A responsabilidade penal do compliance officer sob a ótica brasileira

Detalhes bibliográficos
Ano de defesa: 2020
Autor(a) principal: Guimarães, César Caputo lattes
Orientador(a): Silveira, Fabiano Augusto Martins
Banca de defesa: Silveira, Fabiano Augusto Martins, Dantas, Marcelo Navarro Ribeiro, Mudrovitsch, Rodrigo de Bittencourt, Lopes, Luciano Santos
Tipo de documento: Dissertação
Tipo de acesso: Acesso aberto
Idioma: por
Instituição de defesa: Universidade Nove de Julho
Programa de Pós-Graduação: Programa de Pós-Graduação em Direito
Departamento: Direito
País: Brasil
Palavras-chave em Português:
criminal compliance
ética empresarial
responsabilidade penal
compliance officer
posição de garante
crimes omissivos impróprios
direito penal econômico
Palavras-chave em Inglês:
criminal Compliance
business ethics
criminal liability
compliance officer Guarantee’s position
omissive crimes
economic criminal law
Área do conhecimento CNPq:
CIENCIAS SOCIAIS APLICADAS::DIREITO
Link de acesso: http://bibliotecatede.uninove.br/handle/tede/2351
Resumo: The purpose of this paper is to analyze the criminal responsibility of the compliance officer, subject not well developed in the Brazilian scenario. Therefore, it was firstly analyzed the internationalization of Criminal Law, given the transcendence of territorial limits in business crimes, especially regarding money laundering. Then, the concept and scope of compliance and how integrity programs are embedded in Brazilian economic criminal law is summarized. The first topic concern the functions, base and criminal issues in general matters, getting to the concept of ‘corporative panoptic’, referring to the corporate control of the criminal matters. Subsequently, a dogmatic criminal analysis of the compliance officer is made, addressing issues, such as improper omissive criminal offence, objective imputation and guarantor’s position. In addition it will be analyzed the problems that a compliance officer has to face in its function. Finally, some concrete cases of the Brazilian and international courts are selected, relating them to the dogmatic concepts previously exposed.
id NOVE_5046674c10c1e327a2bc9ac7fbe9a21c
oai_identifier_str oai:localhost:tede/2351
network_acronym_str NOVE
network_name_str Biblioteca Digital de Teses e Dissertações da Uninove
repository_id_str
spelling Silveira, Fabiano Augusto MartinsSilveira, Fabiano Augusto MartinsDantas, Marcelo Navarro RibeiroMudrovitsch, Rodrigo de BittencourtLopes, Luciano Santoshttp://lattes.cnpq.br/6972798911924859Guimarães, César Caputo2020-11-04T22:18:45Z2020-06-16Guimarães, César Caputo. A responsabilidade penal do compliance officer sob a ótica brasileira. 2020. 111 f. Dissertação( Programa de Mestrado em Direito) - Universidade Nove de Julho, 2020.http://bibliotecatede.uninove.br/handle/tede/2351The purpose of this paper is to analyze the criminal responsibility of the compliance officer, subject not well developed in the Brazilian scenario. Therefore, it was firstly analyzed the internationalization of Criminal Law, given the transcendence of territorial limits in business crimes, especially regarding money laundering. Then, the concept and scope of compliance and how integrity programs are embedded in Brazilian economic criminal law is summarized. The first topic concern the functions, base and criminal issues in general matters, getting to the concept of ‘corporative panoptic’, referring to the corporate control of the criminal matters. Subsequently, a dogmatic criminal analysis of the compliance officer is made, addressing issues, such as improper omissive criminal offence, objective imputation and guarantor’s position. In addition it will be analyzed the problems that a compliance officer has to face in its function. Finally, some concrete cases of the Brazilian and international courts are selected, relating them to the dogmatic concepts previously exposed.O presente trabalho tem como escopo analisar a responsabilidade penal do compliance officer, tema ainda pouco explorado no cenário jurídico brasileiro. Para tanto, partiu-se de uma análise da internacionalização do Direito Penal, haja vista a transcendência dos limites territoriais nos crimes empresariais, principalmente no tocante à lavagem de dinheiro. Após, explica-se, em síntese, o conceito e abrangência do compliance e