News Center

Viewpoint | Carrier and Path of Enterprise Compliance Construction

Published:

2021-11-24

As a legal person, the behavior of an enterprise depends on the behavior of the head and staff of the enterprise, and corporate compliance needs to be achieved through the behavior of the head and staff of the enterprise. The Guidelines for Compliance Management of Central Enterprises (for Trial Implementation) clearly points out that compliance management is an organized and planned management activity aimed at the operation and management behavior of enterprises and employees. In practice, the behavior of the person in charge and the staff of the enterprise is mainly guided and regulated by the role of the actor, the management system and the operation system. The construction of enterprise compliance system should take the actor's role, management system and operation system as the carrier, and build a compliance management system of enterprise organization system, management system system and workflow system. Construction of Compliance Organization System in 1. Enterprises The enterprise organization system provides organizational guarantee for the enterprise compliance construction, and the enterprise organization setting should strengthen the content of compliance construction and clarify the compliance responsibilities. The construction of enterprise organization system should focus on the following aspects: First, clarify the compliance management responsibilities of the directors and supervisors, and build a compliance leadership system. The articles of association are the basic norms of corporate governance, and the leading role of the articles of association in corporate compliance management should be brought into full play. Within the framework of the articles of association, a corporate governance structure with mutual cooperation, mutual restriction and clear division of labor for corporate compliance decision-making, implementation and supervision should be formed. At the same time, a system of compliance management leaders and compliance committees should be established to improve the professional level and ability of compliance. Second, corporate compliance should go deep into the "front line" of business and serve business operations. Operation is the foundation of the enterprise, compliance should be closely around the business operation, fully reflect the practicality of compliance, that is, compliance management responsibilities to the enterprise's business departments, clear business departments responsible for daily compliance management, in accordance with compliance requirements to carry out business. Third, establish institutions, clarify responsibilities, and provide organizational guarantees for compliance construction. Set up a compliance department or clarify a compliance lead department to take the lead in organizing, coordinating and supervising compliance management. At the same time, qualified enterprises can hire compliance consultants to give full play to their compliance practice advantages and jointly provide compliance support for enterprises. Fourth, cultivate compliance awareness and establish a good compliance atmosphere. Compliance awareness is the soft power of compliance and the fundamental guarantee for the implementation of all contents of the compliance system. Enterprises should closely integrate practice and carry out all-round and multi-dimensional compliance training for all employees to enhance their compliance awareness. Construction of Compliance System of 2. Enterprises The enterprise system is the code of conduct for the person in charge and staff of an enterprise, which directly affects the behavior of the enterprise. The construction of the enterprise system is the top priority of the construction of the enterprise compliance system. Enterprise compliance should take the construction of the enterprise system as the starting point to provide system guarantee for enterprise compliance. The compliance construction of enterprise system should focus on the following aspects: First, pay attention to the compliance of the enterprise system. The enterprise system is the main line of enterprise management, and the compliance of the system itself is the premise and basis of enterprise behavior compliance. The enterprise system should comply with laws and regulations, regulatory provisions, industry standards and enterprise articles of association, rules and regulations, as well as international treaties, rules and other provisions. Second, enterprises should establish a special compliance system to provide a quasi-search for compliance construction. The special compliance system is the basis for the compliance work of enterprises, which mainly includes the legality audit system of major matters, the pre-judgment system of major risks, and the risk disposal and management system. Third, around the operation, the establishment of business compliance business guidelines. According to the enterprise business, according to the compliance requirements to improve the business management system, the development of relevant business guidelines, according to the line of business, the development of its supporting compliance guidelines, so that front-line business personnel how to regulate compliance to carry out related business, and according to business development and regulatory needs to update the business guidelines in a timely manner. Construction of Compliance Operation System for 3. Enterprises The enterprise compliance system is a project in which all employees of the enterprise participate, all departments cooperate closely and cooperate with each other. The construction of the enterprise compliance system should embed compliance content in the construction of the enterprise operation system: First, compliance management will be carried out throughout the whole process of enterprise behavior, and a multi-departmental collaborative compliance operation system will be established. Compliance is inseparable from enterprise operation and enterprise management. Compliance management should run through the whole process of enterprise decision-making, implementation and supervision. Compliance operation requires the linkage and cooperation of multiple departments. Compliance work should give full play to the synergy effect of various departments and coordinate with enterprise law, risk, internal control, audit, supervision and other work. At the same time, strengthen the process control of business decision-making, that is, implement the "three important and one large" decision-making system, and refine the decision-making matters and authority at all levels. Second, establish a sound compliance control mechanism to give full play to the front-end effectiveness of compliance review and risk prevention and control. Compliance review is a key link in the compliance guarantee system, and the construction of a compliance review mechanism can effectively play the role of a "firewall" for compliance management. The focus of compliance control should be to improve the system, decision-making, contract, operation compliance review, clear without review can not be implemented. Build a risk management system that combines identification and prevention with response and disposal, strengthen the construction of enterprise risk identification and risk response systems, and effectively prevent and manage risks. Third, optimize the compliance operation system and establish a multi-level compliance management structure. Enterprises should give full play to the main responsibility of compliance management of business departments, compliance management departments, internal audit departments and external compliance consultants, and establish a multi-level compliance operation system. The business department performs the first line of defense for compliance management and proactively conducts daily compliance control; the compliance management department performs the second line of defense for compliance management, provides compliance support to the business department, and conducts compliance audits on specific issues; the internal audit department performs the third line of defense for compliance management and audits compliance management; the external compliance consultant performs the fourth line of defense for compliance management and conducts compliance audits on matters required by the enterprise. Fourth, improve the construction of the compliance guarantee system and establish a reward and punishment incentive and supervision mechanism. The guarantee system is an important part of the compliance operation system, and it is necessary to give full play to the enterprise reward and punishment mechanism to regulate and restrict enterprise behavior. Accountability and assessment and evaluation together constitute a compliance management guarantee mechanism, through the assessment, reward and punishment system to encourage or urge enterprises and employees to perform compliance duties, to ensure compliance and efficient operation. 4. epilogue Corporate compliance construction is a key link to enhance the modernization of corporate governance capabilities, compliance should not only stay at the institutional level, but also need the organic convergence of ideas and practices, corporate compliance organization system, compliance management system, compliance work operation system trinity, mutual convergence, mutual cooperation. Only by integrating compliance concepts and systems into it, and forming an all-round, multi-field, and in-depth compliance, can the due effectiveness of corporate compliance be truly brought into play and the rapid development of enterprises can be promoted and guaranteed.

