What is the significance of the chief compliance officer of central enterprises?Detailed explanation of the State Council of the State Council

Zhongxin Jingwei, September 19th. On the 19th, the person in charge of the State -owned Assets Supervision and Regulation Bureau of the State -owned Assets Supervision and Administration Commission of the State Council explained in detail the "Measures for the Administration of Compliance of the Central Enterprise" (hereinafter referred to as the "Measures") that the establishment of the chief compliance officer in the central enterprise is both conducive to both conducive Further clarify the responsibilities of compliance management and implement the responsibilities, and better promote the work of all parties to better promote the work. It also shows that central enterprises attach great importance to strengthening compliance management and positive attitudes. Essence

Regarding the drafting background of the Measures, the person in charge introduced that the Party Central Committee clearly proposed the goal of accelerating the construction of a world -class enterprise. First -class enterprises must have first -class rule of law. In the context of the current international competition is increasingly reflected in the context of rules and legal disputes, the domestic and foreign environment and risk challenges faced by central enterprises are becoming increasingly complicated and severe. The task is steadily advanced in the track of the rule of law.

In 2018, the State -owned Assets Supervision and Administration Commission of the State Council issued the "Guidelines for Compliance Management of Central Enterprises (Trial)" (hereinafter referred to as "Guidelines"). The management of the regulatory management is clearly required. Compared with the "Guidelines", the rigidity constraints are more compared to the "Guidelines".

The person in charge said that specifically, the first is to clarify the responsibilities of the relevant subjects of compliance management. According to the legal person governance structure, the compliance management responsibilities of the enterprise party committee (party group), the board of directors, the manager level, the chief compliance officer and other subjects were stipulated, and the compliance management of the business and functional departments, the compliance management department and the supervision department of the business and functional departments were further clarified. "Dao Defense Line" responsibilities.

The second is to establish a sound compliance management system. The central enterprises are required to formulate the basic system, specific system or special guide to formulate the basic system, specific system or special guidelines, build a classified and classified compliance management system, and strengthen the inspection of the implementation of the system.

The third is to comprehensively regulate the compliance management process. Reacters clear requirements for compliance risk identification and evaluation early warning, compliance review, risk response, problem rectification, and accountability of responsibility to achieve closed -loop management of compliance risks.

The fourth is to actively cultivate compliance culture. It is required that central enterprises are required to learn the topic of the rule of law, business training, and strengthen publicity and education. It has improved the awareness of compliance with all aspects and comprehensively to create a compliant cultural atmosphere.

Fifth, accelerate the construction of compliance management informatization. Promote central enterprises to use information technology to embed the compliance requirements into business processes, use big data and other technologies to carry out real -time dynamic monitoring of key areas and key nodes to achieve instant early warning of compliance risks and rapid disposal.

Regarding the "Measures" clearly stipulates that central enterprises to establish chief compliance officers, the person in charge introduced, from the perspective of the practice of large international enterprises, the establishment of chief compliance officers is a universal practice of the world -class enterprise. The construction and operation of the comprehensive leadership compliance management system played a positive role.

From the actual perspective of central enterprises, in recent years, the compliance management of central enterprises has made positive progress, but the top -level design and overall planning are still not enough, and work collaboration needs to be further strengthened. To this end, some companies have set up chief compliance officers and have achieved good results.

The person in charge also mentioned that the "ISO 37301: 2021) issued by the International Standardized Organization in 2021 clearly stipulates that one person should be responsible for the operation of the compliance management system and enjoy authority. International organizations such as the World Bank and Economic Organization encouraged enterprises to set up chief compliance officers and serve as an important indicator for evaluating the level of compliance management. Therefore, the establishment of the chief compliance officer in central enterprises is not only conducive to further clarifying the responsibilities of compliance management, implementing responsibilities, and coordinating the strength of all parties to promote work. It plays an important demonstration role in promoting compliance in various types of enterprises in accordance with laws.

Regarding the "Measures" clearly stipulated the compliance review, the person in charge pointed out that strengthening compliance review is the first pass to regulate business behavior and prevent the risk of violations. Partial compliance risk. In this regard, the "Measures" put forward higher requirements for compliance review: First, clarify the duties and boundaries of compliance review of various departments. The business and functional departments are responsible for the compliance review of the management behavior of the headquarters, and the compliance management department is responsible for the compliance review of important matters such as rules and regulations, economic contracts, and major decision -making to further clarify their respective division of labor and facilitate the implementation of their duties.

The second is to further enhance the rigidity of compliance review. Enterprises shall take the compliance review as a must -have 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, and further highlight the rigid constraints of compliance review to ensure that "A must -try."

The third is to improve the closed -loop management of compliance review. With reference to the experience and practices of some enterprises, business and functional departments, and compliance management departments continue to improve the review standards, processes, and key points in accordance with their responsibilities and authority, regularly conduct after the review and compliance evaluation of the review. Better support the work of the guarantee center.

In addition, the person in charge mentioned that one of the important reason why the world -class enterprises do well in compliance management is to make full use of modern technology such as big data and artificial intelligence to truly embed the operating management process of compliance, and through data analysis , Intelligent control and other methods to achieve real -time early warning and rapid disposal, and effectively improve management efficiency. Therefore, to adapt to this development trend, the "Measures" seal provisions for the construction of compliance management informatization, and put forward requirements for the real -time dynamic monitoring of key areas and key areas of key areas and key nodes from clearing the main functions, promoting the interconnection with other information systems. Regarding the next work arrangement, the person in charge introduced that the State -owned Assets Supervision and Administration Commission of the State Council will promote the implementation of the requirements of the Measures, improve the institutional mechanism, refine work measures, and implement various tasks. Strengthen the supervision and guidance of the implementation of the Measures, organize and conduct mutual learning between enterprises, and accelerate the shortcomings. At the same time, guiding the provincial -level state -owned assets committees to actively promote the compliance management of the company's funding enterprises, accelerate the overall level of management and management of state -owned enterprises in accordance with the law, and provide more powerful support for deepening reform and high -quality development. (Zhongxin Jingwei APP)

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