Compliance Frequently Asked Questions

How can the Organization avoid the sanctions?

The Organization must implement an effective compliance system. The Law obliges companies to adopt and execute programs for the prevention of risks (Compliance), thus establishing appropriate organization and management models to prevent crimes or reduce the risk of their commission. Likewise, the implementation of this type of programs improves the company’s institutional reputation, since it is a competitive measure and generates confidence in suppliers, customers, investors and shareholders.

Does the Organization have judicial advantages if it has implemented a criminal compliance system?

Yes. An effective compliance system can reduce the level of criminal risks to which the legal entity is exposed

Is an organization that has UNE 19601 certification is exempted automatically?

If the Organization has obtained the UNE 19601 certification will be a very powerful argument that demonstrates good practices of the organization. Therefore, it will be a relevant element in a judicial procedure

Requirements for the models of organization and management of compliance

“ art.5. The organization and management models referred to in condition 1 of section 2 and the previous section must meet the following requirements:

  1. The compliance management system will identify the activities in which the crimes that should be prevented can be committed.
  2. The organization models will establish the procedures that specify the process of training of the will of the juridical person, of decision making and execution in relation to those
  3. Compliance systems will have adequate financial resources
  4. The compliance systems will impose the obligation to report possible risks and non-compliance to the body in charge of monitoring the operation and observance of the prevention model.
  5. The compliance systems will establish a disciplinary system that adequately sanctions non-compliance with the measures established by the model.
  6. The compliance systems will perform a periodic verification of the model and its eventual modification when relevant infractions of its provisions are revealed, or when there are changes in the organization, in the control structure or in the activity carried out that make them necessary.

Is the UNE 19601 standard applicable to all organizations?

Yes, it is applicable to any organization, regardless of size, sector or activity. The UNE 19601 standard is certifiable by an independent third party

Is the international standard ISO 37001 applicable to all organizations?

This anti-bribery management system is applicable to all types of companies. The ISO 37001 standard is certifiable by an independent third party

Economic benefits derived from the adoption of an effective regulatory compliance program

  • Avoid the international criminal sanction
  • Avoid the international criminal sanction
  • To avoid the crimes against the company
  • To prevent unfair competition
  • Quality business relationships with their customers, suppliers, business partner

What crimes can a Legal Entity commit?

illegal trafficking of human organs – art 156 bis

human trafficking – art 177 bis

prostitution, sexual exploitation and corruption of minors – art 189 bis

breach of secrecy  – art 197 quinquies

Scam- art 256 bis

Frustration in the execution – arts 257 a 258

culpable insolvency – 261 bis

computer damages – art 264 quater

Involving intellectual and industrial property, commercial and consumer – art 288

money-laundering – art 301 a 303

illegal funding of political parties – art 288 bis

Against the Public Treasury and the Social Security- art 310 bis

Against the rights of foreign citizens – art 318 bis

Not authorized building – art 319

Against natural resources and the environment – art 328

Issues in the field of ionizing radiation – Art.343

Risks for explosives – art 348

Against public health – art 369 bis

Counterfeiting Currency – Art 386

Credit card and travelers checks forgeries – art 399 bis

Bribery  – art 427

Influence peddling – art 430

Hate speech – Art 510 bis

Financing of terrorism – Art 571 a 580

Smuggling – 12/1995