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Doctoral Thesis
DOI
https://doi.org/10.11606/T.2.2017.tde-15032021-232238
Document
Author
Full name
Ilana Martins Luz
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2017
Supervisor
Committee
Paschoal, Janaina Conceição (President)
Badaró, Gustavo Henrique Righi Ivahy
Vilardi, Rodrigo Garcia
Costa, Helena Regina Lobo da
Sanctis, Fausto Martin De
Title in Portuguese
A responsabilidade penal por omissão e os programas de compliance
Keywords in Portuguese
Compliance
Corrupção
Crime por omissão
Direito Penal Econômico
Lavagem de dinheiro
Responsabilidade penal
Abstract in Portuguese
Esta tese é destinada a avaliar a repercussão do descumprimento dos deveres de compliance previstos nas Leis Brasileiras de Lavagem de Capitais e Anticorrupção para a responsabilidade penal por omissão imprópria dos gestores das sociedades anônimas e limitadas e responsáveis pelos programas de compliance. Preliminarmente, buscou-se realizar considerações sobre o conceito, evolução do compliance, e a incorporação deste mecanismo de autorregulação regulada pelo Direito Penal Econômico, em sua nova abordagem preventiva, para, em seguida, tratar da positivação e das peculiaridades do tema no Ordenamento Jurídico Brasileiro. Em momento posterior, apresenta-se a moldura abstrata eficaz para o cumprimento dos deveres de compliance, bem como as peculiaridades que devem ser observadas para a implementação de programas específicos voltados à prevenção da Lavagem de Capitais e da Corrupção. Realiza-se, também, a revisão bibliográfica das posições sobre a responsabilidade penal por omissão decorrente da inobservância dos deveres de compliance. Obedecendo-se à linearidade do raciocínio e necessidade de fixação de premissas para responder ao problema posto, também foram apresentados o conceito e a natureza da omissão, diferenças entre as espécies dos crimes omissivos e requisitos da estrutura típica dos crimes omissivos impróprios. Ao final, após delimitados os requisitos da estrutura típica do crime omissivo, discorreu-se sobre a concatenação destes com os deveres de compliance, no sentido de limitar a atribuição de responsabilidade no caso do descumprimento dos mencionados deveres.
Title in English
Criminal liability and compliance programs
Keywords in English
Compliance
Corruption
Criminal liability for omission
Money laundering
Regulated self-regulation
Abstract in English
This thesis aims to evaluate the repercussion of breaches of the compliance duties provided in Brazilian Anti Money Laundering and Anti corruption laws which provide criminal liability for omission of the managers of limited liability companies and those responsible for compliance programs. Firstly, it was sought to make considerations about the concept, the evolution of compliance, and the incorporation of this self-regulation mechanism regulated by Economic Criminal Law, in its new preventive approach, to then deal with the positivation and the singularities of the subject in the Brazilian Legal System. Later, the effective hypothetical framework for the fulfillment of compliance duties is presented, as well as the particularities that must be observed in order to implement specific programs aimed to prevent Money Laundering and Corruption. The bibliographic review of /opinions on criminal liability for omission arising from breaches of compliance duties is also carried out. Following the line of thought and the need to establish premises in order to answer the problem, there were also presented the concept and nature of omission, differences between the types of omissive crimes and requirements of the typical structure of inappropriate crimes. In the end, after establishing the requirements of the typical structure of the omissive crime, the connection of these requirements with the compliance duties was also discussed, with a view of limiting the attribution of responsibility in cases of breaches of the mentioned duties.
 
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Release Date
2023-03-15
Publishing Date
2021-05-27
 
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