Construction of Compliance Organization System in 1. Enterprises

The enterprise organization system provides organizational guarantee for the enterprise compliance construction, and the enterprise organization setting should strengthen the content of compliance construction and clarify the compliance responsibilities. The construction of enterprise organization system should focus on the following aspects:

First, clarify the compliance management responsibilities of the directors and supervisors, and build a compliance leadership system.

The articles of association are the basic norms of corporate governance, and the leading role of the articles of association in corporate compliance management should be brought into full play. Within the framework of the articles of association, a corporate governance structure with mutual cooperation, mutual restriction and clear division of labor for corporate compliance decision-making, implementation and supervision should be formed. At the same time, a system of compliance management leaders and compliance committees should be established to improve the professional level and ability of compliance.

Second, corporate compliance should go deep into the "front line" of business and serve business operations.

Operation is the foundation of the enterprise, compliance should be closely around the business operation, fully reflect the practicality of compliance, that is, compliance management responsibilities to the enterprise's business departments, clear business departments responsible for daily compliance management, in accordance with compliance requirements to carry out business.

Third, establish institutions, clarify responsibilities, and provide organizational guarantees for compliance construction.

Set up a compliance department or clarify a compliance lead department to take the lead in organizing, coordinating and supervising compliance management. At the same time, qualified enterprises can hire compliance consultants to give full play to their compliance practice advantages and jointly provide compliance support for enterprises.

Fourth, cultivate compliance awareness and establish a good compliance atmosphere.

Compliance awareness is the soft power of compliance and the fundamental guarantee for the implementation of all contents of the compliance system. Enterprises should closely integrate practice and carry out all-round and multi-dimensional compliance training for all employees to enhance their compliance awareness.

Construction of Compliance System of 2. Enterprises

The enterprise system is the code of conduct for the person in charge and staff of an enterprise, which directly affects the behavior of the enterprise. The construction of the enterprise system is the top priority of the construction of the enterprise compliance system. Enterprise compliance should take the construction of the enterprise system as the starting point to provide system guarantee for enterprise compliance. The compliance construction of enterprise system should focus on the following aspects:

First, pay attention to the compliance of the enterprise system.

