What is the scope of the integrity and compliance investigation?
Business investigation Network: Integrity and compliance investigation in the enterprise integrity and compliance management, belongs to the third line of defense work, we have to find out the corresponding problems, and then accurately remove the integrity and compliance risks. In terms of the scope of the investigation, it actually covers three levels: the first is violations, the second is violations, and the third is suspected criminal behavior.
I. Investigation of suspected violations
In 2019, a woman who claimed to be a doctoral supervisor of Peking University and an assistant professor of the Beijing International Mathematical Research Center, Feng Mou, publicly reported that he interfered with undergraduates, cheated on married women, dated 3 people a day, cheated on dozens of people at the same time, and maintained improper relations with many women. The informant also posted several chat logs and a marriage certificate. After the incident came to light, the university quickly launched an investigation procedure. On December 11, Peking University issued a notice: Feng's teaching qualification was revoked, the qualification of relevant talents and the qualification of postgraduate tutors were cancelled, and he was dismissed. Doctoral students graduated, according to the regulations must have a paper published, Feng Mou seized the students "most afraid of the weakness", using their doctoral guide identity to deceive others, "power for personal gain, moral corruption."
On August 26, 2022, according to Article 19, paragraph 1 (2) of the "Teacher Qualification Regulations", the Beijing Haidian District Market Supervision Administration of Beijing imposed administrative penalties on Feng, former assistant professor of the Beijing International Mathematical Research Center of Peking University, and the punishment result was to revoke the teacher's qualification and revoke the license.
2. Investigation of suspected illegal acts
The risk of commercial bribery in sales mainly refers to the illegal transfer of benefits in sales. In reality, it is easy to be suspected of illegal sales activities: 1. Promotion expenses; 2. Discount or commission; 3. Gift money or goods. These are also situations that the Anti-Unfair Competition Law focuses on.
According to Article 7 (3) of the Anti-Unfair Competition Law, "bribery by the staff of a business operator shall be regarded as an act of the business operator; However, unless the operator has evidence to prove that the staff member's conduct has nothing to do with seeking trading opportunities or competitive advantages for the operator." This "strict liability" principle makes enterprises bear a lot of operational risks. Only by fully bearing the burden of proof can enterprises escape liability, which involves the problem of how to provide proof.
On the whole, it is more difficult for enterprises to prove that the core of proof is to prove that the behavior of employees has nothing to do with the enterprise to seek market competitive advantage. In order to bear this burden of proof, it is necessary to start the internal investigation procedure.
3. Investigation of suspected criminal acts
Wanda Group issued the "Decision on the punishment of Leng and Han" on its official website on September 29, in a positive response to media reports that Wanda employees were involved in the bribery case of Jin, a former member of the Standing Committee of the Dalian Municipal Committee. According to the Benxi Municipal Procuratorate, Jin had accepted 300,000 cash from Leng, who was then a manager of Dalian Wanda Real Estate Co., Ltd. from 2007 to 2009 to facilitate its business development.
Wanda said that Leng seriously violated the financial regulations of the group, embezzled company funds without authorization to bribe, which brought serious negative impact to the group, and bears the main responsibility. At the same time, the group has always implemented financial vertical management, and Han, as the vice president of finance, has not reported to the financial center of the group without authorization to cooperate with cold to misappropriate company funds, and is also directly responsible. To this end, the group decided to remove Leng a Dalian Wanda Commercial Real Estate Co., Ltd. chief engineer post, terminate the labor contract; Since Han has retired, no additional administrative punishment will be imposed. At the same time, the board of directors of Wanda Group decided to temporarily freeze the equity of Dalian Wanda commercial property held by the two people, suspend the dividend of the two people's equity, and instructed the audit center of the group to immediately rush to the Dalian company to investigate the financial situation of the two people and the Dalian company, and make further punishment decisions according to the results of the investigation.
In the investigation stage of our integrity and compliance management, we need to combine corporate rules and regulations, administrative regulations, criminal laws and judicial interpretations, and comprehensively consider issues from the three dimensions of violation, violation and crime, and bring the corresponding situation into the scope of compliance investigation.
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