Compliance officer e efetividade: sobre as condições necessárias para garantir a ação efetiva do programa de compliance

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Crespo, Liana Irani Affonso Cunha
Saavedra, Giovani Agostini
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Bagnoli, Vicente
Lucas, Lais Machado
Direito Político e Econômico
The Compliance area has been gaining more and more space in the corporate world, whether in public or private institutions, and among the individuals that constitute the society. There are several reasons that drive this growth in the area and, consequently, in the number of professionals who work in it. Among these reasons, it is possible to highlight national and international laws, although they do not always require the implementation of Compliance Programs, they end up encouraging it by mitigating penalties in the case of the existence of an effective program, recommendations of good Corporate Governance practices made to companies. and the professionals who work in it, Codes of Conduct and corporate policies and also, in an even less expressive but also relevant way, the genuine or purely commercial need to demonstrate the commitment to ethics and integrity in societies and, consequently, in the form doing business. Throughout this scenario, and considering the performance of Compliance on a daily basis, it is not uncommon the perception that the area harms or hinders the commercial performance of institutions, since, among other situations, it may cause an increase in documentation, processes and procedures, which can eventually be perceived as exaggerated, bureaucratic and unnecessary. If, on the one hand, it is possible to say that the area has been gaining more and more space within corporations, receiving some type of internal or external recognition and appreciation due to social concern, on the other hand, it is a fact that this expansion has among its main and real ones justifications for the commercial incentive due to the reduction in the fine amount of any conviction for improper practices, or the fact that Compliance can boost the accountability of company managers if they do not take recommended measures, and formally communicated by the Compliance department , Ethics and Integrity or equivalent name, which have the objective of avoiding the commission of crimes by these institutions. Due to all these aspects that directly or indirectly impact the performance of Compliance, this study aims to identify which are the ethicalinstitutional business conditions that need to be present in a company or organization so that the Compliance professional who works there, commonly called a Compliance Officer, manages to act responsibly and effectively, resulting in the proper and successful implementation of the Compliance Program and thus boosting business ethics. To better develop this objective, this study seeks to gather information about the phenomenon of Corporate Governance, in Brazil and in the world and its importance, as well as to present how Compliance acts as one of the arms or tools of the Governance tools.
compliance officer , Ética , governança corporativa , integridade , mapeamento de risco , responsabilização
CRESPO, Liana Irani Affonso Cunha. Compliance officer e efetividade: sobre as condições necessárias para garantir a ação efetiva do programa de compliance. 2021. 159 f. Dissertação (Mestrado em Direito Político e Econômico) - Universidade Presbiteriana Mackenzie, São Paulo, 2021 .