MEXICO Law and Practice Contributed by: Gilberto Miguel Valle Zulbarán, Alejandro Catalá Guerrero and Erick Gustavo Soto Ceballos, Basham, Ringe y Correa
on the individuals or companies involved in the cases previously mentioned.
• Satisfactory whistle-blowing systems both for internal reports and for reporting to authori - ties, as well as disciplinary processes with clear and specific consequences for those who act contrary to internal standards or to Mexican legislation. • Adequate systems and processes for training on ethics standards. • Human resources policies to avoid hiring people who could be a risk to the integrity of the company. These policies cannot enable discrimination based on ethnicity, nationality, gender, age, disabilities, social status, health status, religion, political opinion, sexual orien - tation, marital status or any other that com - promises human dignity or curtails human rights and liberties. • Mechanisms to ensure transparency and publication of interests (always avoiding con - flicts of interest). Additionally, it is important that the compliance programme be adapted to the requirements and culture of the company. 8.2 Compliance Guidelines and Best Practices There are no guidelines issued by and/or best practices suggested by the enforcement bodies. 8.3 Compliance Monitorships Similar to a compliance monitorship, one of the penalties for legal entities is judicial inter - vention, whereby a controller is imposed by the judicial authority within the timeframe detailed in 5.1 Penalties for Conviction . The controller will oversee the acts carried out by the administra - tion body of the legal entity.
8. Compliance Expectations 8.1 Compliance Obligations
In connection with the NCCP, the FCC provides that companies must have in place, from the out - set, an effective compliance programme which covers due control for not being held criminally liable for criminal offences or that assists in reducing any sanctions that could be imposed. Therefore, a company can be held criminally lia - ble for the lack of prevention of a bribery offence if no due control was implemented within the organisation. Unfortunately, the FCC does not provide the content of a compliance programme nor the NCCP; however, a useful guide is the Policy of Integrity, which is designed for the purpose of excluding or attenuating administrative offences related to corruption. The LGRA defines the ele - ments of a Policy of Integrity as follows. • A clear and complete organisational and procedures manual that defines the func - tions and responsibilities of each department of the company, and specifies the chains of command and leadership for each corporate structure. • A code of conduct that is duly published and made known to every person in the organisa - tion and that has systems and mechanisms for effective implementation. • Adequate and effective control, monitoring and audit systems that ensure compliance on a continuous and periodic basis throughout the organisation.
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