Compliance
Compliance programmes that work when you have to prove them
A legal entity can be criminally liable for offences committed by those acting on its behalf. The law allows that liability to be mitigated or excluded if the company had implemented an adequate organisation and control model, but what is examined in proceedings is not whether the manual exists: it is whether it was actually applied.
That is why the work does not end when the programme is delivered. A model that is approved, filed away and never reviewed does not perform the function that justifies its cost.
What we review
Organisation and control model
A map of the criminal risks specific to the business, controls attached to each risk, the disciplinary regime, and documentary evidence that the model is applied and reviewed.
Whistleblowing channel
Internal reporting system: appointment of the person responsible, handling procedure, response deadlines, confidentiality of the reporting person and protection against retaliation.
Anti-money-laundering
For obliged entities: risk analysis, customer identification and know-your-customer procedures, reporting of suspicious transactions and staff training.
Data protection
Record of processing activities, legal bases, processor agreements with suppliers, international transfers, and response to security breaches.
Outsourced compliance officer
Taking on the supervisory function from outside where the company is not large enough for an internal post, with periodic reports to the management body.
Training and evidence
Training for staff and managers with attendance records and assessment, which is the usual evidence that the model was effectively communicated.
When a consultation is worthwhile
Specific situations in which a short conversation before deciding avoids, in most cases, later proceedings.
- You contract with the public sector or are about to bid for a public tender.
- A client or an investor has asked you to evidence your compliance programme.
- You have a programme that has not been reviewed since it was implemented.
- Your headcount has passed the threshold that makes a whistleblowing channel mandatory.
- You have received an internal report that may describe a breach.
- You are about to process personal data in a new context, or to bring in a supplier who will have access to it.
Fees and conduct of the matter
A fixed quote per piece of work, or a monthly retainer where the volume justifies it. The amount and its scope are settled in writing before each piece of work begins.
Conduct of the matter rests with Josep or María Doménech Aviñó, registration nos. 12.981 and 20.288 of the Valencia Bar Association (ICAV). You deal directly with the lawyer handling the file.
Everything you tell us is covered by the duty of legal professional privilege under article 542.3 of the Spanish Judiciary Act (Ley Orgánica del Poder Judicial), including at the first consultation and even if you do not go on to instruct us.
Let us talk about your specific case
Tell us your situation and we will explain how we would approach it and what documentation is required. We reply within 24 working hours.