Practice Areas

We develop, diagnose and implement prevention models, compliance and risk matrices in the context of legal and administrative regulations on money laundering, financing of terrorism and proliferation of weapons of mass destruction.

As a result of our constant analysis of pronouncements, rulings and sanctions of the regulator, as well as our support in auditing processes, we offer our clients our experience and critical judgment in order to implement or test prevention models in matters within the competence of the Financial Analysis Unit.

DESIGN

Through a review of the client, focused on its products and services, internal services and interested third parties, we develop consumer compliance plans, in accordance with Law No. 19,496 on consumer rights.

CERTIFICATION OF COMPLIANCE MODELS

In accordance with Law N° 19.496 on consumer rights protection, we can certify compliance plans in this area, according to the guidelines of the National Consumer Service.

Corporate Integrity Model

It is a model that allows us to unify the compliance programs a company may have in different areas.
A company cannot say it has a culture of ethical compliance or is respectful of the Law because it promotes internally crime prevention, if it doesn’t care about sustainability, organizational culture, and the observance of those matters that would affect performance and work environment, or the relationship with interested third parties.
For this, it’s of the essence that the Board of Directors and the main executives assume the leadership, and supervisory roles and responsibilities.
What do these duties really consist of? Well, they are about exercising control and order in the way we carry out our task’s day by day, which should be of particular concern to executives.

Training, Formation and coaching

We have extensive experience training workers and senior management in various compliance matters, through keynote speeches, course preparation and evaluations.
Soft skills and good treatment are increasingly valued by workers, Directors and third parties, so their development is essential to ensure a good working environment. Hand in hand with expert psychology, we advise executives to improve leadership and autonomy.

IMPLEMENTATION OF PREVENTION MODELS

We advise legal entities on the design and implementation of effective compliance programs, prepared on the basis of the activities they carry out – Including the detection, treatment and mitigation of crime risks (especially those that could result in the attribution of Corporate Criminal Responsability, in accordance with Law 20,393 and 19,913 on the Financial Analysis Department), bribery, financial crimes, antitrust crimes, tax crimes, consumer violations, human rights, data protection, information security, infringement in labor related matters and environmental risk.

AUDIT

Our experience in complex strategic litigation allows us to identify new risks and prevention mechanisms in light of the illicit acts that a company may suffer. For this, we audit processes and internal organization, detecting gaps and formulating proposals for correction and mitigation. The idea of this process is to generate suitable evidence of continuous improvement.

DUE DILIGENCE

We advise on Due Diligence processes for the evaluation of the compliance and anti-corruption systems of different companies, reviewing their activities, programs, policies and controls, in order to detect and mitigate the risks of legal transmission of corporate and/or administrative criminal liability, and that may arise from events prior to a transaction.

CERTIFICATION

In accordance with Law 20393, on Criminal Liability of Legal Entities, and the General Standard No. 302 of the CMF, HD Systems (a company related to HD Compliance) is authorized to certify crime prevention models.

Our methodology is not a mere checking, on the contrary, it seeks to attest to the real and effective compliance of control measures, which includes visits, interviews, random sampling and control tests, providing objective evidence of the application of the model in the organization.

We lead internal investigations that involve a certain degree of complexity, where the parties involved may be executives in positions of high responsibility within the organization. Thus, we participate in internal investigations motivated by allegations of sexual harassment, labor harassment, fraud and violation of secrets, among other matters.

Our experience ensures a substantiation in accordance with the rules of due process, respecting confidentiality and independence, as well as the rules of the Labor Code and recent interpretations of the supervisory authority and the courts of justice.

We have experience in dealing with defendants located in countries where subsidiaries or related companies of Chilean companies have their operations, which allows us to deal with them in a way that respects their idiosyncrasy and cultural environment, facilitating collaboration with the investigative process.

We are aware that second chances, for those who are willing to recognize their mistakes and commit to change, are part of the solution, so we favor (as long as the circumstances warrant it) the application of what today is called “restorative justice”, which seeks to restore the work climate or environment that affects the organization.

For this purpose, we use tools such as coaching and mediation procedures in alliance with experts in such matters.