Compliance

The Brazilian and global socioeconomic scenarios indicate that Corporate Compliance, besides being often a legal obligation, is also an important business strategy to be considered by the most varied levels of corporate management.

In order to be in line with this reality, the Compliance practice area of  Finocchio & Ustra, within its full service structure, relies on multidisciplinary participation of professionals working in the most diverse areas of Law such as administrative, regulatory, tax, criminal, corporate, labour, M & A and contract, in order to align specialized technical knowledge with good compliance practices, providing the client with a customized and integrated solution to prevent, detect and avoid violations of corporate regulations and laws .

We assist with the structuring and implementation of corporate compliance programs, from the development of policies and training, to the management of internal reporting channels, helping to develop a culture of ethics and integrity, enabling internal control management aimed at preserving reputation, mitigating risks as well as preventing and remediating administrative, civil and criminal liability.

Likewise, the Compliance practice area has significant experience in analyzing compliance with  public authorities, third parties, partners and employees in order to assess and manage business risks under the Brazilian Anticorruption Law (Law 12,846 / 2013), and related legislation such as Antitrust Law (Law No. 12,529 / 2011), Public Procurement  Law (Law No. 8,666 / 1993), Administrative Improbity Law (Law No. 8,249 / 1992), Money Laundering Law (Law No. 9.613 / 1998) and, more recently, the challenges brought about by the new General Data Protection Law (LGPD – Law No. 13,709 / 2018).

Legal Advice on U.S. Department of Justice guidelines regarding the evaluation of corporate compliance programs, including the perspective of the North American Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act, are also within the area’s activities.

Among the services provided by our Compliance area, we can highlight the following:

  • Legal and Corporate Compliance Advice;
  • Elaboration, review and implementation of corporate compliance programs;
  • Elaboration and revision of codes of conduct, internal policies and procedures, manuals and training;
  • Due Diligence in mergers, acquisitions and joint ventures;
  • Risk Assessment;
  • Elaboration and implementation of analysis procedures for counterparties and employees (KYC / KYE);
  • General Law on Data Protection: training, data mapping and information flows, policy review, document preparation, DPO – data protection officer;
  • Support in obtaining certifications related to the subject;
  • Assistance in internal investigations and in administrative, civil and criminal proceedings;
  • Assistance in leniency agreements and Conduct Adjustment Terms (TAC).