Marián Lora Márquez. Consultora Compliance.
El Tribunal Supremo en su Sentencia 316/2018, de 28 de junio, se pronunció sobre la importancia de implementar programas de cumplimiento normativo en el seno de la empresa con el fin de prevenir la comisión de delitos y sus respectivas condenas.
En dicha Sentencia, se condena al exadministrador de una empresa por apropiarse de dinero en efectivo de la caja y realizar una serie de transferencias a su cuenta personal de forma injustificada.
Si bien los delitos ante los que nos encontramos, de apropiación indebida y administración desleal, no derivan responsabilidad penal para la persona jurídica por no estar previstos como tales en el listado numerus clausus de delitos imputables a las mismas, sí repercuten de forma negativa en la empresa, pudiéndole llegar a causar un grave perjuicio económico. Además, como en este caso la empresa lejos de resultar beneficiada es la propia perjudicada, ello en ningún caso conllevaría responsabilidad penal.
Sin embargo, si nos encontráramos ante delitos cometidos por empleados, representantes o gestores de la empresa frente a terceros, y no frente al patrimonio de la misma, sí surgiría una responsabilidad civil para la persona jurídica, la cual podría estar cubierta por un seguro. Ante estas circunstancias, el Tribunal Supremo advertía en su sentencia que las empresas aseguradoras pueden exigir la constitución de programas de cumplimiento normativo para contratar pólizas de responsabilidad civil.
Recientemente, Vicente Magro, magistrado del Tribunal Supremo y ponente de la Sentencia comentada, reitera a las aseguradoras que exijan a las empresas la implementación previa de programas de cumplimiento normativo para contratar una póliza de responsabilidad civil, advirtiéndoles que de no hacerlo, aumenta el riesgo del deber de indemnizar por un siniestro acaecido en el seno de la empresa asegurada. En otras palabras, la aseguradora respondería directamente cubriendo las responsabilidades civiles que deriven de la comisión del delito, sin perjuicio de poder dirigirse contra la empresa asegurada si no tuviere programa de prevención de riesgos penales.
Por tanto, de existir en la empresa una cultura de cumplimiento normativo junto a la efectiva implantación de un Compliance program, hechos como los aquí mencionados no podrían cometerse con tanta facilidad, ya que la empresa dispondría de controles que obstaculizarían la comisión de los mismos.
Es más, a la vista de las recomendaciones hechas por el Tribunal Supremo a las entidades aseguradoras, las empresas harían bien en adelantarse a los futuros requisitos que exigieran aquellas para contratar una póliza de responsabilidad civil.
En conclusión, el Compliance program no es un instrumento cuyo único objeto sea evitar la responsabilidad penal de la persona jurídica sino, como acabamos de ver, aporta numerosos beneficios adicionales a la empresa.
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