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Compliance or Regulatory Compliance

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Compliance or Regulatory Compliance

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Head

ASSOCIATE-HEAD OF CORPORATE COMPLIANCE

Compliance or Regulatory Compliance

Compliance or Regulatory Compliance is a set of adequate policies and procedures to guarantee that the company and its executives, employees and related agents comply with the applicable regulatory framework with the aim of minimising the operating and legal risks inherent to the company’s activity.

At ARPA Abogados Consultores we have a multidisciplinary team which allows us to provide comprehensive regulatory advice in the main areas of corporate activity, with the aim of helping our Clients to properly manage their operating and legal risks in an effective and operational manner.

We help our clients to build management systems and good practices for identifying and classifying the operating and legal risks to which Organisations are exposed and establish internal mechanisms to prevent, manage, control and react to them:

  • Gap analysis of regulatory compliance.
  • Creation of risk maps.
  • Drafting of regulatory compliance policies and procedures.
  • Creation of Compliance indicators (KCI).
  • Regulatory Compliance audits.
  • Reporting to management bodies.
  • Development of the Code of Ethics and Conduct.

Preparation of the Corporate Compliance Programme pursuant to Article 31 bis of the Criminal Code, with the protocols and technical, legal and organisational measures to be implemented by the Organisation:

  • Preparation of the organisation’s criminal risk analysis using the impact vs probability methodology.
  • Development of the Crime Prevention Programme and the Organisation’s main policies.
  • Design and creation of the Whistleblower Channel, supervision of its correct management and maintenance.
  • Support to the Organisation’s crime prevention body (Compliance Committee) in the maintenance of the Crime Prevention Programme.
  • Monitoring of the effectiveness of the Programme and preparation of follow-up reports.
  • Adequacy of compliance with certifications
  • In-company training.
  • Corporate Defence: Legal advice to the organisation during criminal proceedings.

We offer services to obligated parties to ensure their compliance with the requirements of the money laundering prevention regulations, with the aim of assisting them in the daily task of complying with the legal requirements and their prevention procedures, thereby guaranteeing that work is performed according to the regulations.

  • Drafting of the assessment report and description of exposure to money laundering.
  • Preparation of the Operating Manual for the Prevention of Money Laundering and internal procedures required by regulations.
  • Support to the internal control bodies of the obliged subject.
  • Updated training for obligated parties.
  • Advice and support on the conclusions and recommendations of External Expert reports.
  • Advice on SEPBLAC inspections or requirements of the authorities.

Order 1030/2021 of the 29th of September, establishes, pursuant to art. 22 of Regulation 241/2021, that the decision-making and executing entities of Next Generation Funds must have antifraud plans of action, for which a shorter time frame has been established for their implementation.

At ARPA Abogados Consultores we have qualified professionals to provide the necessary work to develop antifraud action plans:

  • Drafting of an institutional declaration regarding antifraud and corruption.

  • Development of a Code of Ethics and policy to combat fraud and corruption.

  • Preparation of fraud, corruption and conflicts of interest risk maps.

  • Proposal of risk improvement or treatment measures, if required.

  • Establishment of policies and procedures for the definition, declaration and management of conflicts of interest.

  • Definition of fraud and corruption indicators (redflags) for the follow-up and detection of possible cases.

  • Drafting or amending procedures for whistleblowing channels.

  • Design and drafting of procedures for the management, analysis, prosecution and communication of identified cases.

  • Creation of measures to combat fraud, corruption and conflicts of interest.

  • Whistleblowing Channel: Advice on the implementation of Whistleblowing Channels adapted to the requirements of Directive (EU) 2019/1937 on the protection of persons who report breaches of Union Law.

  • Compliance with the Competition Law.

  • Advice on the preparation and review of reports on Non-Financial Statements.

  • Data Protection and Information Security Management Systems.

  • Anti-corruption policies.

Compliance or Regulatory Compliance team

ASSOCIATE-HEAD OF CORPORATE COMPLIANCE
PARTNER - DIRECTOR OF THE NEW TECHNOLOGIES AND COMPLIANCE DEPARTMENT
PARTNER-DIRECTOR OF THE PROCEDURAL/BANKRUPTCY LAW DEPARTMENT
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