Gobierno Corporativo MA Abogados
Practice areas

Compliance

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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:
  • Labor
  • 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