La responsabilidad penal de las personas jurídicas y la aplicación del compliance en la Legislación Peruana

• Autores: José Alberto Guerrero Saavedra
• Directores de la Tesis: Rafael Hernández Canelo (dir. tes.)
• Lectura: En la Universidad Nacional Pedro Ruiz Gallo ( Perú ) en 2022
• Idioma: español
• Número de páginas: 175
• Enlaces
  • Tesis en acceso abierto en: repositorio.unprg.edu.pe
• Resumen
  • español

    Las personas jurídicas y especialmente, las empresas, a través de los años, han venido desarrollándose y alcanzando un papel decisivo en diversos sectores de la comunidad, especialmente en la actividad económica, financiera, política y social, a nivel nacional e internacional; por lo que representan un factor positivo en el desarrollo de los países, pero al mismo tiempo se han convertido en fuentes generadoras de diversos riesgos, no solo para las personas individuales, sino para la misma sociedad en su conjunto, debido a la cada vez más intensa actividad, complejidad o estructura de éstas y de los recursos que poseen. Estas actividades que desarrollan las empresas, generan diversos riesgos, poniendo en peligro o lesionando bienes jurídicos muy importantes, tanto individuales, como colectivos, ante lo cual no ha sido suficiente con la aplicación de medidas sancionadoras de carácter administrativo, societario, o civil, sino que cada vez se hace más necesario la participación del derecho penal, para sancionar los delitos que se cometen desde y a través de las personas jurídicas. Así mismo, a través del tiempo se han venido implementando en otros sistemas jurídicos como el anglosajón (common law), no solamente la imputación de RPPJ, sino también mecanismos de previsión y control de la organización y de las actividades empresariales.

  • English

    Legal entities and especially companies, over the years, have been developing and reaching a decisive role in various sectors of the community, especially in economic, financial, political and social activity, nationally and internationally; therefore they represent a positive factor in the development of the countries, but at the same time they have become sources of various risks, not only for individuals, but for the same society as a whole, due to the increasingly intense activity, complexity or structure of these and the resources they possess.

    These activities carried out by companies generate various risks, endangering or injuring very important legal assets, both individual and collective, to which the application of sanctioning measures of an administrative, corporate, or civil nature has not been sufficient, but that the participation of criminal law is increasingly necessary to sanction crimes that are committed from and through legal entities.

    Likewise, over time they have been implemented in other legal systems such as the Anglo-Saxon (common law), not only the imputation of criminal liability to legal persons, but also mechanisms of foresight and control of the organization and business activities.

    These mechanisms have been applied at the initiative of the same company (self-control tools) or by state entities. Thus, business managers have set regulations on good and proper corporate functioning, through good business practices (good corporate governance).

    However, the complexity of the business system and the ineffectiveness of the state apparatus (State) make it unlikely that the latter can encompass the control of each one of the companies that carry out risky activities in a country; on the other hand, it does not seem convenient to leave the entire prerogative or faculty of self-regulation of their own risks in the hands of the entrepreneurs, since their nature is basically oriented to increase their scope of economic power; therefore, between these extremes, there is an intermediate possibility of regulated self-regulation; that is to say, leaving the companies to execute and implement self-control mechanisms on their own initiative, but at the same time it is left to the State to set the general criteria or guidelines, to validate this self-control, through the regulatory compliance is what is called Compliance.

    The intervention of the State is reflected in the legal obligation that can be imposed on companies, so that they are provided with an adequate Compliance system, according to their structure, complexity or type of activities they carry out. This intervention becomes more intense to the extent that there is a greater risk of committing crimes through legal entities (money laundering, corruption, environmental crimes, against public health, etc.).

    Economic criminal law raises the need to establish a specific compliance system to better face the existence of risks and the commission of criminal offenses, through the socalled Criminal Compliance; which in turn brings some of the most important benefits of its implementation, translated into mitigation or exemption from criminal liability to legal entities that implement suitable compliance in the prevention of criminal risks.

    In our country, there is no legal obligation to establish within companies, compliance systems, aimed at the control and prevention of crimes; The criminal liability of legal entities has not even been established yet; therefore, it is necessary to verify this possibility and why not, establish the legal obligation for companies to implement compliance systems; this work is about that possibility