Aller au contenu principal

From the magazine SZW-RSDA 2/2021 | p. 109-120 The following page is 109

Le compliance officer face au risque pénal découlant du dispositif anti-blanchiment

In the financial sector, the function of compliance officer is closely linked to the fight against money laun­dering, which is one of the main risks for the Swiss financial centre. The profession has important responsibilities in this field and breaches of its obligations can lead to (administrative) criminal sanctions, in particular for money laundering or violation of the duty to report a suspicion of money laundering. The present contribution focuses on the conditions of the criminal responsibility of the compliance officers, which depends, inter alia, on the hierarchical position of the concerned person. As confirmed by recent cases, this article points out that the risk of a conviction for violation of the duty to report is quite important for the head of the compliance department and conclude with some thoughts on how to reduce such a risk.

[…]