Enterprise compliance "digital" multi -country vision and Chinese practice

◎ Text "Fa" magazine specially writes Xu Fang

In March 2021, the Fourth Session of the Thirteenth National People's Congress voted to pass the resolution on the 14th five -year planning of the national economic and social development and the outline of the 2035 remote scene target. The national strategic level faces the attention of corporate compliance management. As compliance requirements are becoming a trend of corporate management, what kind of system support needs to be a direction for many enterprises. This article intends to share the development ideas of several different national compliance products, summarize the customized needs of some enterprises and the market research conclusions of China's compliance management needs to help companies have a "panoramic" understanding of this.

Australian compliance system ideas: what kind of regulations

The compliance management system of an enterprise must first solve the problem of "what the regulations". It should be tracked and sorted out in response to relevant regulations and regulatory policies, and further extracted relevant regulations, and clearly listed the laws, norms, or obligations that need to be followed in combination with business organizations and business.

The compliance system "Regulatory Compliance" developed by Lexisnexis Australia is the primary solution to "what is dependent". Its concept is "simple and flat language, describing legal provisions and requirements, explanation of consequences and relief ways." In terms of product structure, the system is mainly divided into "Core Oblication" and "Sub-Oblication". In terms of content, it focuses on the description of derivatives/specific compliance obligations, listing illegal consequences and remedial measures.

According to Lexisnexis's Australian product manager, many Australian compliance staff members have no legal background. When they create products, they first provide basic legal information and content architecture by legal persons, and then the legal regulations of the TECHNICAL WRITER (technical authors) will Revitalize the compliance requirements in a plain language. As a result, "re -description" has become a feature of Australian compliance products. This is not consistent with domestic generals. With this problem, during the investigation in China, the research team visited the heads of the legal compliance department of many enterprises and found that Chinese enterprises (whether state -owned enterprises, foreign companies or private enterprises) have a good legal education background. Here, it is not difficult to see the differences brought by different national conditions.

Based on the great success of the Australian market, China, Hong Kong, China, Japan, the United Kingdom, the United States, New Zealand, Southeast Asia and other companies in Lexisnexis, based on the same architecture and model, developed several theme compliance products in the form of local languages ​​and English: Anti -commercial bribery, anti -money laundering, network security, data privacy. The main model of its product is the SaaS form. Based on the Amazon cloud service, it linked to the corporate OA side.

It should be said that the above -mentioned products not only cover the topic of basic compliance such as "anti -commercial bribery", but also pay attention to the issue of emerging compliance such as "network security" and "data compliance", and highlight the key compliance issues in the field of banking finance. Such as "anti -money laundering", the content structure is uniform, and it is expressed in a plain English.

Some Chinese companies reflect the following problems about the compliance system "Regulatory Compliance": First, the lack of industrial attention. Products focus on compliance content in several countries in several countries, but for corporate customers who focus on domestic compliance, it is more important to meet their own industries. Although "anti -commercial bribery", "network security", "data" is the field of foundation and hotspot compliance, it is not all of the compliance. At present, the content cannot be selected for refining compliance with different industries, and the compliance focus of these areas is based on the industry. Sexual connection; second, for enterprises with demand in sea, although 8 countries and regions are already relatively comprehensive information resources in the market, if the key areas of enterprises invest in this scope, they cannot meet the demand; third, for constant changes, for constant changes Regulatory requires that the "Regulatory Compliance" product adopts an editing manual tracking method. In terms of real -time content, it has certain sacrifices. For Chinese customers who are accustomed to "seeking fast", the time difference between writing and updating will also become a concern.

Nonetheless, Lexisnexis Australia's compliance products are indeed relatively systematic and refined in solving the "which", not only tracking regulations and policies, but also related regulations and obligations.

Japanese compliance system ideas: compliance implementation

Lexisnexis's compliance products have different development ideas, focusing on the design of the compliance system.

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The demand for large -scale manufacturing companies in Japan, including procurement, manufacturing, logistics, and environmental protection. Each compliance point states the "important level," risk "," punishment "and" related regulations ", and is written and updated by well -known Japanese law firms. In terms of system design, Japanese products allow users to forward the relevant coordinated regulations to different teams and track whether different teams have met the compliance requirements in their work. If not or not applicable, it needs to be explained and explained. With this circulation and tracking function, different authority design is required. The user -side management background can effectively statistics the requirements for being completed, rejected, in execution or not yet accepted. According to the compliance issues of different teams in different compliance areas, the compliance department can obtain visual compliance statistics reports for risk assessment. ▲ Online research and in -depth interview related data

In fact, this Japanese product has created good results in its domestic market. Circulation and compliance tracking of compliance requirements make this product surpassing the knowledge base products into part of the enterprise system to ensure the implementation of compliance requirements.

