Supervisory Board & Compliance
The Supervisory Board’s key tasks include monitoring and improving the compliance management system. The quality of the Supervisory Board’s performance of its duties depends to a large extent on the expertise of its members.
The “Supervisory Board & Compliance” working group aims to contribute to the professionalization and support of supervisory boards on issues relating to the anchoring and structuring of compliance in the company. The first result of the work is a handout on the topic of “Compliance for supervisory boards”, which deals with key topics such as How should an on-boarding process for new supervisory board members be designed with regard to compliance? What are the important and “right” questions that the supervisory board should ask itself with regard to the work of the compliance officer? What roles and responsibilities are assigned to the company management in the CMS?
Our work results
Interview series "15 minutes Supervisory Board & Compliance"
Working group management
Prof. Dr. Stefan Siepelt
Founding partner of the law firm LLR in Cologne
Prof. Dr. Stefan Siepelt is a founding partner of the law firm LLR in Cologne, which specializes in commercial law. He has been advising entrepreneurs and companies in the SME sector up to the DAX for over twenty years in the field of corporate law and capital market law. He has been working at the Rheinische Fachhochschule Cologne since 2007, initially as a lecturer and since 2013 as an honorary professor and director of the Institute for Compliance and Corporate Governance, ICC. He has been a member of the “Integrity & Governance” working group at DICO from the very beginning and has taken over the management of the “Supervisory Board and Compliance” working group developed from this. Since 2011, he has also been Managing Director of the German Supervisory Board Working Group, AdAR e.V., of which he is also a founding member.
Dr. Lasse Pütz
Attorney at LLR Attorneys at Law
Dr. Lasse Pütz has been a lawyer since 2011 and joined the Cologne office of LLR Rechtsanwälte in December 2019. He has a particular focus on providing advice and training on compliance, directors’ and officers’ liability, municipal corporations, employee supervisory board elections and other corporate and co-determination law issues. He is also the author of various publications on compliance, corporate governance and employee co-determination and supervisory board elections. He works as an expert (e.g. for the Committee on Legal Affairs and Consumer Protection of the German Bundestag). Dr. Lasse Pütz is a member of the supervisory board of an AG with a municipal connection (Stadtwerke) and a municipal project company in the legal form of a GmbH. Since 2015, Dr. Lasse Pütz has been a lecturer at the Rheinische Fachhochschule Köln for the Compliance and Corporate Security, LL.M. course and a lecturer at the Berlin School of Economics and Law on the subject of CSR and compliance. He has been a member of the Supervisory Board & Compliance working group at DICO since 2014.
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