O compliance na atividade notarial: as especificidades do instrumento de prevenção e mitigação de riscos na serventia notarial e registral do município de Ipubi Pernambuco

Abstract

The compliance program has an essential function to ensure compliance with legal determinations, and to collaborate in the implementation of effective controls that improve the fundamentals of management. Therefore, this research analyzes the specificities of the instrument of prevention and mitigation of compliance risks in the notarial service of the municipality of Ipubi Pernambuco. To develop this qualitative and exploratory research, a bibliographic study on the subject is carried out in order to identify the main concepts. The results reveal that the instruments of the compliance program that will be used by the notary and registry office of the municipality of Ipubi differ from the others, because it is an institution of sui generis character (delegation of public power exercised in private character), because it involves the legal nature of the organization, in order to meet both the internal guidelines for management, as for the laws and regulations in force in the country, which are part of the Integrity Program (Compliance). These are simple and effective measures that carry out the health of the corporate governance of the notarial and registry service. Thus, it is possible to develop the conceptual diagram that empirically synthesizes the interactions of compliance mechanisms with institutional governance, based on theoretical concepts, in order to verify the relevance of the implementation of the compliance program, as well as to avoid more expressive risks existing in the notarial and registry service of Ipubi, containing preventive measures, detective and corrective to effectively uphold the institutional and professional ethical principles of management.