COMPLIANCE OFFICER: AN ANALYSIS ON ITS PERFORMANCE IN THE UNITED STATES OF AMERICA

Authors

  • José Alberto Monteiro Martins Advogado. Doutorando em Direito Empresarial e Cidadania pelo Centro Universitário Curitiba
  • Viviane Coêlho de Séllos Knoerr Centro Universitário Curitiba/UNICURITIBA
  • Augustus Bonner Cochran III Agnes Scott College, em Atlanta, Geórgia, EUA

DOI:

https://doi.org/10.5935/2317-2622/direitomackenzie.v15n214786

Keywords:

Compliance officer; atribuição; conflito de interesses

Abstract

The focus of this study is to investigate the history, development and
professional framework of the function of the compliance officer discussed
and used in the United States. The methodology used in this research is deductive,
through research on doctrine, journals and legislation of the United States.
It was verified that, the function of a compliance officer is not yet consolidated
in the legislative environment of the United States and also does not present
a general framework, except in the area of investments in securities. The study
offers as a contribution the dissemination of debates and conclusions already
held on the subject in the United States, as a pioneer State in the institution of
compliance officer activities.

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Published

2021-08-30

Issue

Vol. 15 No. 2 (2021): Revista Direito Mackenzie

Section

Papers

License

Copyright (c) 2021 José Alberto Monteiro Martins, Viviane Coêlho de Séllos Knoerr, Augustus Bonner Cochran III

Creative Commons License

This work is licensed under a Creative Commons Attribution 4.0 International License.

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