The State -owned Assets Supervision Commission issued the "Measures for Compliance Management of Central Enterprise"

Central Enterprise Compliance Management Measures

(August 23, 2022, the State -owned Assets Supervision and Administration Commission of the State Council was ordered to be implemented from October 1, 2022)

Chapter 1 General Principles

Article 1 In order to thoroughly implement Xi Jinping's thinking of the rule of law, implement the strategic deployment of comprehensively governing the country in accordance with the law, deepen the construction of the rule of law, and promote central enterprises to strengthen compliance management, effectively prevent and control risks, and effectively ensure deepening reforms and high -quality development. The laws and regulations of the State -owned Assets Law of the People's Republic of China, "The People's Republic of China Enterprise State -owned Assets Law" formulated these measures.

Article 2 These Measures apply to a central enterprise that the State -owned Assets Supervision and Administration Commission of the State Council (hereinafter referred to as the State -owned Assets Supervision and Administration Commission) in accordance with the authorization of the State Council in accordance with the authorization of the State Council.

Article 3 The compliance referred to in these Measures refers to the management behavior of enterprises and employees' performance in compliance with national laws and regulations, regulatory regulations, industry standards and international treaties, rules, and corporate articles of association, relevant rules and regulations.

The compliance risk referred to in these measures refers to the possibility of corporate and their employees caused legal responsibility, economic or reputation loss, and other negative effects due to illegal acts during the management process.

The compliance management referred to in these measures refers to the purpose of the enterprise the purpose of effective prevention and control compliance risks, with the guidance of improving the management level of compliance in accordance with laws, and targeting corporate management behaviors and employees' performance. Regulations, improvement of operating mechanisms, cultivating compliance culture, strengthening supervision and accountability, etc., organized and planned management activities.

Article 4 The State -owned Assets Supervision Commission is responsible for guiding and supervising the compliance management of central enterprises, evaluating and evaluating the construction of the compliance management system and its effectiveness, and accounting for illegal acts in accordance with relevant regulations.

Article 5 The compliance management of central enterprises shall follow the following principles:

(1) Adhere to the party's leadership. Give full play to the leadership of the party committee (party group) of the enterprise, implement the relevant requirements of the strategic deployment of the country in accordance with the law, and put the party's leadership throughout the entire process of compliance management.

(2) Adhere to comprehensive coverage. The compliance requirements are embedded in all aspects of operation and management, penetrating the entire process of decision -making, implementation, and supervision, and implemented to all departments, units and all employees to achieve multi -party linkage and upper and lower penetration.

(3) Persistence in power and responsibility. In accordance with the requirements of the "management business must be managed", clarify the duties of business and functional departments, compliance management departments and supervision departments, strictly implement employee compliance responsibilities, and serious accountability for illegal acts.

(4) Persist in pragmatic and efficient. Establish and improve the compliance management system that meets the actual enterprise, highlight the management of key areas, key links, and important personnel, make full use of informationization methods such as big data, and effectively improve management efficiency.

Article 6 Central enterprises shall provide necessary conditions for compliance management in terms of institutions, personnel, funds, and technology to ensure the orderly implementation of relevant work.

Chapter 2 Organization and Responsibilities

Article 7 The leadership role of the Central Enterprise Party Committee (Party Group) play a leading role in the direction, the overall situation, and the promotion of implementation, and promotes the requirements of compliance requirements to strictly follow and implement it in the enterprise, and continuously improve the level of management and management in accordance with the law.

Central enterprises should strictly abide by the party's regulations and systems. Under the leadership of the party committee (party group), the party building work institutions of the enterprise shall fulfill their corresponding responsibilities in accordance with relevant regulations and promote the effective implementation of relevant party regulations and systems in accordance with relevant regulations.

Article 8 The board of directors of the central enterprise plays a strategy, make decisions, and prevent risk prevention, and mainly fulfill the following responsibilities:

(1) Review and approve the basic system, system construction plan, and annual report.

(2) Research and decide major matters of compliance management.

(3) Promote the improvement of the compliance management system and evaluate its effectiveness.

(4) Determine the setting and responsibilities of the compliance management department.

Article 9 The central enterprise manager plays the role of conspiracy, implementation, and strong management, and mainly fulfills the following responsibilities:

(1) The construction plan for formulating the compliance management system is formulated, and the organization is implemented after approval by the board of directors.

(2) The basic system of compliance management is formulated, the annual plan is approved, and the specific system of compliance management is organized.

