Curso Derecho Penal Económico | Universitat Abat Oliba CEU

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Specialisation course in Compliance

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Denomination

Specialisation course in Compliance

Academic Area

Law and Political Science

Length

8 months

Credits

15 ECTS

modality

On-site classes

Language

Spanish

Student profile

Practising lawyers, law graduates, law honours degree holders, those working in business legal consultancy, other honours degree holders or graduates interested in Legal Compliance, as well as professionals with legal responsibilities in the business environment.

Admission and Enrolment

Enrolment application via website, sending of the documents and formalisation of admission at the University.

Calendar and timetables

From October to June. Fridays afternoon from 16.00 h to 20.00 h.

Academic calendar

Complete and practical programme taught by expert legal practitioners

Why study at the UAO CEU?

1. Specialisation, differentiation and professional projection

Every time our Criminal Law is shaped as a right of ultima ratio, the need of having mechanisms in organisations that help adjust the procedures and activities of these to the applicable rules (whether internal or external) make Compliance a useful tool when it comes to avoid administrative and/or legal fines. Compliance is also necessary to create an ethic business culture, demanded by the main international organisations.

As a result of this, the course is shaped as a transversal programme, whose main objective is to supply our students of the necessary mechanisms to understand and put into practice the regulation compliance, on its wider sense, but with special attention on the "Corporate Compliance".

2. Faculty

Our faculty is composed by well-known professionals with a wide teaching and professional experience.

3. Course certification

The Universitat Abat Oliba CEU and Cumplen have a collaboration agreement in which the certification commission of Cumplen has participated in the development of the programme contents, thus validating them as well as the faculty.

Those who study this postgraduate course, and once they have passed it, will have the chance to get a certification of the course, issued by Cumplen.

4. Employability

The average work placement rate is 95% in the postgraduate studies of the CEU.

5. Information resources

The Library Service is conceived as a support unit for study and research. Its most important objective is to meet the educative and scientific demands. It has convenient opening hours, including weekends, with the best computer equipment. In addition, the UAO CEU offers to all the University community a vast digital storage, with free access to its publications from its docent, research or institutional activities carried out by teachers, students or former students from the University.

