Reflexões acerca da responsabilidade penal do compliance officer e suas ações neutras

• Autor(a) principal: Mendes, Marcela Sauda
• Data de Publicação: 2023
• Tipo de documento: Trabalho de conclusão de curso
• Idioma: por
• Título da fonte: Biblioteca Digital de Teses e Dissertações da PUC_SP
• Texto Completo: https://repositorio.pucsp.br/jspui/handle/handle/39917
• topic: CNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITO::DIREITO PUBLICO::DIREITO PENAL::DIREITO PROCESSUAL PENAL; Compliance; Compliance officer; Responsabilidade penal; Crime omissivo; Posição de garante; Ações neutras; Compliance; Compliance officer; Criminal responsibility; Omissive crime; Guarantor position; Neutral actions

Faced with the complexity of business organizations, in which administrative functions are increasingly distributed and roles are confused, a function that draws attention in the business context is that performed by the compliance officer, which is, in a way, a recent and little-explored position. by the Brazilian society. The issue gains even more relevance when we think about a possible attribution of criminal responsibility to him. Thus, in order to answer the question whether he can respond criminally for an omission or whether his conduct can be classified as neutral, considering that he would be primarily responsible for the company's internal control, it is necessary, first, to analyze what the Compliance program means, its provision in Brazilian legislation and the basic attributions of the compliance officer. Then, the theme of neutral actions will be addressed, in which its meaning will be analyzed and an overview of the theories that seek to resolve the issue will be presented. Finally, to answer the final question, a study will be presented on the criminal responsibility for the commission of an omissive crime, proper and improper, according to Brazilian legislation, which will allow a complete and reasoned analysis about the accountability of possible irregular conducts, practiced by the compliance officer