Viewpoint... Compliance risk management and control of state-owned enterprises and its countermeasure analysis.

Published:

2022-12-26

With the rapid development of economy, all kinds of enterprises are constantly reforming to adapt to today's economy and society, and the reform of state-owned enterprises is also deepening, but due to various reasons, there are many business risks in state-owned enterprises. As a lawyer, when providing legal services for state-owned enterprises and avoiding corporate legal risks, we should identify, analyze, evaluate and propose corresponding countermeasures to the current status of compliance risks of state-owned enterprises, aiming to help state-owned enterprises clarify departmental powers, strengthen information exchange, and enable state-owned enterprises to establish a complete compliance risk management and control system. Under the condition of market economy, state-owned enterprises are facing more and more opportunities and challenges, and compliance risk management and control, as one of the key links, is gradually concerned by the top management of enterprises. In order to promote the comprehensive strengthening of compliance management in state-owned enterprises, the State-owned Assets Supervision and Administration Commission of the State Council issued the "Guidelines for Compliance Management of Central Enterprises (Trial)", and the state issued the "Guiding Opinions on Strengthening the Compliance Risk Management of State-owned Enterprises", etc. Corresponding compliance management guidelines have been issued. Shandong Province has also issued the "Guidelines for Compliance Management of Provincial Enterprises" to promote the compliance management of provincial enterprises. State-owned enterprises not only strengthen their own compliance risk management, but also use professional lawyers and other external professional institutions to control compliance risks of enterprises., Identify corporate compliance risks, improve the level of legal compliance management, and ensure the sustainable and healthy development of enterprises. Status and Analysis of Compliance Risk Management and Control of State-owned Enterprises in 1. (I) lack of risk control system The construction of risk control system has always been related to the development of all kinds of enterprises. With the gradual reform of state-owned enterprises from "managing assets" to "managing capital", the construction of risk prevention and control system of state-owned enterprises is more important. In 2011, the National Development and Reform Commission issued relevant laws, requiring all regions to further improve the autonomy and control of business activities of local governments in their administrative areas, and income distribution mechanisms. At present, the traditional management concept of some state-owned enterprises is deeply rooted in the enterprise management, and the old method is followed. The consequence of this is that the internal control system of compliance risk is not perfect, and there are a series of problems such as unclear job responsibilities, low comprehensive ability of employees and weak awareness of risk prevention. For example, a Nanjing Electric Power Group Co., Ltd. has not established a complete compliance risk control system, coupled with the internal risk control system is not sound, the quality of employees is not high, in recent years, there have been frequent problems in compliance risk control management. This reflects from the side that the company did not respond to a series of relevant policies and measures issued by the state in time to adapt to standardized management and guidance, and there was no risk awareness, and errors naturally occurred in the operation. Miscellaneous and unclear powers and responsibilities of (II) departments Clear powers and responsibilities, departments perform their own duties is one of the basic requirements for the good operation of enterprises, and too many institutions will increase the expenditure of enterprises to a certain extent, increase the burden. At the same time, the existence of a large number of institutions may lead to the shirking of responsibilities and slow down the efficiency of anti-risk, resulting in various compliance risk control measures and steps formulated by enterprises are mere formality, have not been implemented, and naturally can not play its effect. In the actual operation process, there may be situations such as too centralized approval authority and weak internal control. When requesting approval, it will take a lot of time and it is easy to make unclear progress and have no way to complain. In the absence of an effective supervision mechanism to restrict the behavior of relevant personnel and the emergence of violations of laws and regulations, it is easy to cause the formation of a situation of insider control, which in turn breeds the soil of corruption. Moreover, the internal control construction of some state-owned enterprises in our country is seriously formalized, and some managers do not have the competence and management ability, and even some managers use their power for personal gain. The fundamental essence is that there is no clear responsibility and authority of each department, and the unclear division of responsibilities between departments within the enterprise and between superiors and subordinates leads to cross-functions and vague definition of responsibilities. The various departments of the enterprise shirk their responsibilities to each other, and even some managers are too perfunctory and do not carry out actual investigation and research when formulating strategies, but make decisions idealistically divorced from reality. In the long run, the formation of fixed sets and models is not conducive to compliance risk control. Low (III) resources and information sharing In the era of big data, resources and information have become a vital thing. To a certain extent, it can be said that whoever has mastered information and resources will have the opportunity to develop. In view of the monopoly of information and data in the market, China has promulgated the "the People's Republic of China Anti-monopoly Law" and other laws to deal with it, so as to safeguard the right of all kinds of enterprises to develop fairly. But in fact, there is also a problem of poor communication of information and resources within state-owned enterprises. In some state-owned enterprises, there are often situations such as less horizontal departmental exchanges and less information sharing, and even the staff have become accustomed to this. In fact, in the long run, it will not only bring about the blockage of internal information, but also not conducive to the improvement of the enterprise's comprehensive compliance risk management and control ability. In the actual operation of the enterprise, due to the lack of sharing and communication between various departments, there will be a large number of duplication of various types of work, poor resource coordination, low work efficiency and so on. Not only does it not give full play to the advantages of internal coordination and cooperation of state-owned enterprises, but it will waste a lot of time and