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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2018.tde-02102020-142209
Document
Author
Full name
Philippe Alves do Nascimento
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2018
Supervisor
Committee
Costa, Helena Regina Lobo da (President)
Souza, Luciano Anderson de
Araujo, Marina Pinhão Coelho
Estellita, Heloisa
Title in Portuguese
O papel do compliance officer e a relevância penal da omissão
Keywords in Portuguese
Código Penal -- Brasil
Compliance
Crime por omissão
Direito penal econômico
Responsabilidade penal
Abstract in Portuguese
O presente estudo investiga a posição jurídica do compliance officer, e a relevância penal de sua omissão à luz do artigo 13, § 2º, do Código Penal. Para tanto, buscou-se delimitar os pressupostos jurídico-penais que fundamentam a possibilidade de imputação de um acontecimento típico a título de omissão imprópria, em observância aos princípios orientadores do Direito Penal moderno. A partir da diretriz material do domínio sobre o fundamento do resultado, inicialmente desenvolvida por Bernd Schünemann, torna-se possível fundamentar e delimitar materialmente a posição de garantidor do compliance officer, no âmbito de um modelo organizativo de vigilância em criminal de compliance. Em regra, o compliance officer ocupa posição de garante de vigilância fragmentária sobre a fonte de perigo empresa, a partir da assunção voluntária, lícita e fática de deveres residuais transferidos por delegação do garantidor originário. Tais deveres circunscrevem-se à detecção, investigação e transmissão da informação sobre fatores de riscos penais. A omissão desses deveres pode apresentar relevância penal, quando produzido acontecimento típico não evitado em razão de bloqueio informacional por parte do compliance officer, e desde que presentes os demais pressupostos jurídico-penais da omissão imprópria. Porém, por se tratar, na maioria das vezes, de omissões sucessivas, em razão do domínio escalonado sobre a fonte de perigo empresa, haverá dificuldade de imputação do resultado ao compliance officer, diante da necessidade de se comprovar que a realização de sua ação devida teria evitado o resultado com grau de segurança próximo aos limites da certeza.
Title in English
The role of the compliance officer and the criminal relevance of the omission
Keywords in English
Compliance officer
Domain of control and surveillance over a source of danger
Economic criminal law
Improper omissive crime
Informational advantage
Obligations of detection investigation and transmission on criminal risks
Role of guarantor
Theory of avoidability
Abstract in English
This study analyzes the legal role of the compliance officer, and the criminal relevance of his omission in light of article 13, § 2, of the Brazilian Criminal Code. For that purpose, it was sought to delimit the criminal legal assumptions that support the possibility to attribute a typical event by way of improper omission, in compliance with the guiding principles of modern Brazilian Criminal Law. Starting from the material guideline of the domain on the basis of the result, initially developed by Bernd Schünemann, it is possible to substantiate and materially define the position of guarantor of the compliance officer, within the framework of an organizational model of criminal compliance surveillance. As a rule, the compliance officer holds the position of guarantor of fragmentary surveillance on a company's source of danger, from the voluntary, licit and factual assumption of residual obligations transferred by delegation from the original guarantor. These obligations are limited to the detection, investigation and transmission of information on criminal risk factors. The omission of these obligations is deemed to be of criminal relevance, when the occurrence of a typical event is not prevented due to an informational blockage by the compliance officer, and since other legal and criminal assumptions of the improper omission are present. However, as it is most of the times, successive omissions, due to the scaled domain over the company's source of danger, it will be difficult to attribute the result to the compliance officer, due to the need to prove that the performance of his due action would have prevented the result with a degree of security near to the limits of certainty.
 
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Release Date
2022-10-02
Publishing Date
2021-10-29
 
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