From Monguilod Advocats, along with the best professionals, we analyze the specific characteristics of each company, advise about the best way to organize the Criminal complaince or Prevention Model developing a system to prevent actual criminal risks and effective Crimes and advise In the preparation, implementation and development of policies and prevention processes adapted to the activity and level of risk of each company.

Legal Framework

Since the reform of the Criminal Code of 2010, criminal liability of legal persons (article 31 bis of the Criminal Code) has been incorporated in the case of crime for lack of proper control over the worker. At the same time, the Criminal Complaince or Crime Prevention Models were considered as attenuating fot this criminal responsibility.

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Compliance Penal

Faced with this new legal reality, the Criminal Compliance or Crime Prevention Model is an instrument that, provided it meets the requirements that are demanded, allows to obtain an exemption from criminal liability of the legal person. It consists of establishing adequate and sufficient policies and procedures to ensure that a company, including its managers, employees and tied agents, complies with the applicable regulatory framework. Within the regulatory framework, not only legal norms, such as laws and regulations, should be considered, but also internal policies, commitments to clients, suppliers or third parties, and especially the ethical codes that the company has committed To respect, as there are many cases in which an action may be legal but not ethical.
For all this it is necessary that legal persons take conscience and adopt control systems to avoid their criminal responsibility
Models Crime Prevention and Criminal Compliance is a generator of value in the company avoiding risk and contributing to a better corporate culture.

For what is the Penal Compliance?

It protects the company from the possible penal consequences that may lead to an inappropriate behavior of its managers or employees. It detects risks and avoids incidents that could lead to civil damages or administrative sanctions. It makes it easier for the Administrative Body to not to assume criminal responsibility for facts whose real scope and decisions have been delegated. It allows to evaluate the chain of command of the company residing the responsibilities in each one of the levels in which the decisions are made. It gives added value to the company, reinforcing its quality processes, increasing the trust of customers and suppliers. It improves its profitability and the profitability of its shareholders. It allows you to divide and establish higher quality relationships with employees and suppliers based on sustainable company criteria. It facilitates the contracting of Civil Liability Insurance for the company and the executives.

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Criminal Compliance Requirements

Identify and draw the map of risks that the company faces, given its severity and impact.

Design and implement control procedures to protect the company identified above crimes. These protocols duty to finalize the process of formation of the will of the legal entity, for adoption or decisions and execution them.

Provide models of the management of financial resources suitable in order to create an efficient system of Compliance and prevent the commitment o fa crime.

Mandatory report about possible risks and breaches to the agency responsible for monitoring the operation and observance of the model of Compliance. The effectiveness of the implemented controls should be monitored, informing the direction of the exposition of the company to risks, and doing the necessary internal audit.

Establish a disciplinary system that adequately sanctions any breach of the measures established by the model.

Check or periodically the model and its eventual modification or n when relevant violations of its provisions are revealed, or when there are changes in the organization , in the control structure or to the activity that make them necessary.


Isabel Llauger

Penal Compliance

Graduated by the Autonomous University of Bellatera in 1989. Master in Communication and Cultural Studies by the University of Girona and Expert in Criminal Compliance by the University of Barcelona. Director of Illa + Gestión, is the manager of the firm and responsible for the Criminal Compliance and Communication Area of ​​Monguilod Advocats