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compliance
as a service

Why Does Compliance Matter for Business?

  • To ensure that the company, its employees, and partners adhere to the ethical and integrity standards defined by legislation and internal policies;
  • To prevent, detect and remedy irregularities;
  • Provide training to all employees, addressing topics such as moral harassment, sexual harassment, and other forms of violence in the workplace (Law No. 14.457/2022);
  • Establish secure and confidential channels for employees to report cases of harassment (Law No. 14.457/2022).
  • Generate operational efficiency through standardized processes and loss reduction;
  • To increase reputation and credibility in the market;
  • Reduce the risk of legal sanctions and fines;

Risks of Non-Compliance

  • Fines: vary according to the severity of the violation and the size of the company, and can reach up to 20% of the annual gross revenue (Anti-Corruption Law 12.846/2013); citations from the Ministry of Labor and the Public Labor Prosecutor’s Office (MPT) during labor inspections regarding compliance with Law 14.457/2022;
  • Sanctions: suspension of activities, prohibition from contracting with the public sector, and loss of tax incentives (Money Laundering Law 9.613/1998 and Competition Defense Law 12.529/2011);
  • Accountability: third parties acting on behalf of a company must undergo prior checks (background checks) for hiring and oversight (Decree 11.129/2022); otherwise, the company may be held responsible for their acts of corruption.
  • Civil and Criminal Liability: the company’s responsible executives may be held civilly and criminally liable, which could even result in imprisonment.

Methodology

  • Risk Assessment: an audit to identify risks and evaluate current practices.
  • Policies and Procedures: drafting or reviewing internal policies and the Code of Ethics and Conduct.
  • Whistleblower Channel: assistance in managing the tool.
  • Investigation: investigation of complaints, guidance to the Ethics Committee, and recommendation of disciplinary measures.
  • Training and Awareness: workshops and lectures on compliance policies.
  • Monitoring and Review: periodic reports and analyses for continuous improvement.

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