Study Plan

  1. General considerations: Normative compliance, penal responsibility of legal entities and compliance models.
    • Criminal liability of the legal entity (Corporate Compliance). Comparative study. Analysis of the reform and paradigm change operated by means of the LO 5/2010.
    • Introduction to Compliance: historical origin, comparative analysis and evolution.
    • The policy sources:
      • Hard and SoftLaw. Practical effectiveness of the obligations of SoftLaw. Daniel Benítez, Associate Lawyer at Molins&Parés, Penal – Compliance.
      • ISO 19600 and Management Model for the Prevention of Crimes in Organisations by AENOR, and UNE 19601.
      • ISO 37001- Anti-bribery management systems.
    • International policy sources:
      • US and UK Sentencing Guidelines.
      • Foreign Corrupt Practices Act (FCPA).
      • BriberyAct (UKBA).
      • The OECD agreement against corruption of foreign public agents in the international commercial transactions.
    • Essentials of Corporate Ethics.
    • Organisational aspects. Legal risk management. The link between Compliance with ethics and good corporate management.
    • Practices of Corporate Good Governance.
    • Corporate Social Responsibility – ISO 26001.
    • Compliance Management Systems (CMS). Generic and specific standards. Compliance structures. Profile and functions of the Compliance Officer.
    • Analysis of the legal type applicable to the legal entity.
  2. Preparation and evaluation of the risk management system: Map of penal risks: Identification of crimes that must be prevented. Development of a compliance model. Theoretical and practical aspects.
    • Evaluation and analysis of processes in organisations.
    • Identification of risks and controls of organisations.
    • The management of the compliance risk: Operational and reputation risks.
    • Risk Management.
    • Risk valuation models. The objectification of the risk value.
    • Design of process maps and criminal risks.
    • The criminal risks report derived from the risk map.
    • Design and implementation of a compliance programme. From the small company to a family business holding and the multinational company.
    • Reference to the experience and practice in the United States and the United Kingdom (English-Spanish).
    • Practical cases.
  3. Measures for the compliance control and its implementation within the company: Protocol and procedure establishment, decision making and execution of those. Appropriate management models of financial informative resources. Establishment of disciplinary systems and model verification.
    • Policies, procedures and controls. Management models of financial resources destined to the compliance management system.
    • Periodical revision of the Compliance model and the annual plan of compliance.
    • Processes of complaint and internal investigation. Privacy guarantees. Conflict Spanish Agency of Data Protection.
    • Forensic investigation and treatment of digital evidence.
    • Business intelligence and fraud prevention.
    • Establishment of disciplinary systems in the company. Its compatibility with the work regulations. Workers statute and collective agreements.
    • Reference to the experience and practice in the United States and the United Kingdom. Speaker proposal: (English-Spanish).
    • Introduction to the proof theory. The proof in the compliance management systems.
    • Practical cases.
  4. Imputation of the penal or civil responsibility and procedural considerations.
    • The imputation of criminal responsibility of the legal entity. Considerations of procedural nature. Role of the Attorney General's office.
    • Investigation of the corporate delinquency.
    • The imputation of responsibility of the Compliance Officer and of the members of organised structures (Administration bodies, high management, management and staff) and the D&O insurance policies.
    • Preliminary criminal investigation and legal entity.
    • The sentences susceptible of being imposed on legal entities. Interpretation of the article 33.7 of the Penal Code in relation to the article 66 bis.
    • Representation in the penal process of the legal entity. Defence singularities. Occasional incompatibilities.
    • Analysis of the Jurisprudence in the matter of penal responsibility of legal entities. Future perspectives.
    • Responsibility of the administrator in case of breach of agreement of their duty of control of the risks of the company.
    • Responsibility of the administrators and official receivers, in process of tender, regarding their breach of agreement on their duty of control of risks of the company.
    • Reference to the experience and practice in the United States and the United Kingdom.
    • Practical cases.
  5. Analysis of the specific environments of compliance and transversal matters.
    • Prevention Model of Capital Laundering. Taxonomy, current context and historical evolution. Position and valuation of the subjects subjected to its operating system. Evidence identification. Detection and analysis. Praxis vs. legality. Operative traceability and cash funds.
    • Tax Control Framework.
    • Compliance specificities in the competence.
    • Compliance specificities in the consumer's defence.
    • Compliance specificities in the financial and insurance sectors.
    • Compliance specificities in the pharmaceutical - hospital sectors.
    • Compliance specificities in the energies sector.
    • Compliance and hiring.
    • Compliance specificities in the environment.
    • Compliance specificities in the privacy management.
    • The new European Regulation of Data Protection. Its impact for the Data Protection Officer and the scheme of compliance of the company.
    • Specialities in relation to practices by means of the use of confidential information. Special mention to the United States. Behaviour in relation to the value market.
    • Commercial sanctions.
    • Financial sanctions.
    • Compliance and Public Administration.
    • Practical cases.

Faculty

PROFESSORS

Academic management

Marc Molins Raich. PhD in Law. Associate Manager of Molins&Parés, Penal · Compliance. Associate Professor of the Universitat de Barcelona.

                           

Coordination

Daniel Benítez Rodríguez. Lawyer. Responsible of the Compliance Department of Molins&Parés, Penal · Compliance. Member of the Cumplen delegation in Catalonia.