It is necessary to face up to the management system itself requires customers to establish good habits. Enterprises first need to be used for use in order to conduct compliant management of business in a tracking system. In other words, whether the compliance management system can achieve good results depends not only on the design of the compliance product itself, but also the conditions and foundation of the enterprise itself. Which business departments are reposted by the compliance points sorted out by the management system. These departments have challenged and tested whether the compliance prompts truly follow -up, timely follow, and effective feedback, and still have challenges and tests on many enterprises in terms of execution.

Chinese enterprise compliance management needs: three major discoveries

In order to accurately understand the challenges and needs of corporate compliance management work, Lexisnexis Chinese product team conducted research in different ways. Through online questionnaires (hereinafter referred to as "online survey"), nearly 20 enterprises in different industries are obtained. In addition to online research, the product team also conducted in -depth interviews with potential users (hereinafter referred to as "in -depth interviews"). There are 11 on behalf of the deep interviews, and there is no overlap with the online survey. The product team is composed of legal compliance officers and lawyers, and nearly eight becomes senior managers of the Legal Cooperation Department. Some of the main discoveries are explained below:

First, it is difficult to collect corporate compliance supervision information. Online surveys show that in the "compliance supervision information collection" link, enterprises do not rely on internal arrangement. In fact, more than half of the enterprises have the support of external resources -external law firms have provided or have adopted legal databases. However, on the question of whether "existing resources can fully meet demand", most companies have said "cannot."

Second, the perspective of the industry is the first starting point for corporate compliance. Regarding the perspective or field of obtaining the latest regulatory policies, more than 80%of people focus on "regulatory policies related to the industry". In addition, about 50%of the two areas that the interviewees are concerned about are the eternal theme "corporate governance" and one of the hot spots in recent years "network security data compliance".

The third is that administrative penalties are also the focus of the focus of the Ministry of Enterprise Legal Affairs. During the online survey, in terms of the use of administrative penalties information, more than 80%of the enterprises chose the "Requirement of Industry Penalty Big Data Analysis Report" and "need to collect the punishment of our company and the same". Obviously, the industry -related law enforcement trends are the focus of corporate compliance tracking.

China Compliance Product: "Digital Intelligent" breakthrough

Summarize the development practice of different national compliance products and the data and conclusions of many market research. This research team integrates its own understanding of the needs of Chinese law compliance into the development ideas, and has launched a new product "supervision and early warning" in order to " Empower the industry scene and focus on risk recognition. "

The first feature of "supervision and early warning" is based on the industry as the first angle and the field of key compliance as the second angle. The full amount of regulations is sorted out. Through the combination of automation and manual renew. In other words, "supervision and early warning" can intelligently identify the latest regulatory policies in the industry or the compliance field. When the new policy is introduced, it will prompt on the industry's viewing board, and in some high regulatory industries, its content is more detailed. For example At the level. In terms of reporting and output methods of regulatory policies, it supports the generation of template -based policy supervision reports. The "Supervision and Early Warning" is based on the eight major compliance hotspots and 23 industries.

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Regarding the needs of administrative punishment law enforcement information that everyone generally feedback in the survey, the "regulatory and early warning" has been extracted from different dimensions, so that users can retrieve information from their own attention, retrieve the original text of punishment, generate punishment reports, or obtain visual supervision supervision Trend reminder. The "Supervision and Early Warning" contains punishments made by law enforcement agencies such as municipal supervision, commercial commission, taxation, customs, and customs, and pay special attention to relevant law enforcement agencies such as the Banking Regulatory Commission, the central bank, the foreign exchange management department, and the food and drug supervision bureaus. It also supports the in -depth analysis of the six major dimensions of punishment agencies, punishment measures, reasons for punishment, illegal subjects, regions of punishment, and industries involved, generate punishment reports, and can easily show the trend and focus of law enforcement in a specific time period.

