Corporate criminal compliance and risk prevention
Design, review and strengthening of mechanisms intended to identify criminal exposure, prevent misconduct and provide an orderly response to incidents within an organization.
Discuss the casePrevention before risk becomes an investigation
An organization may face legal, reputational and financial consequences arising from conduct by executives, employees, contractors, intermediaries or related third parties.
Corporate criminal compliance helps identify exposure, allocate responsibilities, establish controls and document the organization's response to conduct that may acquire criminal significance.
It is not limited to producing policies. The mechanisms must reflect the company's actual activity, size, structure and specific risk profile.
Services covered
Criminal risk assessment
Identification of activities, processes, positions and business relationships that may expose the organization or its executives to criminal risk.
Program design and review
Creation, updating or assessment of policies, protocols, controls and internal procedures for prevention and response.
Internal investigations
Confidential review of reports, transactions, documents or conduct potentially involving employees, executives, contractors or third parties.
Reporting mechanisms
Design and evaluation of channels for receiving, documenting, classifying and addressing internal reports or concerns.
Third-party due diligence
Review of contractors, suppliers, partners, intermediaries and other persons connected to sensitive operations.
Training and compliance culture
Training for boards, management teams, employees and departments exposed to specific legal risks.
A program must address actual risks
A generic model copied from another company or disconnected from daily operations may create an appearance of compliance without providing meaningful prevention. The review should consider:
- Business activity.
- Governance structure.
- Allocation of responsibilities.
- Handling of funds.
- Public or private contracting.
- Domestic and international transactions.
- Interaction with authorities.
- Information management.
- Use of technology.
- Third-party relationships.
Risks that may be assessed
The engagement may address risks involving:
- Fraud and breach of trust.
- Disloyal administration.
- Private corruption.
- Bribery and interaction with public officials.
- Money laundering.
- Financing of unlawful activities.
- Documentary or accounting falsehood.
- Misuse of confidential information.
- Tax, customs or foreign-exchange exposure.
- Property-related measures.
- Third-party contracting.
- Corporate use of artificial intelligence and digital tools.
Internal investigations
When an alert, report or incident arises, the internal investigation should be conducted with a defined scope, confidentiality, traceability and respect for the rights of those involved, coordinating with criminal defense and legal representation when an official investigation exists:
Responding to an incident
The detection of potential misconduct requires careful decisions regarding:
- Preservation of evidence.
- Suspension or continuation of operations.
- Internal communications.
- Relationships with employees or contractors.
- Obligations involving authorities.
- Data protection and confidentiality.
- Review of existing controls.
- Coordination among legal, technical and financial advisers.
The response should avoid both inaction and rushed decisions that may aggravate the situation.
Compliance and individual responsibility
The existence of a compliance program does not automatically eliminate the potential responsibility of executives, employees or third parties.
Likewise, the absence of a control does not by itself establish that a criminal offense occurred.
The analysis must determine each person's duties, knowledge, decisions and actual role within the organization.
Support for governing bodies
Advice may be provided to:
- Boards of directors.
- Legal representatives.
- Senior management.
- Compliance officers.
- Audit committees.
- Legal departments.
- Internal audit teams.
- Human resources.
- Information security.
- Finance and accounting teams.
The objective is to integrate criminal risk prevention into the organization's actual governance and decision-making structure.
Frequently asked questions
The appropriate scope depends on the organization's activity, size, structure and risks. Not every company requires the same model or level of complexity.
Not necessarily. Policies must be implemented, understood, assigned to responsible persons and connected to the organization's actual risks.
Compliance seeks to prevent, detect and manage risks. Criminal defense becomes necessary when an investigation, proceeding or potential attribution of responsibility exists.
No. It is a private review intended to understand the facts and support internal decisions. It does not replace the powers of public authorities.
Yes. Its design, operation, documentation, controls and consistency with the company's current risks can be evaluated.
Yes. The review may address the information used, human oversight, data protection, decision-making and associated legal risks.
Yes. Information and documents provided are protected by professional confidentiality.
Related practice areas
Related publication
Consultation regarding corporate criminal risk
The consultation allows an initial review of the organization's activity, the identified risk, the existing controls and the legal measures that may be adopted.
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