Compliance

Team of Lawyers specialized in Compliance

At Lupicinio International Law Firm we have an experienced and qualified Compliance team. Our clients receive comprehensive advice to develop internal procedures and assign functions in certain areas of compliance, in particular in the areas of corporate governance, prevention and investigation of national and international corruption, prevention of money laundering and tax evasion, prevention of criminal liability, as well as a general assessment of regulatory compliance and investigations by corporate and governmental bodies.

Our methodology for the implementation of a Compliance Model consists of several phases.

DESIGN OF THE MODEL: Draw up the risk map and the matrix of Compliance Risks and Controls and propose tools that include the design of the Risk Prevention and Detection Model.

DEVELOPMENT OF THE MODEL: Evaluate the Compliance Risk Prevention and Detection Policy, draft the Compliance Management System operating manual, draft the Compliance Management System policies and procedures, update the written internal policies and procedures to the new Compliance Management System.

DISCLOSURE: Presentation of the Compliance Management System to the client’s Governing Body. Preparation of the stakeholder training plan, issuance of a global certificate to be kept as proof of the training carried out and presentation of the resolution of incidents.

REVIEW OF THE IMPLEMENTATION OF THE COMPLIANCE MANAGEMENT SYSTEM: Drawing up a Compliance Management System Review Report. The client may present its Compliance Management System to any third party, including: criminal proceedings (courts, public prosecutor’s office, etc.) and third parties with which the entity has relations (clients, suppliers, third parties, etc.).

The phases proposed under our compliance methodology have been applied in areas where internal regulation is required. In our experience, it is advisable to include at least those relating to the following subjects:

• Financial: Sarbanes Oxley Act, internal control, fraud, risks, bribery, etc.
• Securities markets: MiFID, conflicts of interest, conduct regulations, market abuse, privileged information, etc.
• Criminal: design and implementation of criminal compliance programmes.
• Social responsibility: CSR, board protocols, approval standards, corporate governance, etc.
  Labour: harassment, health and safety, environment, equality plan, etc.
• Technology: LOPD, information security, video surveillance, etc.
• Others: intellectual property, quality and approvals, prevention of money laundering, etc.

Internal Research

Internal research in companies are part of the compliance mechanisms. Their purpose is to prevent the commission of criminal offences within the company, to serve as a mitigating factor against the company’s potential criminal liability in legal proceedings, and even to serve as an exoneration from such liability if it can be shown that the corrective measures served to prevent the commission of criminal conduct within the company.

Lupicinio International Law Firm provide companies with the necessary advice to design and implement internal investigation programmes and action protocols that are transparent and legally protected, respecting the principles of confidentiality and diligence, and guaranteeing the privacy and security of all persons involved in the process.

Likewise, our team provides direct, comprehensive and efficient professional services to manage internal investigations within companies, ensuring an approach adapted to the specific needs of the client. To this end, we follow a solid and structured working methodology to manage all the phases of the internal investigation, from the preliminary analysis of the complaint and its background, through the investigation itself, including background checks, interviews, evidence gathering and any action deemed necessary to clarify the facts of the investigation, to the drafting of the final report, including the proposal of corrective measures to be adopted.