Compliance e direito penal econômico

• Autor(a) principal: Tamer, Mauricio Antonio
• Data de Publicação: 2021
• Tipo de documento: Tese
• Idioma: por
• Título da fonte: Biblioteca Digital de Teses e Dissertações do Mackenzie
• Texto Completo: https://dspace.mackenzie.br/handle/10899/28389
• topic: compliance; direito penal econômico; teoria jurídica de direito penal econômico; CNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITO::DIREITO PUBLICO::DIREITO PENAL

The present thesis approaches the connection between compliance and economic criminal law, particularly based on perspectives drawn from an Economic Criminal Law Juridical Theory that is autonomous and proposes to answer the following questions. Is there a relationship between compliance and Economic Criminal Law? If that relationship exists, how would it manifest itself? Would the Legal Theory of General Criminal Law, so to speak, be sufficient to dogmatically comfort the economic phenomena - including compliance - or would an autonomous Legal Theory of Economic Criminal Law be necessary? If a new autonomous theory is justified, how would this autonomy manifest itself? If a relationship exists with compliance, would this relationship also help to justify, confirm, explain, and operationalize the autonomous theory in a certain manner? Initially, it studies the introductory notions of compliance, presenting a possible definition for it and suggesting its origin from the historical relation between State and the Economy. The first chapter also analyses the two main normative texts that regulate and establish the phenomenon in the Country, the Brazilian Federal Law nº 12,846 of 2013 and its Regulatory Decree nº 8,420 of 2015, as well as general notions of its manifestation in the other countries of MERCOSUR. By the second chapter, the thesis approaches the subject of compliance fundamental basis (such as regulated selfregulation, corporate governance, social responsibility and business ethics) and the necessary elements for the development of a real and effective compliance program. From the third chapter onwards, it proposes the recognition of an Economic Criminal Law Juridical Theory that is autonomous, resulting from the historical manifestation of the phenomenon of economic criminality, with the identification of the respective protected legal interest. It studies that the theoretical autonomy presents itself due to dogmatic elements, which, in economic criminality, assume a certain distinguished profile or are used more frequently. For this end, through non-exhaustive means and examples based on compliance itself, it studies the phenomena of blank penal law, the use of crimes of peril, the criminal liability of legal entities and the criminal liability for improper omission. At the end, considering the studied, the thesis proposes the existence of a close relation and of mutual influence between compliance and Economic Criminal Law. A historical, contextual, legal and operational relation between the phenomena, as summarized in its conclusions.