Our Compliance area at Finocchio & Ustra Advogados stands out for its comprehensive work in structuring Compliance Programs. From an initial risk assessment stage to preparing companies to attain recognition, such as Pro-Ética [a public recognition of companies that follow ethical practices], we offer a full service support. 

Our work includes drafting Codes of Conduct, developing policies and conducting training, managing complaint channels, corporate investigations and assessing internal controls aimed at preserving the company’s integrity and mitigating risks of having our clients and their managers being held liable in administrative, civil and criminal spheres.

We provide support in due diligence and structuring processes for effective management of suppliers and representatives, in order to identify and mitigate financial, legal and reputational risks, ensure that a company’s relationships in the value chain are aligned with the ethical standards of your organization. 

Additionally, we advise on topics related to diversity and inclusion (D&I) in organizations. In this sense, we provide support in the development of D&I Policies and render training focused on promoting an inclusive and equitable work environment by addressing topics such as empathy, non-violent communication and strategies anti-harassment, thus aiming to create an organizational culture that values and respects the individuality of each employee.

Based on solid experience, we analyze, map and support risk management from the perspectives of the Anti-Corruption Law, Antitrust Law, Public Procurement and Contracts Law, Administrative Misconduct Law, Money Laundering Law, among others, as we lay on the multidisciplinary expertise of professionals specialized in various areas of Law.

We also offer consultancy aligned with the guidelines of the U.S. Department of Justice and Serious Fraud Office by evaluating Compliance programs from the North American (FCPA) and British (UKBA) perspectives.

Among the main areas of activity, the following stand out:

  • Consulting on legal and corporate compliance;
  • Preparation, review and implementation of corporate compliance programs;
  • Preparation and review of Codes of Conduct, internal policies and procedures;
  • Conduct training on topics related to compliance;
  • Preparation and implementation of procedures for analyzing counterparties (suppliers, sales representatives, distributors, buyers, agents, representatives, among others) and employees (KYC/KYE), with the preparation of a personalized risk matrix and delegation grid;
  • Due Diligence in merger, acquisition and joint venture operations;
  • Preparation and implementation of Risk Assessment, customized to the characteristics of the market and the company;
  • Advice and conducting of internal investigations to determine situations of non-compliance;
  • Support and management for Complaint Channels;
  • Advice on the assessment of corporate governance contractual obligations;
  • Consulting on integrity certification processes.

Partners and Area Coordinators

HEAD | MARCO AURELIO BAGNARA OROSZ