Effective compliance program influences corporate fines


The federal supreme court (BGH) ruled in an obiter dictum that an effective compliance program has relevance to a corporate fine imposed on a corporation (BGH, decision dated 09.05.2017, ref.: 1 StR 265/16, par. 118). This is the first ruling in which the BGH endorses a relevance of an effective compliance program towards corporate fines. Whereas in other jurisdictions, like the UK and the USA, a compliance defence (see Sec. 7 (2) UK Bribery Act 2010) or a mitigation of a sentence (§8B2.1 US Sentencing Guidelines 2016) is regulated by law, the German Law lacks such an explicit law.

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Dr. Volker Hommerberg

Company Law And Commercial Law, Compliance, Criminal Tax Law, Transformation Law
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