🎓 Curso Derecho Penal Económico | Universitat Abat Oliba CEU

Study plan

1. First block: General considerations. regulatory compliance, criminal liability of legal persons and compliance models..
   • Criminal liability of legal entities (Corporate Compliance). Comparative studies. Analysis of the reform and paradigm shift brought about by LO 5/2010.
   • Introduction to Compliance: historical origins, comparative analysis and evolution.
   • Sources of regulation:
     • Hard and soft law. Practical effectiveness of soft-law obligations. Profile and functions of the Compliance Officer. Reporting chain.
     • ISO 19600 and Management Model for the Prevention of Crime in AENOR Organisations, UNE 19601 and ISO 37001.
   • Organisational aspects. Legal risk management.
   • Good Corporate Governance Practices.
   • Introduction to the criminal liability of legal persons.
   • Influence peddling. Bribery. Corruption in business.
   • Offences against the rights of foreign citizens and offences relating to the exercise of fundamental rights and public freedoms. Organ trafficking.
   • Offences relating to intellectual and industrial property. Crimes against the market. Crimes against public health.
   • Computer damage. Disclosure of secrets. Criminal organisations and groups. Human trafficking. Prostitution, sexual exploitation and corruption of minors.
   • Crimes relating to receiving and laundering money. Illegal financing of political parties. Terrorist financing. Crimes against the Public Treasury and Social Security. Smuggling.
   • Crimes in land-use and urban planning. Crimes against natural resources and the environment Crimes relating to nuclear energy and ionising radiation. High-risk crimes caused by explosives and other agents.
   • Scams and fraud. Frustrating execution of sentences. Punishable insolvency. Falsification of means of payment.
2. Second block: Development and evaluation of a risk management system. Criminal risk map.
   • Assessment and analysis of processes within organisations.
   • Identification of risks and controls in organisations.
   • Designing procedural and criminal risk maps.
   • The criminal risk report derived from the risk map.
   • Design and implementation of a compliance programme. From small companies and family businesses to multinationals.
   • Case studies.
   • Policies, procedures and controls. Financial resource management models for managing the compliance system.
3. Third block: analysis of possible compliance control measures and their implementation in the company.
   • Regular review of the compliance model and annual compliance plan.
   • Complaint and internal investigation processes. Privacy guarantees.
   • Setting up disciplinary systems in the company. Compatibility with labour regulations. The Workers' Statute and collective agreements.
     • US and UK Sentencing Guidelines.
     • Foreign Corrupt Practices Act (FCPA).
     • Bribery Act (UKBA). OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions.
   • Specialties in relation to placement through the use of confidential information. Special reference to the United States. Conduct in relation to the stock market. The session on the 6th will be from 4 p.m. to 8.30 p.m. The session on the 7th will be from 9 a.m. to 11.30 a.m.
   • Forensic investigation and processing of digital evidence. Sergio Aranda, Partner in charge of PwC's Forensic Area in Catalonia, the Balearic Islands, Aragón and Andorra.
   • Case studies. Elvira Cardinal Le Monnier, Corporate Compliance Officer at Ferrer.
4. Block four: Imputing criminal and/or civil liability and procedural considerations.
   • Liability of administrators for failure to comply with their duty to control risks in the company. Liability of administrators and bankruptcy administrators, in the event of bankruptcy, due to breaches of their duty of risk control in the company.
   • Introduction to the theory of proof. Proof in compliance management systems.
   • The imputation of criminal liability to legal persons. Procedural considerations. Role of the Public Prosecutor's Office.
   • The assignment of responsibility to the Compliance Officer and to members of the organised structures (administrative bodies, senior management, management and staff).
   • Criminal Investigation and Legal Persons.
   • Investigation of corporate crime.
   • Representation in criminal proceedings of legal persons. Singularities of the defence. Potential incompatibilities.
   • Analysis of the Jurisprudence on the criminal liability of legal persons and penalties that can be imposed on legal persons. Interpretation of article 33.7 of the Criminal Code in relation to article 66 bis.
   • Practical session.
5. Block five: Analysis of specific compliance environments and transversal issues.
   • Model for the Prevention of Money Laundering. Taxonomy, current context and historical evolution. Position and assessment of the obligated subjects in relation to their operations. Identifying signs. Detection and analysis. Praxis vs legality. Operational traceability and cash funds.
   • Tax control framework.
   • The European Data Protection Regulation. Its impact on the Data Protection Officer and the company's compliance scheme.
   • Specificities of compliance in the gambling sector.
   • Compliance and Public Administration.
   • Compliance and Public Administration. Special reference to the Tax Authorities.
   • Conflicts of interest in the public and private sector, a potential cause of corruption.
   • Course conclusions.

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