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Regulatory Compliance

Regulatory Compliance

Criminal liability of the company

Since 2010 legal persons can be held criminally liable.

This liability arises from a lack of supervision and insufficient measures to prevent specific crimes committed in the company.

In addition to any reputational damage, a criminal conviction may jeopardise the very continuity of the business.

How to become exempt?

The criminal code itself sets out the conditions for exempting a company from liability. To do so requires the implementation of an adequate organisational and management model to prevent crimes and to appointment a supervisory body which does not fail in its responsibilities such that if a crime is committed, this can only occur by concealing it from the company and fraudulently evading the controls in place.

To this end, correctly implemented Regulatory Compliance Programs are an effective tool for preventing crime and rendering the company exempt from this liability.

It is therefore essential to understand the risks for the company and to implement proper measures to prevent them from materialising.

The solution of Lant Abogados

At Lant Abogados we have been implementing corporate compliance programs since 2011.

A combined team, experts in corporate organisation and legal consulting, has developed the program and the protocol for its implementation with both the operational needs of the company and any possible legal risks in mind.

We have developed our own methodology of risk analysis, the definition of the organisation so as to ensure compliance, the creation of Codes and Regulations, staff training and the establishment of communication channels.

Our program can be implemented swiftly by applying a precise protocol which offers a proven guarantee of  success.

Having our own program already structured and tested enables us to apply modest, perfectly affordable implementation costs.

Your company will be shielded against criminal accusations and can prevent your employees from doing anything contrary to the law.

Lawyers experts in Regulatory Compliance

Management systems

Lant Abogados has developed its own IT platform to manage the Compliance Program. The system will always present an up-to-date version of:

  • The company’s risk map.
  • The Organisational Model.
  • The Code of Conduct.
  • Employee documentation (acknowledgements of receipt, diplomas, etc.)
  • The minutes book of the Compliance Committee meetings.
  • The standards and regulations.
  • Incident management and log.

The system can generate links for sending documents to employees and create a log of the reception and/or approval of each document.

Services

  • Training for Managers and Corporate Compliance Supervisors.
  • Implementation of comprehensive Corporate Compliance Programs:
    • Analysis and creation of the risk map.
    • Design of supervisory bodies adapted to the reality of each company.
    • Implementation of Codes of Conduct and Prevention Regulations.
    • Training for the entire workforce in the Code of Conduct, using our own platform.
    • Personnel training in Compliance Programs.
    • Ethical Line Service with guaranteed confidentiality.
    • Declaration of Corporate Compliance.
    • Management of certifications in accordance with the UNE19601 standard
  • Outsourcing of the Corporate Compliance Officer service.
corporate compliance programs