Spain’s Competition Regulator Clarifies How Compliance Programs Can Reduce Penalties

Key Takeaways

• Clear Separation of Enforcement Effects: The CNMC now explicitly distinguishes between how compliance programs may influence fine reductions and how they may affect prohibitions on public-sector contracting.
• Core Framework Remains Intact: The updated guidance preserves the structure and effectiveness criteria established in the 2020 version.
• Focus on Real-World Effectiveness: Assessments will emphasize design, implementation, and operational performance rather than the mere existence of compliance documentation.
• Updated Legal References: The guide incorporates CNMC Communication 1/2023 and recent Spanish Supreme Court jurisprudence related to contracting prohibitions.

Deep Dive

The Spanish competition regulator has revised one of its key compliance guidance documents, seeking to provide companies with greater clarity on how competition law compliance programs will be assessed and how those assessments may influence enforcement outcomes.

The update, approved on June 16 by the National Commission on Markets and Competition (CNMC), revises its Guide to Regulatory Compliance Programs in relation to competition law. While the new version preserves the core structure and evaluation framework introduced in 2020, it introduces a series of refinements intended to make the guidance more practical and easier to apply.

At the center of the revision is a clearer explanation of how effective compliance programs may affect two distinct aspects of competition enforcement proceedings: the potential reduction of monetary penalties and the possibility of avoiding or lifting prohibitions on contracting with public-sector entities.

The CNMC said the updated guide is intended to remain a reference document for companies seeking to understand the factors the regulator considers when evaluating the effectiveness of competition compliance programs.

The revision follows a consultation process that began with a public consultation in December 2025 and continued with a formal hearing on a draft version in May 2026. According to the regulator, both stages demonstrated broad support for strengthening the integration of competition law compliance into corporate management practices and reinforced the value of providing greater transparency around assessment criteria.

Although the updated guide retains the foundational categories and effectiveness criteria established in 2020, it incorporates references to more recent regulatory and judicial developments. These include CNMC Communication 1/2023, which addresses criteria for determining prohibitions on public contracting arising from competition law infringements, as well as recent decisions from Spain’s Supreme Court concerning the scope of such prohibitions.

One of the most significant changes is the explicit separation of the legal effects associated with compliance programs during sanctioning procedures.

Under the revised guidance, the CNMC distinguishes between the role a compliance program may play in reducing fines under Article 64.3 of Spain’s Competition Act (LDC) and its potential relevance in obtaining an exemption from, or removal of, a prohibition on contracting with the public sector under Article 72.5 of the Public Sector Contracts Act (LCSP).

The regulator also reiterates that compliance programs will not be judged solely on the existence of policies, procedures, or other formal documentation. Instead, assessments will focus on whether programs demonstrate genuine effectiveness through their design, implementation, and day-to-day operation.

The updated guide places particular emphasis on fostering an authentic culture of compliance within organizations. According to the CNMC, effective programs should enable companies not only to prevent violations but also to detect potential misconduct and respond quickly when breaches occur.

To support that objective, the guide includes a revised annex containing examples of commonly used indicators that may help assess program effectiveness. The CNMC stressed that these indicators are intended as a flexible reference tool rather than a mandatory or exhaustive checklist.

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