Legal entities can be criminally liable for offenses committed within their structure, whichimplies the possibility of receiving sanctions ranging from pecuniary fines to temporary ordefinitive closure, and even dissolution. However, criminal regulations establish parametersthat mitigate criminal liability.
A Compliance Program comprises a set of policies designed and implemented to prevent, control, and internally sanction improper practices within the company’s structure, establishing a trained compliance unit to oversee the development of compliance, reinforcingand, in some cases, putting in writing and ordering a culture of ethics and compliance withregulations to avoid sanctions and fines from controlling authorities, such as theSuperintendence of Companies, Securities, and Insurance, the Financial and EconomicAnalysis Unit, and the Office of the Attorney General, and to mitigate the legal entity’sliability in judicial proceedings, creating a repository that allows for a strong defense.
Our compliance area has expert attorneys capable of identifying and mitigating the risks thata company faces according to its specific economic activity. Our main services include:
- Identification, detection, and management of activities presenting risk.
- Development of Compliance Programs: Criminal, Labor, Tax, Corporate.
- Assistance in the preparation of Risk Matrix.
- Assistance in the preparation of the SPARLAFTD Manual (Anti-Money Laundering, Terrorism Financing, and Other Crimes Risk Prevention and Management System).
- Code of Ethics.
- Data Protection Code of Conduct.
- Development and structuring of the Whistleblowing Channel.
- Employee training programs.
- Training for the Compliance Officer (both titular and substitute).
- Training for the Data Protection Delegate.
- Internal Investigation Mechanisms.
- Know Your Customer or Due Diligence Programs.
