A responsabilidade penal do compliance officer diante da prática de crimes no âmbito empresarial: uma análise com base na figura da omissão imprópria

Abstract

The present work aims to analyze the possibility of a criminal liability of the Compliance Officer, in the improper omissive form, against the practice of crimes in the corporate sphere. The central point of the study focuses on the analysis the possibility of considering the Compliance Officer as a guarantor of the asset criminal law and, as a result, whether it would be possible to assign responsibility criminal, through the commission of an inappropriate omission crime, for that professional against the commission of a crime in the company where the Compliance program is in place. For this, it is proposed a reflection on the functioning of the programs of Compliance and the role of the compliance professional within this structure, after, a study of penal dogmatics is carried out to better understand omissive crimes, more specifically, improper omissive crimes and the figure of the guarantor. Per Finally, an assessment of the criteria that must be respected is carried out. this responsibility of the Compliance Officer occurs, in addition to the analysis of a case paradigmatic, in order to better understand the position of the Supreme Federal Court on the matter