COMPLIANCE AS A TOOL IN CRIMINAL INVESTIGATION: AN ANALYSIS OF THE IMPLICATIONS AND BENEFITS IN THE CRIMINAL PROCESS

Abstract

This study aims to analyze compliance as a strategic tool in criminal investigation, exploring its legal, ethical, and procedural implications within the context of the Brazilian criminal justice system. The research is based on the premise that compliance, understood as a set of practices aimed at ensuring legal conformity, can significantly contribute to the transparency, effectiveness, and integrity of criminal investigations, especially in cases involving complex organizations and economic crimes. Through doctrinal review and jurisprudential analysis, the study seeks to understand how the implementation of compliance programs can guarantee the observance of fundamental rights, prevent abuses of power, and strengthen the institutional credibility of investigative bodies. The research discusses the conceptual and legal foundations of compliance, the regulation of special investigation techniques—such as undercover operations and the use of informants—and the ethical and legal limits of such practices within due process. Furthermore, it examines national case law addressing the use of control and integrity mechanisms in investigations, identifying the practical benefits and challenges of their application. The results demonstrate that compliance, when properly implemented, can serve as an instrument for the prevention and mitigation of criminal risks, fostering a culture of accountability and transparency in the criminal sphere. However, the study emphasizes the need for strict oversight to avoid violations of individual rights, ensuring a balance between investigative efficiency and respect for human rights. Therefore, this research contributes to the improvement of investigative practices and to the development of a more ethical, efficient, and constitutionally aligned criminal justice system.