(3) Organization should respond to major compliance risk events.

(4) Guide and supervise the compliance management of various departments and units.

Article 10 The main person in charge of the central enterprise, as the first responsible person to promote the construction of the rule of law, shall effectively fulfill the responsibilities of important organizers, promoters and practitioners in accordance with laws and regulations, and actively promote the work of compliance management.

Article 11 The establishment of a compliance committee for the establishment of a central enterprise may work with the leading agency of the rule of law construction, coordinate and coordinate compliance management, and regularly hold meetings to study and solve key difficulties.

Article 12 The central enterprise shall establish the chief compliance officer in accordance with the actual situation, and shall not add the number of leadership positions and positions. Strengthen compliance management.

Article 13 The business and functional departments of the central enterprise shall bear the responsibility of compliance management, and mainly fulfill the following responsibilities:

(1) Establish and improve the business compliance management system and process of the department, carry out compliance risk identification and evaluation, prepare risk lists and response plans.

(2) Regularly sort out the risks of compliance with key positions and incorporate the requirements of compliance in the job responsibilities.

(3) Responsible for the compliance review of the operation and management behavior of the headquarters.

(4) Report the risk of compliance in a timely manner, organize or cooperate with the response disposal.

(5) Organization or cooperation with investigation and rectification of violations of regulations. Central enterprises shall set up compliance administrators in the business and functional departments, and will be held by the backbone of the business to receive business guidance and training of the compliance management department.

Article 14 The compliance management department of the central enterprise is responsible for the compliance management of the enterprise, and the following responsibilities are mainly performed:

(1) Organize the basic system, specific system, annual planning and work report of compliance management.

(2) Responsible for the review of rules and regulations, economic contracts, and major decision -making compliance.

(3) Organize compliance risk identification, early warning and response, and conduct evaluation of the effectiveness of the compliance management system in accordance with the authorization of the board of directors.

(4) Acceptance of illegal reports within the scope of responsibilities, put forward classification and disposal opinions, organize or participate in investigations of illegal acts.

(5) Organize or assist business and functional departments to carry out compliance training, accept compliance consulting, and promote the construction of compliance management informatization.

Central enterprises should be equipped with full -time compliance management personnel who are suitable for business scale, business scope, and risk levels to strengthen business training and improve the level of professionalism.

Article 15 The central enterprise discipline inspection and supervision agencies and audit, inspection inspections, supervision and accountability departments shall supervise the implementation of compliance requirements within the scope of authority, investigate violations, and conduct accountability in accordance with regulations.

Chapter III System Construction

Article 16 Central enterprises shall establish and improve the compliance management system, and build a classified classification compliance management system according to the scope of application and effectiveness.

Article 17 Central enterprises shall formulate a basic system of compliance management and clarify the overall goals, institutional duties, operating mechanisms, assessment and evaluation, supervision and accountability, etc.

Article 18 Central enterprises shall formulate specific areas of compliance management or special systems or specialized systems or specialized systems or specialized risks for anti -monopoly, anti -commercial bribery, ecological environmental protection, safety production, labor, tax management, data protection, and data protection. guide.

Central enterprises should formulate special compliance management systems in accordance with the important areas of foreign -related businesses, in accordance with the laws and regulations of the country (region), etc.

Article 19 The central enterprise shall promptly revise and improve the rules and regulations in accordance with the changes in laws and regulations, regulatory policies and other changes, and check the implementation of the implementation.

Chapter 4 Operation Mechanism

Article 20 Central enterprises shall establish an early warning mechanism for compliance risk identification and evaluation, comprehensively sort out compliance risks in operating management activities, establish and update the compliance risk database regularly, and conduct the possibility, impact, and potential consequences of risks. Analysis is timely warning for typical, universal or possible risks that may have serious consequences.

Article 21 The central enterprise shall use the compliance review as a must -have procedure into the business management process. The compliance review opinions of major decision -making matters shall be signed by the chief compliance officer to make clear opinions on the compliance of decision -making matters. The business and functional departments and compliance management departments will regularly conduct a regular review of review standards, processes, and key points in accordance with their duties and authority.

Article 22 The risk of compliance with central enterprises shall take timely response measures and report measures in accordance with regulations.

Central enterprises have caused major legal disputes, major administrative penalties, criminal cases, or major compliance risk incidents such as international organizations, or may cause major asset loss or serious adverse effects that may cause major assets of assets in the enterprise, which shall be shall be by the chief compliance officer. Take the lead, coordinate the compliance management department, cooperate with relevant departments, and take timely measures to respond properly.

