IMPLEMENTATION OF THE CORPORATE COMPLIANCE SYSTEM
- Global development of compliance programs
- Establishment of technology-based compliance models (internet)
- Establishment of compliance models based on transnational regulations.
- Compliance risk analysis and management
- Elaboration of the Code of Ethics and Regulatory Compliance
- Design and specific monitoring of controls
- Development of the Code of Ethics and Compliance through the implementation of all kinds of internal policies and protocols (new technologies, corporate, labor, logistics, consumer relations, PBC, etc.).
- Specific design and structuring of the Regulatory Compliance body.
- Establishment of the regulatory compliance channel and its operating policy, and adaptation to the whistleblower directive and its internal transposition standard.
- Projection of the regulatory compliance model from the following perspectives:
- The organization and internal structure of the legal entity.
- Ethics and good corporate and business governance
- The relations of the legal entity with the market and with consumers
- Continuous advice to the legal entity on compliance matters.
- Management of supplier approval and other practices related to contracting with third parties.
- Obtaining certifications in the field of regulatory compliance.
- Elaboration of ethical codes for Compliance Officers.
ACTIONS AFTER THE IMPLEMENTATION OF THE COMPLIANCE PROGRAM
- Generic performance of functions assigned to the Compliance Officer and their legal regime.
- Management of the compliance channel, whether internal, external or hybrid.
- Legal development of the rules that must govern the investigation of complaints in the operation of the compliance channel.
- Development of FORENSIC functions or internal investigations derived from the compliance channel.
- Compliance training
- Maintenance and updating of compliance models
- Complaints from clients in the Compliance area
- Reporting to the management body of the legal entity
- Application of the compliance model to the environment:
- Tax and accounting
- Corporate restructurings (due diligence)
- Review and update on the regulatory compliance models in operation.
- Expertise in the field of the compliance model.
- Second opinions on the functioning of the regulatory compliance models that are in operation.
- Modification of working conditions