Corporate compliance (including prevention of criminal liability of legal entities)

Nowadays, it is a standard that a responsible entrepreneur uses a compliance management system as part of the qualified company management, including risk management. It is a set of measures that, when taken as a whole, ensure the proper internal operation of the organisation and compliance of its activities with legal and other similar rules.

The implementation of compliance programmes for clients typically involves

• a detailed input analysis – familiarisation with the nature, structure and scope of the client’s activities, identification of potential risks, assessment of the existence, content and current implementation of compliance tools;
• preventive measures – creation of clear and understandable rules, including their operational implementation at the client’s organisation (training, etc.), setting of competences and responsibilities;
• control – design and set-up of control tools and their implementation, internal investigations;
• responses – addressing specific problems and adverse events identified.

Moreover, when Act No. 418/2011 Sb., on the criminal liability of legal entities and proceedings against them became effective as of 1 January 2012, the implementation of compliance programmes within legal persons has become all the more important, since by setting up and implementing the correct preventive measures, a legal person can exclude its criminal liability.

So be a responsible manager and implement a proper compliance programme in your organisation to prevent adverse events and risks, including the prevention of criminal liability.

What issues do we typically handle for clients in relation to corporate compliance?

• Explanation and training on what a compliance management system is for management and employees
• What risks does my business entail?
• Preventive measures within the company
• Can my criminal liability as a legal entity be excluded?
• Compliance officer training
• Checking compliance with compliance programmes
• Employees have violated the internal regulations, how to proceed?
• Internal investigation of compliance breaches
• Analysis of compliance risk factors
• Preparation and implementation of compliance control mechanisms
• Securing evidence in the event of a compliance breach
• Introduction of internal reporting channels for the compliance programme
• Protection of whistleblowers in the company
• Cooperation in inspections by supervisory authorities
• Compliance training for top management