Companies carry out their activity in an environment in which certain conduct committed within the organisation can give rise to criminal consequences both for the individuals involved and, in the cases provided for by law, for the legal entity itself.
Vox Legis integrates Corporate Compliance within its White-Collar Criminal Law and corporate practice, connecting risk prevention with practical experience in criminal proceedings.
The implementation, review and maintenance of specialised compliance systems is carried out through Éthica Consultoría Empresarial, the Vox Legis ecosystem's specialised firm for corporate risk prevention and management.
Corporate criminal liability
The Spanish Criminal Code provides for legal entities to be held criminally liable for certain offences committed in their name, on their behalf or for their direct or indirect benefit, where the legally established requirements are met.
The company's liability must be analysed separately from any potential personal liability of directors, officers, employees or other individuals linked to the organisation.
When a company is under investigation, or there is a risk that it may be brought into criminal proceedings, the strategy must jointly assess the facts, the corporate organisation, the existing control mechanisms and the decisions taken before and after the incident became known.
CRIMINAL LIABILITY OF LEGAL ENTITIES →Preventing before criminal proceedings arise
The purpose of a compliance system is not merely to have documents or internal policies in place.
A prevention model must start from the company's actual risks, its activity, size, structure, decision-making processes and the way it relates to customers, suppliers, employees and third parties.
Based on that analysis, prevention, detection, reporting and response mechanisms can be established that are tailored to the organisation.
Organisation and management models
Criminal legislation sets out certain requirements for organisation and management models intended to prevent offences or significantly reduce the risk of them being committed.
Among other elements, these systems may comprise risk identification and assessment, decision-making protocols, financial controls, internal reporting mechanisms, disciplinary measures, supervision and periodic review.
The implementation and development of these systems is carried out through Éthica Consultoría Empresarial's specialised area.
COMPLIANCE PROGRAMME IMPLEMENTATION — ÉTHICA →A compliance system must work in practice
The effectiveness of a model does not depend solely on its formal existence.
The system must be adapted to the organisation's activity and risks, be known to the people who must apply it, have genuine supervision mechanisms in place, and be updated whenever changes occur within the company or deficiencies are detected.
Prevention requires integrating compliance into the organisation's ordinary decision-making processes.
Directors, officers and management bodies
The management of corporate risks also affects those who hold management, decision-making, supervisory and control functions within a company.
When an incident arises, a distinction must be drawn between the company's potential liability and any liability that may individually correspond to the persons who took part in the events.
Vox Legis analyses these situations from a White-Collar Criminal Law perspective and, where appropriate, in coordination with the organisation's corporate legal advisors.
Internal reporting systems
Certain companies and organisations are required to have internal systems in place enabling potential breaches to be reported with confidentiality guarantees and protection for the individuals who report them, in accordance with Law 2/2023.
These systems must be designed taking into account the structure of the organisation and the obligations set out in the applicable regulations.
Éthica Consultoría Empresarial advises on the implementation and management of internal reporting channels and systems.
INTERNAL REPORTING CHANNELS — ÉTHICA →Internal investigations and forensic reports
When a possible irregularity arises within a company, it may be necessary to determine what has happened, preserve information, identify the processes affected and assess the measures that should be adopted.
Internal investigations require particular care when the facts may have criminal relevance.
In these situations, coordination between the compliance team and the lawyers responsible for the criminal defence strategy makes it possible to jointly address the internal investigation and its potential legal consequences.
Compliance in corporate transactions
Compliance analysis can also be relevant in certain corporate transactions.
The acquisition of a company, the entry of investors, a restructuring or certain due diligence processes may require identifying regulatory, criminal or compliance risks that could affect the value or liability associated with the transaction.
Where the matter requires it, Vox Legis coordinates the corporate, criminal and compliance analysis.
CORPORATE LAW →Éthica Consultoría Empresarial
Éthica Consultoría Empresarial is the specialised firm within the Vox Legis ecosystem dedicated to preventive advice and the implementation of management and compliance systems within organisations.
Its activity covers, among other areas, Corporate Compliance, criminal risk prevention, internal reporting systems, training, data protection, anti-money laundering, information security, and internal or forensic investigations where appropriate.
This specialisation makes it possible to maintain a clear division between the prevention and organisation of the compliance system and legal defence when criminal proceedings arise.
VISIT ÉTHICA CONSULTORÍA EMPRESARIAL →When the problem already exists
If a company, director or officer is under criminal investigation, the analysis ceases to be purely preventive.
The strategy must assess the facts under investigation, the existing documentation, the control measures previously in place, the actions taken since the incident became known, and the procedural position of each individual or legal entity affected.
These matters are handled by Vox Legis's White-Collar Criminal Law area.
CRIMINAL DEFENCE OF COMPANIES AND EXECUTIVES →Prevention and defence: two phases of the same corporate reality
Understanding how companies operate internally helps prevent risks. Experience before the courts provides insight into what happens when those mechanisms fail.
Coordination between Vox Legis and Éthica makes it possible to address both dimensions in a differentiated but connected way: corporate prevention and legal defence.
A team at the intersection of business, compliance and White-Collar Criminal Law
This page does not present the whole team as compliance specialists: the following profiles have genuine, demonstrated practice at the intersection of business, management and White-Collar Criminal Law.