Central enterprises should take the lead in strengthening compliance management

Author:Legal person magazine Time:2022.09.23

◎ Text "Fighter" magazine all media reporter Jia Baoyuan

The State -owned Assets Supervision and Administration Commission of the State Council recently issued the "Administrative Measures for the Compliance of the Central Enterprise" (hereinafter referred to as the "Measures"), which aims to promote compliance management, effectively prevent and control risks, and effectively ensure deepening reform and high -quality development. The Measures will be implemented from October 1, 2022.

Enterprise compliance management is a new method and new strategy of Chinese enterprises going to the international market, and high standards to connect with international economic and trade rules. It is a password for the rule of law that promotes the high -quality development of Chinese enterprises and stabilize. Compliance management is a key system for enterprises to effectively and effectively prevent operating risks. It is an urgent need to improve and improve corporate governance in the new situation and ensure the positive circulation, healthy, orderly, and sustainable development of enterprises. It is also an imminent thing that must be done and must be done well. Central enterprises should have a demonstration effect.

In recent years, the continuous strengthening of corporate compliance management in global market competition has become a new trend, and compliance management of central enterprises in my country has also continued to strengthen in actively exploration. The SASAC will determine this year as a "reinforcement year of compliance management", and continuously increases its promotion, further clarify the goal of creating "improvement, compliance management, management standards, and integrity of the law", promoting compliance management of central enterprises System.

The "Measures" clearly stipulate in organizational and responsibilities, institutional construction, operating mechanisms, and accountability.

The "Measures" stipulates that the compliance management work of central enterprises follows principles: adhere to the party's leadership, give full play to the role of the party committee (party group) of the enterprise, implement the relevant requirements of the strategic layout of comprehensively governing the country in accordance with the law, and penetrate the party's leadership throughout the entire process of compliance management. The party committee (party group) of the Enterprise (party group) played a leading role in direction, the overall situation, and promoting implementation, promoted compliance requirements to strictly follow and implement the enterprise, and continuously improve the level of management and management in accordance with the law.

In order to further improve the compliance management organization system, the "Measures" on the basis of fully drawing on the advanced experience of world -class enterprises, requiring central enterprises to set up "chief compliance officers" in accordance with the actual situation, not new leadership positions and positions (leadership positions of leadership positions (leadership positions Total), also served by the general legal adviser, as a key person to participate in major corporate decisions.

The chief compliance officer is responsible for the main person in charge of the enterprise, and the leadership compliance management department organizes relevant work to guide the units to strengthen compliance management. The compliance review opinions of major decision -making matters shall be signed by the chief compliance officer. Take the chief compliance officer as a key figure, participate in major decision -making to ensure management responsibilities in place; take the compliance review as a key link, accelerate the improvement of work mechanisms, ensure that process control, risk prevention and problems are rectified; As a key task of compliance management, dynamic monitoring is strengthened through informatization methods to ensure that the requirements are implemented.

The "Measures" highlight the important role of the construction of the compliance management system, and require central enterprises to focus on anti -monopoly, anti -commercial bribery, ecological environmental protection, safety production, labor use, tax management, data protection and other key risks, as well as high compliance risks, and higher risks of compliance risks. Business, formulate specific systems or special guidelines for compliance management.

Compared with the previous consultation draft, the "Measures" further refined and improved the compliance management operating mechanism, requiring central enterprises to establish a rectification mechanism for illegal issues, and through improvement of rules and regulations, optimizing business processes, etc. Business management level. The business and functional departments and compliance management departments will regularly evaluate the review situation in accordance with their duties and authority to improve the review standards, processes, and key points.

Once a central enterprise occurs in compliance risks, if major legal disputes, major administrative penalties, criminal cases, or major compliance risk incidents such as international organizations may cause major compliance risks such as international organizations, or may cause major asset losses or serious adverse effects that may cause major assets of the enterprise It should be led by the chief compliance officer, coordinating the compliance management department, coordinating the relevant departments, and prompting measures to respond properly in a timely manner.

In terms of supervision and accountability, the "Measures" require that central enterprises should not find illegal issues due to intentional or major negligence in the process of performing their duties, or if there is a misconduct for illegal issues, which causes loss or adverse effects on the enterprise or adverse effects on the enterprise Units and personnel are held accountable.

In summary, the "Measures" is of great significance to further promote enterprise to operate compliance management in accordance with the law, improve corporate compliance management capabilities and levels, and guide enterprises to accelerate the construction of the compliance management system.

In terms of the construction of the rule of law and compliance management, the central enterprise will take the lead in the concept of the rule of law, the corporate corporate, and the strong enterprises in accordance with the rule of law, the rule of law, and the rule of law, and the integration of the compliance management system into the corporate culture and become the core competitiveness of the enterprise. It is conducive to creating a business environment of modernity, marketization, internationalization, and rule of law. Increase operating efficiency in market competition and reduce operating and transaction costs. In deepening the reform of the economic system, promote the development of higher -level market economic practice, accelerate the construction of a higher standard market economy basic system, and fully demonstrate the uniqueness and superiority of the organic and unified socialist system and the market economy system.

(The author is the editor -in -chief of the "Legal person" magazine)

The "2022 First Enterprise Compliance Knowledge Contest" will be launched on October 9 on the official website of the rule of law network and the corporate compliance knowledge contest on October 9th, and invite people from all walks of life to participate. Long -press or scan the QR code below, follow the official website of the "rule of law" and the official website of "China Enterprise Review", and the official WeChat of the "Enterprise Compliance Knowledge Contest" to obtain the latest event information.