Corporate compliance advisory: the crime prevention model
Since Law 21.595, the predicate-offense catalogue covers economic, environmental, tax and market crimes, and earlier prevention models must be reviewed to cover them. A model counts for what it does in operation: the court assesses its substantive adequacy in each case.
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What the service is
Design, implementation and operation of the crime prevention model required by Law 20.393, as amended by Law 21.595, built on the company’s actual exposure to the predicate-offense catalogue. The deliverable is not a manual: it is a model approved by the board, with a prevention officer appointed and controls that leave evidence that they work.
How we work it, in four stages
Diagnosis
We map the company’s regulatory perimeter, identify its exposure to each predicate offense and compare the existing prevention model, if there is one, with what Law 20.393 and Law 21.595 require. The result is a risk matrix per offense and a prioritized list of gaps.
Design
We draft the policies, procedures and controls for the risks the diagnosis found, the reporting channel and the training plan. The board appoints the prevention officer with autonomy from management, sufficient resources and direct access to the board, and approves the model.
Implementation
We roll the model out across business units, integrate it with the controls the company already runs (internal audit, risk, legal), train the teams and document the model in operation, so the evidence exists before anyone asks for it.
Operation
Periodic review, reporting to the board, monitoring of regulatory changes and response to incidents. When a report requires it, we conduct the internal investigation under professional privilege, protecting the rights of the person investigated and preserving the chain of custody.
Independent third-party evaluation
Law 20.393 no longer contemplates certification: it contemplates periodic evaluation of the model by an independent third party (Article 4).
The evaluator must be independent from the design and the implementation of the model. For that reason we evaluate models that other teams designed, and we do not evaluate the ones we designed. The evaluation is an objective review of the model’s adequacy and effective operation, and it supports the diligence of the board and management. What the evaluation covers and how it differs from the old certification.
What the company receives
- A risk matrix per predicate offense and a prioritized list of gaps against Law 20.393 and Law 21.595.
- The documented model: policies, procedures, controls, reporting channel and training plan, with the board approval and the appointment of the prevention officer.
- A review and board-reporting calendar, so the model keeps pace with the predicate-offense catalogue and the company’s risk profile.
- When an investigation is needed, a final report with findings and recommendations usable before the Public Prosecutor or a court.
- For models designed by others, the independent evaluation report under Article 4 of Law 20.393.
The legal context is in the cluster: what corporate compliance covers in Chile, Law 20.393 and the prevention model, the Economic Crimes Law, corporate criminal liability and how a compliance diagnosis is structured.
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Corporate compliance
Prevention models, internal investigations and regulatory compliance.
Compliance diagnosis
Prioritized gaps against the obligations applicable to your business.
Independent third-party evaluation
The periodic evaluation Article 4 requires after Law 21.595.
Labor compliance
Ley Karin programs, working time and Labor Directorate readiness.
Tax compliance
Tax obligations, the anti-avoidance rule and tax governance.
Corporate criminal liability
When the company is criminally liable, which penalties it faces and how it defends itself.
Law 20.393
What Law 20.393 is, which offenses it covers and how the company is exempted.
Economic Crimes Law (21.595)
Offense catalog, penalties and their impact on corporate liability.
Ley Karin (Law 21.643)
Prevention, investigation and sanction of sexual harassment, workplace harassment and violence.
Reconstruction Law
What the approved law contains: three time-limited windows, tax cuts and new operating rules.
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