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Key analysis of compliance management

The Compliance Management Guidelines for Central Enterprises of the Business Investigation Network carries out the construction of compliance management priorities from three aspects: key areas, key links and key personnel. This part of content, especially the key areas, is the most changed compliance guidelines in various regions and is also the most outstanding place. This paper will review one by one.

First, key areas

Key areas and related requirements listed in the Compliance Management Guidelines for Central Enterprises are as follows:

1. The market trades. We will improve the transaction management system, strictly follow the procedures for decision-making and approval, establish a sound system of self-discipline and integrity, give priority to anti-commercial bribery, anti-monopoly, and anti-unfair competition, and standardize asset trading, bidding and tendering activities.

2. Safety and environmental protection. We will strictly enforce national laws and regulations on work safety and environmental protection, improve production standards and safety and environmental protection systems for enterprises, strengthen supervision and inspection, and promptly discover and rectify violations.

3. Product quality. Improve the quality system, strengthen the process control, strictly control the quality of each link, provide quality products and services;

4. Labor and employment. We will strictly abide by labor laws and regulations, improve the labor contract management system, standardize the signing, performance, modification and termination of labor contracts, and effectively protect the legitimate rights and interests of workers.

5. Financial taxation. Improve the internal financial control system, strictly implement the operation and approval process of financial matters, strictly observe the financial discipline, strengthen the awareness of tax payment according to law, and strictly abide by tax laws and policies;

6. Intellectual property rights. Applying for registration of intellectual property achievements in a timely manner, standardizing the licensing and transfer of intellectual property rights, strengthening the protection of trade secrets and trademarks, standardizing the use of others' intellectual property rights in accordance with the law, and preventing infringement;

7. Business partners. Conduct compliance investigation on important business partners, and promote compliance of business partners by signing compliance agreements and requiring compliance commitments.

The above seven areas highly condensed the risk areas involved in the production and operation process of enterprises, with high universal applicability. Therefore, compliance guidelines of all places almost retain the above seven key areas, and constantly enrich the development of key areas based on their own actual conditions.

Ii. Key links

Key links required by the Compliance Management Guidelines for Central Enterprises include system formulation, business decision-making and production and operation. Specific requirements are as follows:

1. System formulation link. Strengthen compliance review of important documents such as rules, regulations and reform plans to ensure compliance with laws, regulations and regulatory requirements;

2. Business decision-making process. We will strictly implement the "triple and great" decision-making system, refine decision-making items and their authority at all levels, strengthen compliance verification of decision-making items, and ensure that decisions are made in accordance with the law.

3. Production and operation links. We will strictly implement the compliance system, strengthen the supervision and inspection of key processes, and ensure that the production and operation process is done according to the rules and regulations.

Almost all the guidelines follow the above three links. It is worth noting that the Compliance Management Guidelines of State-owned Enterprises in Chongqing (Trial) add the links of contract signing and performance on the basis of the above three links, requiring that business negotiations and other activities be carried out strictly according to the authority, and that the internal management system and decision requirements be strictly implemented to draft, sign and perform contracts. Strengthen the compliance review before the signing of all kinds of contracts and the compliance management during the performance process to ensure that the contracts are signed in accordance with the law and performed according to the contract standards.

Although it is worth discussing whether contract signing and performance are included in production and operation. However, it is undeniable that the signing and performance of contracts are very important. Many state-owned enterprise clients served by the author's team also regard contract performance management as the focus of compliance management.

3. Key personnel

Key personnel required by the Compliance Management Guidelines for Central Enterprises include management personnel, personnel in important risk positions and overseas personnel. Specific requirements are as follows:

1. Managing people. Encourage managers to effectively improve their compliance awareness, take the lead in carrying out operation and management activities in accordance with laws and regulations, earnestly perform their compliance management responsibilities, and strengthen assessment, supervision and accountability;

2. Personnel in important risk positions. According to the compliance risk assessment situation, clearly define important risk positions, strengthen targeted training efforts, so that personnel in important risk positions are familiar with and strictly abide by the provisions related to the business, strengthen supervision and inspection and accountability for violations;

3. Overseas personnel. Take compliance training as a prerequisite for overseas personnel to ensure compliance with the relevant laws and regulations of our country and the host country.

Iv. Compliance with overseas investment and business behaviors

As for the compliance requirements of overseas investment and operation behaviors, the Guidelines on Compliance Management of Central Enterprises mainly cover three aspects: study of overseas laws and regulations, system improvement, and risk investigation. Specific requirements are as follows:

1. Make an in-depth study of the laws and regulations and relevant international rules of the countries where the investment is made, comprehensively grasp the prohibitive provisions, and clarify the red line and bottom line of overseas investment and business behavior;

2. Improve the system, system and process of overseas compliance operation, attach importance to the implementation of project compliance demonstration and due diligence, strengthen the control of overseas institutions in accordance with the law, and standardize the operation and management behavior;

3. Regularly check and sort out the risk status of overseas investment business, focusing on compliance risks in major decisions, major contracts, control of large amounts of funds and corporate governance of overseas subsidiaries, and properly handle and timely report to prevent expansion and spread.

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