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Compliance

The Compliance area of ​​Finocchio e Ustra structures and implements corporate Compliance programs, risk assessment, elaborates Codes of Conduct, develops policies and training, manages internal reporting and internal controls aimed at preserving the reputation of companies and mitigating the risks of administrative, civil, and criminal liability of the company and its managers.

Likewise, we assist in the development of a culture of ethics and integrity, based on solid experience in the analysis, mapping, and management of business risks from the perspectives of the Brazilian Anti-Corruption Law, Antitrust Law, Public Procurement and Contracts Law, Administrative Improbity Law, Money Laundering, among others.

Our area offers integrated and customized solutions to prevent, detect, and stop violations of internal corporate rules and the legal system, with the multidisciplinary participation of professionals who work in the most diverse areas of law. We also offer consultancy concerning the Comptroller General of the Union (CGU), the US Department of Justice, and the Serious Fraud Office (SFO) regarding the evaluation of corporate compliance programs from the Brazilian (Anti-Corruption Law), North American (Foreign Corrupt Practices Act) and British (UK Bribery Act) perspectives.

 

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

  • Legal and Corporate Compliance Consultancy;
  • Elaboration, review, and implementation of corporate compliance programs;
  • Development and review of Codes of Conduct, internal policies and procedures, manuals and training;
  • Due Diligence in mergers, acquisitions, and joint ventures;
  • Elaboration and execution of Risk Assessment, customized to the characteristics of the market and the company;
  • Elaboration and implementation of procedures for analyzing counter-parties and employees (KYC/KYE), with the elaboration of a risk matrix and customized delegation grids;
  • Advising and conducting internal investigations to determine non-compliance situations;
  • Support and management for Whistleblower Channels;
  • Advise on the assessment of contractual corporate governance obligations;
  • Assistance in integrity certification.