Degree | Type | Year | Semester |
---|---|---|---|
2502501 Prevention and Integral Safety and Security | FB | 2 | 2 |
None
Since the reform of the Spanish Criminal Code in 2010, Compliance has been on the agenda for most organizations, increasingly hiring specialists to manage legal risks that the organization face, especially criminal risks. There has been a paradigm shift, from “societas delinquere non potest” to “societas delinquere potest” which has been and still is, a great challenge for most legal entities. Since then, Compliance in Spain has evolved to become a fundamental function within organizations, gradually moving away from criminal-legal concepts, to approach management areas of continuous process improvement from a point of view of control of the risk.
1: Introduction to Compliance
Compliance origins and background
The concept of compliance
The Compliance function in organizations
Corporate ethics
2: Generic Compliance frameworks
OCDE Principles and guidelines
Committee Of Sponsoring Organizations (COSO)
National and international standarization frameworks
3: Specific compliance frameworks
Antitrust frameworks
Enviromental frameworks
Taxation frameworks and regulations
Human and workers rights regulations
Privacy regulation
Stock and exchange regulations
4: Compliance and the spanisch criminal code
Ley Orgánica 5/2010, de 22 de junio
Ley Orgánica 1/2015, de 30 de marzo
Circular 1/2016 de la Fiscalía General del Estado
Jurisprudential analysis of the Sentence of the Supreme Court 154/2016
5: Elements of a CMS
Compliance leadership and culture. Tone from the top.
The Compliance function
Risk evaluation
Compliance controls
Compliance reporting
Training and comunication. Whistleblowing systems
Supervision and verification
6: The Compliance Officer
Essential requierements for a Compliance Officer
Skills and profile of the position
The Compliance Officer in the organization
Liabilities and different structures
The content of the program will be taught by the teacher mainly in the form of master classes with audiovisual support. The presentations and materials used in class by the teacher will be previously available in the Virtual Campus. It is recommended that students print this material and take it to class, to use it as a support when taking notes. Although it is not essential to expand the contents of the classes taught by the teacher, unless the teacher expressly requests it, it is recommended to consult the reading materials in the bibliography section of this guide to be consulted on a regular basis to consolidate and clarify, if necessary, the contents explained in class. There will be individualized attention to the students and solve any doubts that may arise if needed in pre-arranged hours.
Title | Hours | ECTS | Learning Outcomes |
---|---|---|---|
Type: Directed | |||
Classes | 6 | 0.24 | 2, 1, 5, 3, 4 |
Type: Supervised | |||
Exercises of continuous assestment | 24 | 0.96 | 2, 1, 5, 3, 4 |
Type: Autonomous | |||
Individual study | 120 | 4.8 | 1, 5, 3, 4 |
The evaluation will consist of the following parts:
• 60% of the final grade for the course will be the average of the different assignments / practices that will take place throughout the course (3-4).
• The remaining 40% will be a final test (a,b,c,d)
PLAGIARISM: Without prejudice to other disciplinary measures deemed appropriate, and in accordance with current academic regulations, irregularities committed by a student that may lead to a variation in the grade will be scored with a zero (0). For example, plagiarizing, copying, or letting copy an assignment will involve suspending this activity with a zero (0). Activities classified in this way and by this procedure will not be re-assessable.
Title | Weighting | Hours | ECTS | Learning Outcomes |
---|---|---|---|---|
Conduction of a risk assessment | 60% | 0 | 0 | 2, 5, 3, 4 |
Final test | 40% | 0 | 0 | 2, 1, 5, 3, 4 |