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  • 1.

    What legal role does corporate risk and compliance management play in your jurisdiction?

  • 2.

    Which laws and regulations specifically address corporate risk and compliance management?

  • 3.

    Which are the primary types of undertakings targeted by the rules related to risk and compliance management?

  • 4.

    Identify the principal regulatory and enforcement bodies with responsibility for corporate compliance. What are their main powers?

  • 5.

    Are ‘risk management’ and ‘compliance management’ defined by laws and regulations?

  • 6.

    Are risk and compliance management processes set out in laws and regulations?

  • 7.

    Give details of the main standards and guidelines regarding risk and compliance management processes.

  • 8.

    Are undertakings domiciled or operating in your jurisdiction subject to risk and compliance governance obligations?

  • 9.

    What are the key risk and compliance management obligations of undertakings?

  • 10.

    What are the risk and compliance management obligations of members of governing bodies and senior management of undertakings?

  • 11.

    Do undertakings face civil liability for risk and compliance management deficiencies?

  • 12.

    Do undertakings face administrative or regulatory consequences for risk and compliance management deficiencies?

  • 13.

    Do undertakings face criminal liability for risk and compliance management deficiencies?

  • 14.

    Do members of governing bodies and senior management face civil liability for breach of risk and compliance management obligations?

  • 15.

    Do members of governing bodies and senior management face administrative or regulatory consequences for breach of risk and compliance management obligations?

  • 16.

    Do members of governing bodies and senior management face criminal liability for breach of risk and compliance management obligations?

  • 17.

    Is there a corporate compliance defence? What are the requirements?

  • 18.

    Discuss the most recent leading cases regarding corporate risk and compliance management failures?

  • 19.

    Are there risk and compliance management obligations for government, government agencies and state-owned enterprises?

  • 20.

    What are the key statutory and regulatory differences between public sector and private sector risk and compliance management obligations?

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Garrigues is an international legal and tax services firm that provides business law advice in the main economic scenarios of the global marketplace. Since its creation in 1941, the firm has been noted for its international outlook and innovative nature.

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