In addition to the processing, information combing and analysis of big data, the "supervision and early warning" provides a monthly report of the industry reported by the lawyer team and editor. Not only did the policy compilation of the month, the report was refined to key policies of specific areas or industries, and there were "expert reviews" to focus on focusing on the focus of the focus of new regulations and compliance. This research team found that different customers have different preferences and personalized needs for system settings, compliance theme settings, and business processes. Therefore, the task allocation and internal information upload in the compliance management system are not the focus of development. In terms of compliance information push and sharing, the "regulatory and early warning" products give users the flexible space and convenient choice of setting, support the content of the information push of information independently according to personalized needs, and easily share with colleagues in the department.

Enterprise compliance "digital intelligence": standard and customized balance

In terms of different customers's needs for system settings, compliance theme settings, and personalization of business processes, review the feedback received in recent years, mainly concentrated in the following three points: look forward to the self -built laws and regulations, and different regulations with internal business processes related to internal business processes Federation and establishing a legal compliance system; tracing massive regulations in accordance with different compliance areas, and at the same time transfer relevant new laws and new regulations to different business teams to know and follow; although there is no requirement for the system, the full process of business compliance is required.

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The first category of customers, most of the state -owned enterprises, are common in enterprises with high confidentiality requirements. Because not all computers can connect to the external network, enterprises should build the law for self -built laws according to their needs. However, in continuous communication and in -depth understanding, this research team saw that enterprises need to establish a concept, that is, the regulatory database and the regulations -based compliance system of the regulatory library belong to different levels of demand. Based on the regulations -based compliance system, it is necessary to require high development costs and long -term and continuous effective maintenance. This requires both professional and technical service providers' professional suggestions, but also in -depth participation of the legal compliance department or business team of the enterprise.

The second type of customers hopes to remind different business departments to follow the regulations related to the industry or enterprise business. Such demand is consistent with the functions of the compliance system under many generals, and it is similar to that of Lexisnexis Japanese products. In the exchanges between this research team and some enterprises, the compliance management system has personalized characteristics. Some technical developers are stationed in the development team to continuously communicate and adjust the enterprise and legal compliance team. It should be noted that how to track the relevant provisions of the corporate compliance system and carry out "foreign regulations" is often the element that most technical developers cannot provide support. In other words, no matter how to design the user's authority and forwarding function, in the two links of "what you follow" and "compliance implementation", without fine content processing and effective maintenance, compliance management cannot be realized.

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The third category of customers has a strong demand for the content tracking of corporate compliance obligations. For whether mature systems are adopted, there is no clear requirements. Traditionally using Excel for compliance obligations. Some large enterprises need to sort out compliance according to their business models and processes. The process itself is time -consuming and laborious, and it is difficult to fully support and continue internally. Some external lawyers provide compliance obligations based on the requirements of the enterprise, but the complete provision of this service is a challenge for the workload of lawyers. If a lawyer fee is calculated in accordance with the workload, companies will often hesitate to budget on the grounds of "just daily compliance rather than significant emergency projects".

It is even more difficult to sort out projects in multiple countries or regions. Different in the country, different national conditions, and different languages, how to take into account the unity and regional differences of the content structure, and take into account the comprehensiveness and details of the content, is not a problem that is easy to coordinate and solve. The international compliance content created by Lexisnexis Australia contains the huge costs of local successful experience, ingenuity, unified product structure, and the simultaneous investment of multinational teams. Even so, this product has encountered some challenges in continuous expansion.

In this regard, this research team suggested that for each enterprise that is willing to establish its own internal customized compliance management system, and intentionally starts from regulatory tracking and supervision outside the functionality, it should be prepared for ideas Considering whether there is sufficient budget, continuous investment, and effective enterprise execution. After communicating with some large enterprises to communicate customized projects, this research team found that many companies are not satisfied with external resources to support their information on their own. In terms of specific content or functions, there are their own ideal blueprints. Even so, this research team suggested that companies consider more personalized improvements on the basis of making full use of external resources. We are also willing to be a partner for corporate compliance system planning, combined with our own experience for customization.

Enterprise compliance management "digital intelligence" is a large topic. The compliance hotspots, industry priorities, the characteristics of the company's own business and organizational structure, demand and cost considerations, etc. Essence However, this research team believes that big topics contain big opportunities and require the detailed exploration and long -term efforts of all parties in the market.

(Author is the product director of China Federation News China)

Editing ｜ Cui Xiaolin

Edit ｜ Wang Qian

School pair ｜ Zhang Bo Zhang Xuehui

This article is published in the "Legal person" magazine in September 2022 Total 223rd Lan Lan column

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