human resources, but it does not have a good effect on the solution of the final problem. At the same time, the lack of effective communication between various departments within the enterprise, between superior and subordinate employees and superior leaders can easily lead to the decline of the operation ability of the enterprise, and various problems can not be solved in time. The accumulation will cause more serious consequences, which will bring greater risks and is not easy to remedy. The consequences of poor information communication may also have problems such as poor corporate culture construction and poor future development. It is necessary to discover and deal with them in time to avoid worse situations. Countermeasures for 2. compliance risk management and control (I) enterprises to strengthen the establishment of risk management and control system In the process of compliance risk management and control, state-owned enterprises should comprehensively examine whether the enterprise compliance management and control system is sound, improve the compliance organization system, compliance system, compliance management system, compliance guarantee system, etc., and conduct comprehensive supervision and evaluation of all departments and positions within the enterprise. At the same time, we should also strengthen the risk awareness of enterprises, and gradually establish and improve the compliance risk management and control system of enterprises through various ways. A reasonable system can be constructed from the following points: ① Establish a compliance risk management and control information system. Through various compliance risk management platforms, real-time monitoring of various situations of enterprises can be carried out to strengthen the ability to assess risks, timely feedback and then timely discovery and analysis of various potential problems, so as to improve the efficiency of enterprises in the face of risks. ② Respond to relevant national policies and keep abreast of relevant laws. The state has promulgated laws such as the "the People's Republic of China Audit Law" and the "Company Law" to guide the operation of enterprises. At the same time, the annual major policies also put forward many related policies such as strengthening the real economy and promoting the reform of state-owned enterprises. Enterprises should understand and learn in time to adjust the direction of compliance risk control. ③ Establish a complete, scientific, reasonable and practical internal audit system. In China, the audit supervision system of state-owned enterprises includes national audit, social audit and internal audit. After the establishment of a sound internal audit system, in order to better establish a risk control system, to avoid the enterprise at some time may produce losses. ④ Strengthen the construction of corporate compliance culture and improve personnel risk awareness. Starting from the top level, we should strengthen the construction of risk awareness and let employees be prepared for danger in times of peace. This is conducive to the subjective initiative and enthusiasm of employees, and better promote the establishment and implementation of the risk system. (II) clarify the responsibilities of each department Due to the wide range and complexity of compliance risk control (even if there are individual special circumstances), the governance process of state-owned enterprises should fully consider the impact of various possible factors. To ensure that the authority of various departments of the enterprise can greatly improve the purity of the enterprise is also more conducive to enterprise risk management and control, to avoid the occurrence of internal corruption. It is necessary to ensure that the various institutions within the enterprise restrict and cooperate with each other, and clarify the responsible persons and specific duties and tasks of each function of different power departments, as well as work processes and other related matters and procedural requirements. Only in this way can we deal with a matter without prevarication and inefficiency. Enterprises should also strengthen the publicity of corresponding laws and regulations internally to reduce the phenomenon of internal personnel corruption from the subjective level. When it comes to important risks, the departments before and after the event should be clear and follow up and rectify after the event. And in the actual operation process, we should constantly discover the problems existing in the existing system, and the department subdivision or integration can be more based; we should also implement the clear responsibilities, and there should be no phenomenon of hanging names, which leads to the actual decision-making power. Too concentrated again. It should be noted that the division of responsibilities and the implementation of rewards and punishments are not only a basic requirement of modern enterprises, but also an important part of establishing and improving the national governance system and strengthening the construction and management of the internal control system of state-owned enterprises. (III) strengthen internal information communication and exchange The communication and exchange of information is an important part of enterprise management, which plays an important role in state-owned enterprises. The exchange of information acquisition is the basis for the vitality of enterprises, on the basis of which enterprises can carry out better development. As for strengthening information communication and exchange between various departments, it is one of the important links that should be considered in establishing reasonable compliance risk control, which is conducive to improving the ability of risk control. To strengthen the role of risk management and control, we should start from the inside, so that the state-owned enterprises as a whole can work together to better resist risks. Once an effective channel of information communication and resource sharing is formed between various departments, it will be more conducive to the development of all aspects of the enterprise, change the face of the enterprise, and make the enterprise look new in the context of the new era. In actual operation, companies can promote communication and exchanges between various departments and personnel at different levels by formulating relevant corporate policies to achieve the effect of information sharing. In terms of objective factors, state-owned enterprises can promote data sharing through procedural things, while subjectively, they can create an environment conducive to information and resource communication by building a state-owned enterprise culture and forming a good corporate atmosphere. To sum up, the compliance risk prevention and control of state-owned enterprises should not only establish a compliance risk control system internally, but also jointly promote it with the help of external professional institutions, so as to make the compliance risk control of state-owned enterprises effective, ensure the good and orderly operation of state-owned enterprises, and achieve good development in the market economy environment.

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