como os programas de integridade estão inseridos no Direito Penal econômico brasileiro. O primeiro tópico é relativo às funções, base e questões criminais de maneira geral, chegando ao conceito de ‘panóptico empresarial’, referente ao controle empresarial em questões criminais. Posteriormente, é feita uma análise dogmática penal acerca da responsabilidade penal do compliance officer, adentrando em questões como tipos penais omissivos impróprios, imputação objetiva e posição de garante. Além disso, são analisadas as adversidades enfrentadas pelo compliance officer no exercício de sua função. Por fim, são selecionados alguns casos concretos dos tribunais brasileiros, bem como análise de julgados internacionais, relacionando-os com os conceitos dogmáticos anteriormente expostos.Submitted by Nadir Basilio (nadirsb@uninove.br) on 2020-11-04T22:18:45Z No. of bitstreams: 1 César Caputo Guimarães.pdf: 863943 bytes, checksum: da69430c301f2f459f9a105463063e41 (MD5)Made available in DSpace on 2020-11-04T22:18:45Z (GMT). No. of bitstreams: 1 César Caputo Guimarães.pdf: 863943 bytes, checksum: da69430c301f2f459f9a105463063e41 (MD5) Previous issue date: 2020-06-16application/pdfporUniversidade Nove de JulhoPrograma de Pós-Graduação em DireitoUNINOVEBrasilDireitocriminal complianceética empresarialresponsabilidade penalcompliance officerposição de garantecrimes omissivos imprópriosdireito penal econômicocriminal Compliancebusiness ethicscriminal liabilitycompliance officer Guarantee’s positionomissive crimeseconomic criminal lawCIENCIAS SOCIAIS APLICADAS::DIREITOA responsabilidade penal do compliance officer sob a ótica brasileiraResponsabilidad penal del oficial de cumplimiento en Brasilinfo:eu-repo/semantics/publishedVersioninfo:eu-repo/semantics/masterThesis-7277407233034425144600info:eu-repo/semantics/openAccessreponame:Biblioteca Digital de Teses e Dissertações da Uninoveinstname:Universidade Nove de Julho (UNINOVE)instacron:UNINOVEORIGINALCésar Caputo Guimarães.pdfCésar Caputo Guimarães.pdfapplication/pdf863943http://localhost:8080/tede/bitstream/tede/2351/2/C%C3%A9sar+Caputo+Guimar%C3%A3es.pdfda69430c301f2f459f9a105463063e41MD52LICENSElicense.txtlicense.txttext/plain; charset=utf-82165http://localhost:8080/tede/bitstream/tede/2351/1/license.txtbd3efa91386c1718a7f26a329fdcb468MD51tede/23512021-10-06 11:05:36.073oai:localhost: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Biblioteca Digital de Teses e Dissertaçõeshttp://bibliotecatede.uninove.br/PRIhttp://bibliotecatede.uninove.br/oai/requestbibliotecatede@uninove.br||bibliotecatede@uninove.bropendoar:2021-10-06T14:05:36Biblioteca Digital de Teses e Dissertações da Uninove - Universidade Nove de Julho (UNINOVE)false
dc.title.por.fl_str_mv A responsabilidade penal do compliance officer sob a ótica brasileira
dc.title.alternative.eng.fl_str_mv Responsabilidad penal del oficial de cumplimiento en Brasil
title A responsabilidade penal do compliance officer sob a ótica brasileira
spellingShingle A responsabilidade penal do compliance officer sob a ótica brasileira
Guimarães, César Caputo
criminal compliance
ética empresarial
responsabilidade penal
compliance officer
posição de garante
crimes omissivos impróprios
direito penal econômico
criminal Compliance
business ethics
criminal liability
compliance officer Guarantee’s position
omissive crimes
economic criminal law
CIENCIAS SOCIAIS APLICADAS::DIREITO
title_short A responsabilidade penal do compliance officer sob a ótica brasileira
title_full A responsabilidade penal do compliance officer sob a ótica brasileira
title_fullStr A responsabilidade penal do compliance officer sob a ótica brasileira
title_full_unstemmed A responsabilidade penal do compliance officer sob a ótica brasileira
title_sort A responsabilidade penal do compliance officer sob a ótica brasileira
author Guimarães, César Caputo
author_facet Guimarães, César Caputo
author_role author
dc.contributor.advisor1.fl_str_mv Silveira, Fabiano Augusto Martins
dc.contributor.referee1.fl_str_mv Silveira, Fabiano Augusto Martins
dc.contributor.referee2.fl_str_mv Dantas, Marcelo Navarro Ribeiro
dc.contributor.referee3.fl_str_mv Mudrovitsch, Rodrigo de Bittencourt
dc.contributor.referee4.fl_str_mv Lopes, Luciano Santos
dc.contributor.authorLattes.fl_str_mv http://lattes.cnpq.br/6972798911924859
dc.contributor.author.fl_str_mv Guimarães, César Caputo