The enterprise system is the main line of enterprise management, and the compliance of the system itself is the premise and basis of enterprise behavior compliance. The enterprise system should comply with laws and regulations, regulatory provisions, industry standards and enterprise articles of association, rules and regulations, as well as international treaties, rules and other provisions.

Second, enterprises should establish a special compliance system to provide a quasi-search for compliance construction.

The special compliance system is the basis for the compliance work of enterprises, which mainly includes the legality audit system of major matters, the pre-judgment system of major risks, and the risk disposal and management system.

Third, around the operation, the establishment of business compliance business guidelines.

According to the enterprise business, according to the compliance requirements to improve the business management system, the development of relevant business guidelines, according to the line of business, the development of its supporting compliance guidelines, so that front-line business personnel how to regulate compliance to carry out related business, and according to business development and regulatory needs to update the business guidelines in a timely manner.

Construction of Compliance Operation System for 3. Enterprises

The enterprise compliance system is a project in which all employees of the enterprise participate, all departments cooperate closely and cooperate with each other. The construction of the enterprise compliance system should embed compliance content in the construction of the enterprise operation system:

First, compliance management will be carried out throughout the whole process of enterprise behavior, and a multi-departmental collaborative compliance operation system will be established.

Compliance is inseparable from enterprise operation and enterprise management. Compliance management should run through the whole process of enterprise decision-making, implementation and supervision. Compliance operation requires the linkage and cooperation of multiple departments. Compliance work should give full play to the synergy effect of various departments and coordinate with enterprise law, risk, internal control, audit, supervision and other work. At the same time, strengthen the process control of business decision-making, that is, implement the "three important and one large" decision-making system, and refine the decision-making matters and authority at all levels.

Second, establish a sound compliance control mechanism to give full play to the front-end effectiveness of compliance review and risk prevention and control.

Compliance review is a key link in the compliance guarantee system, and the construction of a compliance review mechanism can effectively play the role of a "firewall" for compliance management. The focus of compliance control should be to improve the system, decision-making, contract, operation compliance review, clear without review can not be implemented. Build a risk management system that combines identification and prevention with response and disposal, strengthen the construction of enterprise risk identification and risk response systems, and effectively prevent and manage risks.

Third, optimize the compliance operation system and establish a multi-level compliance management structure.

Enterprises should give full play to the main responsibility of compliance management of business departments, compliance management departments, internal audit departments and external compliance consultants, and establish a multi-level compliance operation system. The business department performs the first line of defense for compliance management and proactively conducts daily compliance control; the compliance management department performs the second line of defense for compliance management, provides compliance support to the business department, and conducts compliance audits on specific issues; the internal audit department performs the third line of defense for compliance management and audits compliance management; the external compliance consultant performs the fourth line of defense for compliance management and conducts compliance audits on matters required by the enterprise.

Fourth, improve the construction of the compliance guarantee system and establish a reward and punishment incentive and supervision mechanism.

The guarantee system is an important part of the compliance operation system, and it is necessary to give full play to the enterprise reward and punishment mechanism to regulate and restrict enterprise behavior. Accountability and assessment and evaluation together constitute a compliance management guarantee mechanism, through the assessment, reward and punishment system to encourage or urge enterprises and employees to perform compliance duties, to ensure compliance and efficient operation.

4. epilogue

Corporate compliance construction is a key link to enhance the modernization of corporate governance capabilities, compliance should not only stay at the institutional level, but also need the organic convergence of ideas and practices, corporate compliance organization system, compliance management system, compliance work operation system trinity, mutual convergence, mutual cooperation. Only by integrating compliance concepts and systems into it, and forming an all-round, multi-field, and in-depth compliance, can the due effectiveness of corporate compliance be truly brought into play and the rapid development of enterprises can be promoted and guaranteed.

Key words:

In the case of the case, the insurance company shall bear the insurance liability if it knows that the insured meets the deductible.

Viewpoint | Discussion on the governance structure of for-profit private schools

In the case of the case, the insurance company shall bear the insurance liability if it knows that the insured meets the deductible.

Viewpoint | Discussion on the governance structure of for-profit private schools