Risk & Compliance

We offer a new approach to managing compliance risks at our clients, aimed at preventing, detecting and responding to the legal challenges they face in an ordered and systematic way. We use a methodology designed in accordance with recognized international standards, supported by a technology solution, CORE, which simplifies the work and reduces the time necessary to manage compliance.

Some of our credentials

Compliance management

Support for supervisory and government bodies in compliance

Risk and Compliance

Support for supervisory and government bodies in compliance

Client:

MULTIPLE CLIENTS AND SECTORS

Period:

2019

Location:

Spain

Activities performed:

General support for monitoring, updating and improving compliance models.
Update of risk maps and adaptation of procedures and policies.
Coordination of work teams by specialties or activities.
Compliance Reports.
Extension and adaptation to subsidiary and investee companies.

Contact persons:

Roberto García Polo
Laura Santiago
Compliance management

Adoption of a local compliance model based on the GM Group model

Risk and Compliance

Adoption of a local compliance model based on the GM Group model

Client:

GM FINANCIAL

Period:

2019

Location:

Perú

Activities performed:

Analysis of the activity carried out directly in Peru and indirectly through other Group companies located in third countries (Mexico, Colombia).

Analysis of the compliance mechanisms established at the Group level.

Analysis of applicable Peruvian regulations (Criminal compliance).

Realization of a map of risks (inherent and residual) and definition of the preventive model.

Contact persons:

Roberto García Polo
Criminal risk management systems

Assistance in the development of a model of relationship of BANKIA with its subsidiaries in matters of criminal risk management.

Risk and Compliance

Assistance in the development of a model of relationship of BANKIA with its subsidiaries in matters of criminal risk management.

Client:

BANKIA

Period:

2018

Location:

Spain

Activities performed:

Aim: design a relationship model of BANKIA with its subsidiaries in matters of criminal risk management.

The main tasks were the following:

  • Propose a system for classifying the investees and indetify due diligence measures to be applied in each of them.
  • Protocol to be followed before (i) new investee companies, (ii) increases in participations and (iii) divestments.
  • Protocol to be followed for the future incorporation of companies.

Contact persons:

Laura Santiago
Roberto García Polo
Compliance management systems

Risk analysis and compliance management programs

Risk and Compliance

Risk analysis and compliance management programs

Client:

MULTIPLE CLIENTS AND SECTORS

Period:

2010 to date

Location:

Spain and LATAM

Activities performed:

Aim: design and implementation of an effective compliance management system in our clients, all of the above with a multidisciplinary team of expert criminal lawyers from Garrigues and consultants from G-advisory. The main tasks included:

  • Knowledge of the organization and preparation of a preliminary risk map.
  • Training on compliance matters and preparation of the definitive risk map.
  • Installation of and training on the compliance management tool (CORE).
  • Preparation of the management system and its constituent documents.
  • Support for the implementation of the compliance risk management systems.

Contact persons:

Roberto García Polo
Laura Santiago
Compliance

Design and implementation of the General Regulatory Compliance System at AENA.

Risk and Compliance

Design and implementation of the General Regulatory Compliance System at AENA

Client:

AENA

Period:

2017-2020

Location:

Spain

Activities performed:

Aim: to design and implement a General Regulatory Compliance System at AENA, review the functioning of the Corporate Compliance Model, provide the entire organization with the necessary training and raise awareness, all with the participation of a multidisciplinary team with extensive experience in this area made up of professionals from the Garrigues Group. The main tasks included:

  • Review of the general regulatory framework, corporate policies and code of conduct of Aena’s corporate governance system and preparation of the necessary documents.
  • Analysis of the regulatory compliance risks and existing controls associated with them.
  • Additional necessary controls, supervision and reporting.
  • Training and communication of the System.

Contact persons:

Laura Santiago
CORE Tool

Garrigues and G-advisory technology solution for compliance management.

Risk and Compliance

Garrigues and G-advisory technology solution for compliance management

Client:

Multiple clients

Period:

2016 to date

Location:

Spain

Activities performed:

CORE (Control del Riesgo Empresarial -corporate risk monitoring)- is a software tool for risk and compliance management that simplifies and reduces the work needed, both during the design of the management system and in the later stages of its life cycle. CORE helps:

  1. Integrate the management of all types of risks and monitoring procedures (legal, environmental, operational, regarding the supply chain, etc.) in a single platform.
  2. Identify the persons responsible for each type of risk, monitoring, country, location, business unit, etc.
  3. Provide guidance in the risk identification and analysis process and standardize assessment methods through the use of specific questionnaires tailored to each type of risk.
  4. Monitor the actions established in the management system, assigning a status, person responsible and timescale for each of them, with the possibility of creating delegated actions and personalized alerts.
  5. Simplify document access and management for the documents generated in the system, by associating the policies and procedures, and the templates or records arising in connection with them, with the risks, monitoring procedures and actions.
  6. Simplify communications through automatic notification of the assignment of responsibilities or proximity of deadlines, as well as management of manual email distribution lists.
  7. Prepare reports from predesigned internal reporting templates and export information to Excel spreadsheets in a structured way, for the preparation of specific reports (statistics, indicators, etc.).

Contact persons:

Roberto García Polo
Laura Santiago