A major compliance risk incident in central enterprises shall report to the SASAC in a timely manner in accordance with relevant regulations.

Article 23 Central enterprises shall establish a rectification mechanism for violations of regulations. Through the improvement of rules and regulations, optimize business processes, etc., we will block management vulnerabilities and improve the level of management and management in accordance with the law.

Article 24 The central enterprise shall establish a platform for violation of regulations, publish report telephones, mailboxes or mailboxes, and relevant departments accept illegal reports in accordance with their duties, and investigate and deal with the reporting issues. Responsibility departments; those who are suspected of disciplinary violations shall be transferred to relevant departments or institutions such as disciplinary inspection and supervision in accordance with regulations.

Central enterprises should strictly keep the identity and reporting matters of the reporter, and the reporters who are reported can be given appropriate rewards. No unit or individual can retaliate against the reporter in any form.

Article 25 The central enterprise shall improve the accountability mechanism of accountability of violations, clarify the scope of responsibility, refine the accountability standards, and conduct investigations in a timely manner for problems and clues, and seriously investigate the responsibility of illegal personnel in accordance with relevant regulations.

Central enterprises shall establish a system of operating management and employee's performance records of employees, and take the important basis for the nature, number of occurrence, and harm of illegal behavior as the nature of the nature, the number of occurrence, and the degree of harm.

Article 26 Central enterprises shall strengthen coordinated coordination and coordination in combination with actual conditions to establish and improve compliance management and legal management, internal control, and risk management to avoid cross -repetition and improve management efficiency.

Article 27 Central enterprises shall regularly carry out the effective evaluation of the compliance management system, and conduct special evaluations in a timely manner for the compliance management of key business, and strengthen the use of evaluation results.

Article 28 Central enterprises shall take compliance management as an important part of the construction of the rule of law and incorporate the assessment and evaluation of their units. Chapter 5 Compliance Culture

Article 29 Central enterprises shall incorporate compliance management into the special study of the rule of law (party group) of the party committee (party group), promote corporate leaders to strengthen compliance awareness, and take the lead in carrying out business management activities in accordance with laws and regulations.

Article 30 Central enterprises shall establish a normalized compliance training mechanism, formulate annual training plans, and use compliance management as manager, key position personnel and new employee training content.

Article 31 Central enterprises shall strengthen compliance promotion and education, timely release compliance manuals, and organize a compliance commitment to strengthen all employees' awareness of compliance with integrity and compliance.

Article 32 Central enterprises shall guide all employees to consciously practice compliance concepts, comply with compliance requirements, receive compliance training, be responsible for their own behavior compliance, and cultivate compliance culture with corporate characteristics.

Chapter 6 Information Construction

Article 33 Central enterprises shall strengthen the construction of compliance management informatization, and incorporate the compliance system, typical cases, compliance training, and illegal behavior records in combination with the actual situation.

Article 34 Central enterprises shall regularly sort out business processes, find compliance risk points, and embed compliance requirements and prevention and control measures into the process by using informatization methods, strengthen compliance review for key nodes, and strengthen process control.

Article 35 Central enterprises shall strengthen the interconnection of compliance management information systems and other information systems such as finance, investment, and procurement to achieve sharing of data sharing.

Article 36 Central enterprises shall use technologies such as big data to strengthen real -time dynamic monitoring of key areas and key nodes, and realize instant early warning of compliance risks and rapid disposal.

Chapter 7 Supervision and Accountability

Article 37 If a central enterprise violates the provisions of these Measures, if the compliance management is not in place, it will cause violations of regulations, and the SASAC may interview relevant enterprises and instructed to rectify; if it causes losses or adverse effects, the SASAC will carry out accountability in accordance with relevant regulations.

Article 38 The central enterprise shall not find illegal issues due to intentional or major negligence during the performance of the duties, or the discovery of violations of the rules and malfeasances, and the units and personnel who cause losses or adverse effects on the enterprise account for accountability. Essence

Chapter 8 Attachment

Article 39 Central enterprises shall formulate and improve the compliance management system in accordance with these Measures, and promote the establishment of a sound compliance management system.

Article 40 Local state -owned assets supervision and management agencies guide the company's investment enterprises to strengthen compliance management with reference to these measures.

Article 41 The SASAC is responsible for the interpretation of the SASAC.

Article 42 These Measures will be implemented from October 1, 2022.

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