contributor_str_mv Silveira, Fabiano Augusto Martins
Silveira, Fabiano Augusto Martins
Dantas, Marcelo Navarro Ribeiro
Mudrovitsch, Rodrigo de Bittencourt
Lopes, Luciano Santos
dc.subject.por.fl_str_mv criminal compliance
ética empresarial
responsabilidade penal
compliance officer
posição de garante
crimes omissivos impróprios
direito penal econômico
topic criminal compliance
ética empresarial
responsabilidade penal
compliance officer
posição de garante
crimes omissivos impróprios
direito penal econômico
criminal Compliance
business ethics
criminal liability
compliance officer Guarantee’s position
omissive crimes
economic criminal law
CIENCIAS SOCIAIS APLICADAS::DIREITO
dc.subject.eng.fl_str_mv criminal Compliance
business ethics
criminal liability
compliance officer Guarantee’s position
omissive crimes
economic criminal law
dc.subject.cnpq.fl_str_mv CIENCIAS SOCIAIS APLICADAS::DIREITO
description The purpose of this paper is to analyze the criminal responsibility of the compliance officer, subject not well developed in the Brazilian scenario. Therefore, it was firstly analyzed the internationalization of Criminal Law, given the transcendence of territorial limits in business crimes, especially regarding money laundering. Then, the concept and scope of compliance and how integrity programs are embedded in Brazilian economic criminal law is summarized. The first topic concern the functions, base and criminal issues in general matters, getting to the concept of ‘corporative panoptic’, referring to the corporate control of the criminal matters. Subsequently, a dogmatic criminal analysis of the compliance officer is made, addressing issues, such as improper omissive criminal offence, objective imputation and guarantor’s position. In addition it will be analyzed the problems that a compliance officer has to face in its function. Finally, some concrete cases of the Brazilian and international courts are selected, relating them to the dogmatic concepts previously exposed.
publishDate 2020
dc.date.accessioned.fl_str_mv 2020-11-04T22:18:45Z
dc.date.issued.fl_str_mv 2020-06-16
dc.type.status.fl_str_mv info:eu-repo/semantics/publishedVersion
dc.type.driver.fl_str_mv info:eu-repo/semantics/masterThesis
format masterThesis
status_str publishedVersion
dc.identifier.citation.fl_str_mv Guimarães, César Caputo. A responsabilidade penal do compliance officer sob a ótica brasileira. 2020. 111 f. Dissertação( Programa de Mestrado em Direito) - Universidade Nove de Julho, 2020.
dc.identifier.uri.fl_str_mv http://bibliotecatede.uninove.br/handle/tede/2351
identifier_str_mv Guimarães, César Caputo. A responsabilidade penal do compliance officer sob a ótica brasileira. 2020. 111 f. Dissertação( Programa de Mestrado em Direito) - Universidade Nove de Julho, 2020.
url http://bibliotecatede.uninove.br/handle/tede/2351
dc.language.iso.fl_str_mv por
language por
dc.relation.cnpq.fl_str_mv -7277407233034425144
dc.relation.confidence.fl_str_mv 600
dc.rights.driver.fl_str_mv info:eu-repo/semantics/openAccess
eu_rights_str_mv openAccess
dc.format.none.fl_str_mv application/pdf
dc.publisher.none.fl_str_mv Universidade Nove de Julho
dc.publisher.program.fl_str_mv Programa de Pós-Graduação em Direito
dc.publisher.initials.fl_str_mv UNINOVE
dc.publisher.country.fl_str_mv Brasil
dc.publisher.department.fl_str_mv Direito
publisher.none.fl_str_mv Universidade Nove de Julho
dc.source.none.fl_str_mv reponame:Biblioteca Digital de Teses e Dissertações da Uninove
instname:Universidade Nove de Julho (UNINOVE)
instacron:UNINOVE
instname_str Universidade Nove de Julho (UNINOVE)
instacron_str UNINOVE
institution UNINOVE
reponame_str Biblioteca Digital de Teses e Dissertações da Uninove
collection Biblioteca Digital de Teses e Dissertações da Uninove
bitstream.url.fl_str_mv http://localhost:8080/tede/bitstream/tede/2351/2/C%C3%A9sar+Caputo+Guimar%C3%A3es.pdf
http://localhost:8080/tede/bitstream/tede/2351/1/license.txt
bitstream.checksum.fl_str_mv da69430c301f2f459f9a105463063e41
bd3efa91386c1718a7f26a329fdcb468
bitstream.checksumAlgorithm.fl_str_mv MD5
MD5
repository.name.fl_str_mv Biblioteca Digital de Teses e Dissertações da Uninove - Universidade Nove de Julho (UNINOVE)
repository.mail.fl_str_mv bibliotecatede@uninove.br||bibliotecatede@uninove.br
_version_ 1797250760885403648

Registros relacionados