Marián Lora Márquez. Consultora Compliance.
Gran parte de las personas que ejercen la función de Compliance Officer son abogados, los cuales gozan de secreto profesional y este, en virtud del artículo 32 del Estatuto General de la Abogacía Española, se extiende a cualquier modalidad de ejercicio de la abogacía, entre las que se incluye la función de cumplimiento.
Sin embargo, el problema surge cuando el Compliance Officer no ostenta la condición de abogado, siendo el secreto profesional una de las cuestiones más trascendentales que se encuentran, actualmente, pendientes de desarrollo.
La implementación del Sistema de Compliance Penal en la empresa requiere llevar a cabo una trazabilidad de las acciones realizada por la función de Compliance, lo cual genera numerosa documentación. Llegado el inicio de un procedimiento judicial, la persona jurídica diseñará su defensa y podrá decidir aportar o no dicha documentación, puesto que no está obligada a ello. No obstante, el Código Penal incentiva a las empresas a colaborar en la investigación aportando pruebas para esclarecer las responsabilidades penales dimanantes de los hechos, considerando dicha colaboración como una atenuante de su responsabilidad penal.
Por tanto, iniciado un procedimiento judicial contra la persona jurídica, esta no tendría la obligación de aportar la documentación relativa a su Sistema de Compliance Penal. Sin embargo, esto no tendría ningún sentido si se llama a testificar al Compliance Officer por considerar que este no tiene el derecho y deber de guardar secreto profesional. Es decir, de nada serviría ese derecho de la empresa si se obliga al Compliance Officer a revelar el contenido de dicha documentación mediante su testimonio.
La World Compliance Association (WCA) ha redactado un borrador de estatuto sobre la figura del Compliance Officer de la cual destacamos, a los efectos del presente artículo, lo relativo al secreto profesional del oficial de cumplimiento. En dicha propuesta, la WCA establece que, en el ejercicio de sus funciones, los oficiales de cumplimiento se hallan sujetos a secreto profesional, estando dispensados de declarar como testigo en todo lo relacionado con el desarrollo de sus funciones y sobre los hechos atribuidos a la persona jurídica o a las personas por las que esta deba responder penalmente.
No debemos olvidar que, en un proceso penal, las personas jurídicas gozan de los mismos derechos y garantías que las personas físicas y, por ello, deben regir los principios irrenunciables de nuestro sistema de enjuiciamiento penal.
En conclusión, aunque no dispongamos actualmente de una regulación sobre esta cuestión, no debemos olvidar que el Compliance Officer no es un testigo, sino una persona de confianza designada por el órgano de administración de la empresa para llevar a cabo la supervisión y control de su sistema de prevención de riesgos penales por lo que, indirectamente, el empresario le está confiando una posible defensa ante los Tribunales de Justicia. Por ello, no tendría ningún sentido que el Compliance Officer no gozara del derecho y deber de guardar secreto profesional en todo lo relacionado con el desarrollo de sus funciones y sobre los hechos atribuidos a la persona jurídica o a las personas físicas por las que deba responder penalmente.
