O Criminal Compliance e Seus Efeitos: Entre a Prevenção ao Cometimento de Crimes e o Afastamento e Mitigação da Responsabilidade Penal do Administrador

Fabrizio Bon  Vecchio; Francis Rafael  Beck

doi:10.21434/IberoamericanJCG.v10igc.134

Criminal Compliance and Its Effects: Balancing Crime Prevention with the Mitigation of Administrative Criminal Liability

Authors

Fabrizio Bon Vecchio Universidade do Vale do Rio dos Sinos - UNISINOS, Rio Grande do Sul
Francis Rafael Beck Universidade do Vale do Rio dos Sinos - UNISINOS, Rio Grande do Sul

DOI:

https://doi.org/10.21434/IberoamericanJCG.v10igc.134

Keywords:

Compliance Criminal, Integridade, Responsabilidade Penal, Controle Preventivo

Abstract

Criminal compliance represents a program of legal and criminal guidelines developed, implemented, and executed through a complex system of policies, internal controls, and strict procedures aimed at ensuring that the organization remains in a state of integrity. In addition to preventing the occurrence of crimes within the company, criminal compliance must also guarantee the avoidance or mitigation of criminal liability for the administrator, based on established criminal doctrine and normative changes, with the presupposition of an effective program.

Author Biographies

Fabrizio Bon Vecchio, Universidade do Vale do Rio dos Sinos - UNISINOS, Rio Grande do Sul

Doutorando em Direito pela Universidade do Vale do Rio dos Sinos - UNISINOS e Mestre em Direito da Empresa e dos Negócios pela Universidade do Vale do Rio dos Sinos - UNISINOS. Rua Gutemberg, n° 151/708, Petrópolis, Porto Alegre/RS, CEP 91310-010.

Francis Rafael Beck, Universidade do Vale do Rio dos Sinos - UNISINOS, Rio Grande do Sul

Pós-doutor em Direito pela Universidade de Coimbra (UC), Doutor e Mestre em Direito pela Universidade do Vale do Rio dos Sinos - UNISINOS. Rua Regente, nº 245/1004, Petrópolis, Porto Alegre/RS, Brasil, CEP 90.470-170.

References

LASCURAÍN SÁNCHEZ, Juan Antonio. A delegação como mecanismo de prevenção e de geração de deveres penais. Manual de cumprimento normativo e responsabilidade penal das pessoas jurídicas. Adán Nieto Martín (coordenador da edição espanhola), Eduardo Saad-Dinniz, Rafael Mendes Gomes (coordenadores da edição brasileira). 2. ed. São Paulo: Tirant lo Blanch, 2019. p. 199-299. p. 213.

GÓMEZ-ALLER, Jacobo Dopico. Posición de garante del compliance officer por infración del “deber de control”: una aproximación tópica. El derecho penal económico el la era compliance. Luis Arroyo Zapatero e Adán Nieto Martín (diretores). Valencia: Tirant lo Blanch, 2013. p. 165-189. p. 173.

SILVA SÁNCHEZ, Jesús-María. Fundamentos del derecho penal de la empresa. 2. ed. Madri: Edisofer, 2016. p. 243. A infração dos deveres de informação atribuídos ao compliance officer não gera, necessariamente, responsabilidade penal. É necessário que um membro da empresa cometa um crime doloso e que o compliance officer tenha agido dolosamente (ou, ao menos, culposamente) em relação à omissão da informação (p. 244-245).

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Published

2023-05-24

How to Cite

Vecchio, F. B. ., & Beck, F. R. . (2023). Criminal Compliance and Its Effects: Balancing Crime Prevention with the Mitigation of Administrative Criminal Liability. Journal of Corporate Governance, 10(gc), e0134. https://doi.org/10.21434/IberoamericanJCG.v10igc.134

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Issue

Vol. 10 (2023): Fluxo contínuo

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Articles

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