PORTUGAL Law and Practice Contributed by: Pedro Duro, Mariana Proença Lobo and Joana Avelino Gomes, CS’Associados
8. Compliance Expectations 8.1 Compliance Obligations
8.3 Compliance Monitorships According to Article 4 of the Portuguese Cor - ruption Prevention Framework, compliance with such regime is monitored by the National Anti- Corruption Mechanism. The National Anti-Cor - ruption Mechanism can verify if the legal entities are behaving in accordance with the Portuguese Corruption Prevention Framework and impose fines in the event of non-compliance with the obligations resulting therefrom. In addition, the adoption of a compliance pro - gramme may be imposed under Article 9 of Law No 36/94. The implementation and effectiveness of com - pliance programmes is also considered under Article 90-A, paragraph 4, of the Criminal Code, in the determination of the sanction applicable to the legal entity in the context of a criminal trial. If the entities covered are in a group relationship, a single compliance officer may be appointed. According to the Corruption Perception Index published by Transparency International in Janu - ary 2024, with reference to 2023, Portugal is one of the countries in Europe where regulation on integrity in politics is lacking. According to Trans - parency International, Portugal should strength - en or create rules on conflicts of interest, ethical standards and transparency in the exercise of public functions and lobbying activities. Accord - ing to the OECD Anti-Corruption and Integrity Outlook in 2024, Portugal needs to improve in three main areas: 9. Assessment 9.1 Assessment of the Applicable Enforced Legislation
According to Article 5 of the Portuguese Corrup - tion Prevention Framework, companies based in – or with branches in – Portugal with 50 or more employees must adopt a compliance program that includes the following: • a plan to prevent risks related to corruption and related offences; • a code of conduct; • a training programme; • a whistle-blowing channel; and • a compliance officer. Failure to adopt and implement a compliance programme with the requirements foreseen in the Portuguese Corruption Prevention Frame - work may constitute an administrative offence, punishable by a fine of between EUR2,000.00 and EUR44,891.81 and ancillary sanction, namely the publication of the decision. Failure to create a whistle-blowing channel may constitute an administrative offence, punishable by a fine of between EUR1,000 to EUR125,000 and ancillary sanction. 8.2 Compliance Guidelines and Best Practices The National Anti-Corruption Mechanism issued a guide in 2023 setting out the minimum require - ments for policies (the Code of Conduct and Risk Prevention Plan for Corruption and Related Offences), a whistle-blowing channel and a train - ing programme, which should be considered by legal entities when implementing the compliance programme referred to in 8.1 Compliance Obli- gations .
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