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. It is also intended that students become familiar with the different regulatory standards used by different companies. Also, learn to perform legal risk assessments.
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 in the provided handook an the student will have to individually study 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. T
It is important to mention that the main objective of the video classes is to resolve the doubts related to the syllabus, therefore it is essential to prepare the topics before each session.
Annotation: Within the schedule set by the centre or degree programme, 15 minutes of one class will be reserved for students to evaluate their lecturers and their courses or modules through questionnaires.
Title | Hours | ECTS | Learning Outcomes |
---|---|---|---|
Type: Directed | |||
Evaluation | 4 | 0.16 | 5 |
Videoclasses | 12 | 0.48 | 2, 1, 5, 3, 4 |
Type: Supervised | |||
Exercises of continuous assestment | 24 | 0.96 | 2, 1, 5, 3, 4 |
Type: Autonomous | |||
Individual study | 110 | 4.4 | 1, 5, 3, 4 |
The evaluation will consist of the following parts:
• 70% 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). It will be necessesary to deliver at least 3 practices with a minimum average grade of 3.5 necessary to pass the course.
• The remaining 30% will be a final test (a,b,c,d). A minimum grade of 4 will be required to pass the course.
Reappraisal
In case of not passing the subject according to the aforementioned criteria (continuous evaluation), a recovery test may be carried out on the date programmed in the schedule, and which will contain all the contents of the program.
To participate in the recovery, the students must have been previously evaluated from the set of activities whose weight equals a minimum of two-thirds of the total grade for the subject.
The grade that will appear in the student's file is a maximum of 5-approved.
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 | 70% | 0 | 0 | 2, 5, 3, 4 |
Final test | 30% | 0 | 0 | 2, 1, 5, 3, 4 |
This subject does not require a specific syllabus