Cookie | Duración | Descripción |
---|---|---|
__stidv | 1 year | This cookie is used by ShareThis. This cookie is used for sharing the content from the website to social networks. |
lang | This cookie is used to store the language preferences of a user to serve up content in that stored language the next time user visit the website. | |
mc_session_ids[default] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
mc_session_ids[multi][0] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
mc_session_ids[multi][1] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
mc_session_ids[multi][2] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
mc_session_ids[multi][3] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
mc_session_ids[multi][4] | 5 minutes | This cookie is set by the provider ReCaptcha. This is used by the Captcha plugin for the website forms. |
Cookie | Duración | Descripción |
---|---|---|
_gat | 1 minute | This cookies is installed by Google Universal Analytics to throttle the request rate to limit the colllection of data on high traffic sites. |
YSC | session | This cookies is set by Youtube and is used to track the views of embedded videos. |
Cookie | Duración | Descripción |
---|---|---|
__stid | 1 year | The cookie is set by ShareThis. The cookie is used for site analytics to determine the pages visited, the amount of time spent, etc. |
_ga | 2 years | This cookie is installed by Google Analytics. The cookie is used to calculate visitor, session, campaign data and keep track of site usage for the site's analytics report. The cookies store information anonymously and assign a randomly generated number to identify unique visitors. |
_gid | 1 day | This cookie is installed by Google Analytics. The cookie is used to store information of how visitors use a website and helps in creating an analytics report of how the wbsite is doing. The data collected including the number visitors, the source where they have come from, and the pages viisted in an anonymous form. |
pxcelPage_c010 | 7 days | The domain of this cookie is owned by Sharethis. This is a analytical cookie used to provide unique identifier to the computer for traffic analysis to ShareThis. It helps in enabling sharing function on the website. |
Cookie | Duración | Descripción |
---|---|---|
_cc_aud | 8 months 26 days | The cookie is set by crwdcntrl.net. The purpose of the cookie is to collect statistical information in an anonymous form about the visitors of the website. The data collected include number of visits, average time spent on the website, and the what pages have been loaded. These data are then used to segment audiences based on the geographical location, demographic, and user interest provide relevant content and for advertisers for targeted advertising. |
_cc_cc | 8 months 26 days | The cookie is set by crwdcntrl.net. The purpose of the cookie is to collect statistical information in an anonymous form about the visitors of the website. The data collected include number of visits, average time spent on the website, and the what pages have been loaded. These data are then used to segment audiences based on the geographical location, demographic, and user interest provide relevant content and for advertisers for targeted advertising. |
_cc_dc | 8 months 26 days | The cookie is set by crwdcntrl.net. The purpose of the cookie is to collect statistical information in an anonymous form about the visitors of the website. The data collected include number of visits, average time spent on the website, and the what pages have been loaded. These data are then used to segment audiences based on the geographical location, demographic, and user interest provide relevant content and for advertisers for targeted advertising. |
_cc_id | 8 months 26 days | The cookie is set by crwdcntrl.net. The purpose of the cookie is to collect statistical information in an anonymous form about the visitors of the website. The data collected include number of visits, average time spent on the website, and the what pages have been loaded. These data are then used to segment audiences based on the geographical location, demographic, and user interest provide relevant content and for advertisers for targeted advertising. |
EE | 4 months | This cookie is set by exelator.com. The cookies is used to store information about users' visit to the website. The data includes the number of visits, average time spent on the website, and the pages that have been loaded. This information is used to provide the users customized and targeted ads. |
IDE | 1 year 24 days | Used by Google DoubleClick and stores information about how the user uses the website and any other advertisement before visiting the website. This is used to present users with ads that are relevant to them according to the user profile. |
pi | 1 year | This is a targeting cookie, which is used for advertising.This cookie show the relevant adverts based on the visitors profile created by the cookie. |
pxrc | 2 months | The purpose of the cookie is to identify a visitor to serve relevant advertisement. |
rlas3 | 1 year | The cookie is set by rlcdn.com. The cookie is used to serve relevant ads to the visitor as well as limit the time the visitor sees an and also measure the effectiveness of the campaign. |
test_cookie | 15 minutes | This cookie is set by doubleclick.net. The purpose of the cookie is to determine if the user's browser supports cookies. |
ud | 4 months | This cookie is set by exelator.com. The cookies is used to store information about users' visit to the website. The data includes the number of visits, average time spent on the website, and the pages that have been loaded. This information is used to provide the users customized and targeted ads. |
uuid2 | 3 months | This cookies is set by AppNexus. The cookies stores information that helps in distinguishing between devices and browsers. This information us used to select advertisements served by the platform and assess the performance of the advertisement and attribute payment for those advertisements. |
VISITOR_INFO1_LIVE | 5 months 27 days | This cookie is set by Youtube. Used to track the information of the embedded YouTube videos on a website. |
Cookie | Duración | Descripción |
---|---|---|
collect_chat_launcher_load | 1 month | No description |
collect_chat_page_load | 1 month | No description |
CONSENT | 16 years 10 months 10 days 13 hours 14 minutes | No description |
cookielawinfo-checkbox-functional | 1 year | The cookie is set by GDPR cookie consent to record the user consent for the cookies in the category "Functional". |
cookielawinfo-checkbox-others | 1 year | No description |
fpestid | 1 year | No description |
st_samesite | session | No description |
zc | No description |