A responsabilidade penal do compliance officer nas organizações
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Date
2021-12-17
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Universidade Católica do Salvador
Abstract
This study tried to bring a reflection about the possibility of criminally holding the
Compliance Officer in organizations and if their liability could not constitute an affront to
subjective criminal liability. The methodology used was bibliographical research with a
qualitative approach and jurisprudential analysis of important authors in Criminal Law who
address Criminal Compliance and Compliance Officer. For a better understanding and
deepening of the topic, were defined initially the Compliance and Criminal Compliance, as
well as their main objectives. The historical evolution includes the relevant legislation and
International Conventions to which Brazil is a signatory. Were also analyzed the main
national laws related to the subject, such as the current Money Laundering Law, no 12.683/12
and the Anti-corruption Law, no 12.846/13. For a better understanding of the Compliance
Officer's criminal liability, were defined and demonstrated the main functions of this task, as
well as his duty of surveillance, in addition to the position of the Supreme Court on Criminal
Action No. 470. Regarding the point of deliberate blindness, is questioned whether the author
can be held criminally liable when he is aware of the high probability of criminal offences.
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Keywords
Compliance, Criminal compliance, Compliance officer, Responsabilidade penal, Criminal liability