliance framework and specific… …compliance issues. Reviews of operational and financial performance. Recommendations for more effective and efficient use of resources. • • • • • • • • 4.7…

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