Compliance Investigations

The global legislative trend in regulatory compliance, international anti-corruption laws with extraterritorial effects (American FCPA, UK Bribery Act, etc.), and international standards on compliance management systems (CMS) such as the recent ISO 19600, have caused risk management policies and the use of tools that prevent or detect fraud to acquire increasingly more relevance for corporations.

In Spain, up to the entry into effect of the reform of the 2010 Criminal Code, only the large corporations had drawn up codes of conduct and had certain demands of compliance. From that time, companies have the (punishable) obligation of establishing effective control measures and to investigate possible criminal or unlawful acts of their employees.

The legal person, in addition to being criminally responsible, finds itself in the need to safeguard its reputation.

The Spanish legal system establishes that the investigation activities must be carried out by legally authorised personnel. The Organic Law 5/2014 on Private Security regulates the private detective business and gives it exclusivity (in certain cases) for the obtaining and contribution of information and evidence.

CASTELLANA DETECTIVES can be of great help as support to the Corporate Compliance bodies in:

  • Surveillance and control tools.
  • Verification of the compliance with risk management programs.
  • Accrediting non-compliance with standards and rules.
  • Internal investigations for the detection of unlawful actions.

CASTELLANA DETECTIVES has developed its own methodology of Private Investigation applied to Compliance processes. The implementation of surveillance measures such as Due Diligence reports of the investigation of future employees or companies to contract, verification of unjustifiable increase in equity or risky relationships of directors, establishment of reporting channels or the control of suppliers and contracts, are preventive aid tools.

Furthermore, the application of private investigation techniques, such as infiltrations in key departments and undercover approaches for the obtaining of information and evidence, will help neutralise the risk that already exists.

Our condition as private detectives (authorised to investigate and being exempted from complying with the duty of previously informing the investigated persons that they are the object of investigation, according to the decisions of the AEPD (acronym for the Spanish Data Protection Agency)), along with the necessary speed of action makes CASTELLANA DETECTIVES a perfect ally in all of the Compliance process; from the initial prevention, passing through the detection of unlawful actions and to the end of the process, carrying out internal investigations that may signify attenuating circumstances of the RPPJ (acronym in Spanish for criminal liability for legal persons).

COMPLIANCE INVESTIGATIONS (prevention)

  • Reputational and compliance Due Diligence of suppliers and contracts.
  • Background and risk history of employees and executives.
  • Family and professional risky relationships of employees and executives.
  • Identification of clients and their activity for obligated parties.
  • Verification of compliance with risk control policies and programs.
  • Implementation or outsourced management of the whistleblower channel.

COMPLIANCE INVESTIGATIONS (detection)

  • Accrediting non-compliance of the regulations: labour, competition, criminal, etc.
  • Fraud detection and unlawful acts: bribery, corruption, undue appropriation, traffic of influences, etc.
  • Search for physical and digital evidence.
  • Provision of evidence and testimony of third parties.

COMPLIANCE INVESTIGATION (Mitigating circumstances of the RPPJ)

Internal investigations in harmony with Art. 31 b) and d) of the Criminal Code:

  • b) Having collaborated in investigation of the events, providing evidence, at any moment of the proceedings, that are new and decisive to clarify the criminal liabilities arising from the events.
  • d) Having established, prior to the trial itself, measures that are effective to prevent and discover felonies that might be committed in the future using the means or under the coverage of the legal person.

OTHER COMPLIANCE SERVICES

Castellana Detectives provides advice on:

  • Implementation of the surveillance and control body.
  • Review of the organisation and management model of the regulatory compliance.
  • Identification of potential criminal acts and risk map (Risk Management).
  • Design of compliance policies and programs.

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