THE CRIMINAL LIABILITY OF LEGAL ENTITIES AND THEIR REGULATORY COMPLIANCE

Vocational Training Cycle

OBJECTIVE OF THE TRAINING CYCLE

To offer lawyers a clear and up-to-date framework to understand how corporate criminal law is evolving, what international standards are expected of compliance systems today and how they should be integrated into corporate governance and the legal and procedural strategy of the legal entity, while reinforcing legal certainty, ownership and effectiveness of the system and where the Spanish system should evolve.

18:00 PM – 19:30 PM. Session 2: The experience of the Audiencia Nacional and in the Tribunal Supremo in matters of criminal liability of legal entities.

• Jurisprudential criteria for imputation of the legal entity (doctrine of Tribunal Supremo).
• Evidentiary standards and burden of proof in corporate criminal proceedings.
• Judicial assessment of compliance models in criminal proceedings (practice of the Audiencia Nacional).
• Effectiveness of compliance systems. Evidentiary value of compliance elements (training, channel, audit, reviews). Establishment of evidentiary criteria.

Speakers:

• Alejandro Abascal Junquera. Magistrate in the Audiencia Nacional and vowel of Consejo General del Poder Judicial.
• Alejandro Luzón Cánovas. Chief Prosecutor of the Fiscalía Anticorrupción.
• Carlos Aguilar Fernández. Litigation Partner at CMS Albiñana & Suárez de Lezo.

Moderated by: Jorge Navarro Massip. Vice Dean of Colegio de la Abogacía de Barcelona.

18:00 – 19:30 h. Session 3. Criminal compliance in the company

• Design, review, and legal defense of the criminal compliance model. The role of the lawyer in the design and review of criminal prevention models.
• Risk identification and prioritization using criminal logic.
• Effective design of the criminal compliance model
• Essential elements, risk identification and actual suitability to the activity of the legal entity.
• Real effectiveness vs. formal compliance.
• Documentation, traceability and judicial assessment criteria for compliance systems.
• Continuous review and updating of the compliance model.
• Impact of regulatory and jurisprudential changes and lessons learned from incidents or investigations.
• Interaction between internal investigation, procedural strategy and use of the compliance system as a defense element.
• Internal investigations.
• Role of the compliance system manager, and analysis of organizational structures, decision-making processes, suitability of positions, and the different functions and positions of internal and administrative bodies.
• Internal information and compliance systems in the public sector.

Speakers:

• Manuel Villoria Mendieta. President of the Independent Authority for the Protection of Informants.
• Piedad Barco Gurrea. Deputy Secretary of the Board of Directors and Head of Corporate Compliance at Inditex.
• Dolores Herrera Pereda. Compliance Director of Iberdrola, SA

Moderated by: Regina Reyes Gallur. Technical Secretary of the Compliance Observatory of the Spanish Chamber of Commerce, Partner at Ayala de la Torre Abogados.

18:00 – 19:30 h. Session 4. Liability of the legal entity and constitutional guarantees

• Ownership of fundamental rights by legal entities: scope and limits.
• Personality rights and their application to legal entities: the problem of reputational damage.
• Constitutional guarantees in corporate ius puniendi: presumption of innocence, principle of personality and art. 24 CE.
• The constitutional principles of guilt, contradiction and defense and their application to legal entities in the criminal process.
• Internal investigations and their contribution to the criminal process as a defense strategy for the company.

Speakers:

• Enrique Arnaldo Alcubilla. Justice of the Constitutional Court.
• Manuel Marchena Gómez. Magistrate of the Criminal Chamber of the Tribunal Supremo.
• Concepción Rayón Ballesteros. Professor of Procedural Law, Complutense University of Madrid

Moderated by: Albert Sierra. Dean of Colegio de la Abogacía de Gerona.

• Judicial assessment of regulatory compliance programs and their criminal effectiveness.
• Evidence criteria for the effectiveness of compliance systems: training, channel, internal and external audits, system certifications, reviews.
• Internal channels of information and whistleblower protection: operation, guarantees and role in internal investigation procedures.
• Internal investigations and evidence in the criminal process: traceability, documentation and expert (forensic) evidence.
• Reputational and organizational impact of the criminal process and its legal management.
• Benefits of business collaboration for both the system and businesses, and the need for bidirectional collaboration measures.

Speakers:

• Fernando Bautista Sagües, lawyer.
• Joaquín Delgado Martín. Magistrate of the Court of the Audiencia Nacional.
• María Massó Moreu. Criminal partner at Baker McKenzie.

Moderated by: Emilio Vega Ruiz. Dean of the Guadalajara Bar Association.

18:00 – 19:30 h. Session 6. Business groups

*This session will take place in the Assembly Hall of the Chamber of Commerce, C. de la Ribera del Loira, 12, Barajas, 28042 Madrid

• The governance of regulatory compliance.
• Analysis of the regime applicable to groups of companies, scope of criminal liability and safeguards.
• Decision-making processes in international groups with complex structures, where governance is articulated through formal systems of delegation, specialized committees and control functions.
• Structural differences and the interaction between the administrative body, senior management and compliance functions for quality preventive and contentious advice.
• Connection between compliance strategy and corporate governance to ensure management aligned with the market and with stakeholder expectations.

Speakers:

• Blanca Sánchez Fresco, Director of National Corporate Legal Advice at the Mapfre Group.
• Alberto Alonso Ureba. Professor of Commercial Law at Rey Juan Carlos University.
• Julia Durán Domínguez. Director of Governance and Compliance at Iberdrola, SA

Moderated by: Federico Bravo Hernández. Dean of the Bar Association of La Rioja.

18:00 – 19:30 h. Session 7. Trends in criminal liability and compliance

• Comparative law, regulatory reforms and out-of-court solutions.
• Comparative analysis of relevant models of criminal liability and compliance.
• Regulatory evolution and new regulatory requirements.
• Out-of-court settlements, cooperation mechanisms and resolution formulas in the criminal and sanctioning field.

Speakers:

• Alfredo Liñán Lafuente. Full Professor at UNED.
• David Velázquez Vioque. Lawyer.
• María Moreno Sánchez. Lawyer. Gally Abogados

Moderated by: Miguel Bueno Sánchez. Partner at Ayala de la Torre Abogados.

18:00 – 19:30 h. Session 8. Governance and compliance as a strategic value of the company.

• Investment in governance as an economic asset of the company.
• How to repair the reputational impact of an accusation against a legal entity or its administrators or directors.
• The need to redefine the rules of procedure to ensure equality of arms.
• Family business, SMEs and governance.

Speakers:

• Julián Martínez-Simancas Sánchez. Lawyer.
• Eduardo Torres Dulce Lifante. Former Attorney General of the State, lawyer at Garrigues.
• Álvaro de la Haza. Corporate General Manager at Cosentino.

Moderated by: Miguel Hermosa EspesoDean of the Palencia Bar Association

Closing of the Program: Miguel Hermosa and José María Ayala.