Professors

  • Dr. Carlos Pérez del Valle. Rector at the Universitat Abat Oliba CEU. PhD in Law.
  • Marc Molins Raich. PhD in Law. Associate in Molins&Parés, Penal · Compliance. Associate Professor of the Universitat de Barcelona.
  • José Carlos Hermida Congosto. Director of Consultancy and Studies of Fundació Pere Tarrés.
  • Irene de Castro Samada. Coordinator of the Compliance Programme of Beoringer Ingelheim.
  • Yolanda Ríos López. Magistrate, Commercial Court number 1 Barcelona.
  • Manuel Ruíz de Lara. Magistrate, Commercial Court number 10 Barcelona.
  • Pablo Llarena Conde. Magistrate, Second Courtroom of the High Superior Court.
  • Carlos Alberto Saiz Peña. President of Cumplen, Asociación de Profesionales de Cumplimiento Normativo and Associate partner of Ecix.
  • Eduardo Navarro Villaverde. Compliance Officer at Calidad Pascual. Member of the Governing Board of Cumplen.
  • Francisco J. Ramírez Arbues. Partner Regulatory and Compliance at Deloitte Legal. Member of Cumplen.
  • Carlota Balet Gusils. Compliance Officer at Allianz Seguros. Member of the Cumplen delegation in Catalonia.
  • Carlota Balet Gusils. Compliance Officer at Allianz Seguros. Member of the Cumplen delegation in Catalonia.
  • David Mestre Jane. Responsible of Compliance at Gas Natural Fenosa.
  • Marta Casas Caba. Chief Compliance Officer Grupo Abertis.
  • Anabel Casahuga Montserrat. Legal Compliance at Abertis Infraestructuras, S.A.
  • Patricia García Pérez. Control Compliance at Abertis Infraestructuras, S.A.
  • Oscar Serrano Zaragoza. District attorney of Economic Crimes of the Provincial District Attorney's Office of Barcelona.
  • Roberto Valverde Megías. District attorney of IT Criminality of the Provincial District Attorney's Office of Barcelona.
  • Antonio Sala Cantarell. Associate partner in Tornos Abogados.
  • Patrick O'Malley. PhD in Law. Professor at Università Bocconi and United Nations System Staff College.
  • Luis Rodríguez Soler. Director and Partner at Complianzen.
  • José Andrés Rozas Valdés. Professor of Financial and Tax Law of the Universitat de Barcelona. PhD in Law.
  • Nacho Alamillo Domingo. Chief Information Security Officer of Logalty.
  • Juan Cuenca Márquez. Associate Lawyer of the Commercial Area at Roca Junyent.
  • Paula Yebra Gago. Associate Lawyer at Molins&Parés, Penal · Compliance.
  • Salvador Román García. Governance Manager and Corporate Compliance.
  • Ignacio Marull Guasch. Associate Manager of PWC Catalonia.
  • Sergio Aranda. Head manager of Forensic Services PWC.
  • Albert Rodríguez Arnaiz. Partner of the Work Area at Roca Junyent.
  • Caridad Gómez Mourelo. Chief of the Central Unit of Coordination in Crimes against the Internal Revenue Service.
  • Xavier Abel Lluc. Magistrate, Court of First Instance number 14 de Barcelona.
  • Enrique Rovira Canto. Magistrate, Section Fifth Provincial Courtroom of Barcelona. Professor of Criminal Law of the Universitat Abat Oliba CEU. PhD in Law.
  • Laura Parés i Ravetllat. Associate Manager of Molins&Parés, Penal · Compliance.
  • Daniel Benítez Rodríguez. Associate Lawyer of Molins&Parés, Penal · Compliance, Responsible of the Compliance Department.
  • Lieutenant L. Gómez. Civil Guard, UOPJ Command HQ of Barcelona.
  • Yazomary García. Senior Manager of the Consultancy division of Crowe Horwath.

Collaborators

The Abat Oliba CEU University has a close relationship with many companies and institutions from this sector. Our main collaborators are:

 

Prices and scholarships

TOTAL PRICE

€2,950

PAYMENT METHOD

To access the specialisation course in Compliance of the Universitat Abat Oliba CEU, candidates must pay the total import of the course before the beginning of the classes. The Universitat's Postgraduate and University Extension Service will issue an enrolment form to the prospective student so that they can pay the fee at one of the financial institutions listed on the enrolment form. The students will have 15 calendar days to make the transfer.

The Universitat Abat Oliba CEU has credit lines with different financial institutions, so that students can finance their programme under preferential terms. For more information, students can contact the Academic Management Service or enquire at any of the following financial institutions. “la Caixa”, Banco Santander, Catalunya Caixa and BBVA.

SCHOLARSHIPS

Members of Cumplen, Asociación de Profesionales de Cumplimiento Normativo, will have a discount of 15 % of the total amount.

MORE INFORMATION

Postgraduate and University Extension
Bellesguard, 30. 08022 Barcelona
Tel. +34 93 253 72 03
masters@uao.es

Quality and regulations

ADMISSION PROFILE

Students wishing to apply for the specialisation course in Compliance must have a Spanish degree or advanced course (general degree, degree or honours degree) or a foreign degree (equivalent to a Bachelor’s Degree in the Anglo-Saxon system).

This profile includes:

Practising lawyers, law graduates, law honours degree holders, those working in business legal consultancy, other honours degree holders or graduates interested in Legal Compliance, as well as professionals with legal responsibilities in the business environment.

OBJECTIVES

  • To understand the phenomenon of the regulation compliance on its whole.
  • To identify the obligation sources for organisations.
  • To analyse the processes and activities of organisations to supply them with the appropriate controls.
  • To know the legal responsibility imputation ways for legal entities.
  • To dominate the practical elements needed for the correct development in the Compliance practice.