Shenzhen will establish corporate compliance local standards to provide accurate "compass" for corporate compliance construction

Ou Xue Shenzhen, a reporter from Southern Finance and Economics, reported that in order to promote the construction of the compliance demonstration zone, Shenzhen has taken a big step in corporate compliance and is about to establish local standards for corporate compliance.

Recently, the Shenzhen Municipal Bureau of Justice has publicly solicited from all walks of life on the "corporate compliance management system (draft for comments)" (hereinafter referred to as the "Enterprise Compliance Management System").

The "Enterprise Compliance Management System" mainly stipulates the provisions of the establishment, implementation, evaluation, maintenance, and improvement of the compliance management system of Shenzhen enterprises (operators). It is suitable For compliance self -assessment and third aspects, compliant evaluations are carried out to Shenzhen enterprises (operators).

Solve the blind spots of corporate compliance

In recent years, the term "compliance" has gradually entered the public vision. For enterprises, an effective compliance management system can not only indicate that the organization commitments and always are committed to compliance with relevant compliance obligations, but also show that the organization has the ability to continue to improve with the continuous improvement of compliance obligations.

Liu Yanyan, a partner of Guangdong Zhuojian Law Firm and director of the State -owned Enterprise Compliance Research Center of Zhuojian Compliance Research Institute, said that from the perspective of the National Assets Commission, the state -owned enterprise compliance compared with private enterprise compliance compliance with comparison of compliance of private enterprises to promote It is fast, and the compliance construction of ordinary private enterprises is still in a relatively basic stage.

As a pioneer of Chinese compliance management, the central enterprise completed the first stage of compliance construction in May 2021, and entered the "year of compliance management" in 2022. Liu Yanyan said that for Shenzhen, the compliance construction of state -owned enterprises in municipalities is currently in the stage of pilot deepening. In terms of private enterprise compliance, Shenzhen has the earliest batch of corporate compliance pilot procuratorates, and the company's corporate compliance is at the forefront of the country.

In March 2020, Shenzhen Baoan District was listed as one of the first phase of the first phase of the first phase of the compliance reform of the country in the country. Construction Optimizing the Law of the Law Business Environment Work Plan ".

By January 2021, the Shenzhen Municipal Bureau of Justice, the Commerce Bureau and the SASAC signed a strategic cooperation agreement to jointly help the Shenzhen Construction Compliance Demonstration Zone.

In July 2021, the "Shenzhen People's Procuratorate Enterprise Compliance Office" was established. The Shenzhen Procuratorate and 11 grassroots institutions in the city were all included in the pilot reform of the second phase of the corporate compliance reform, and the "Shenzhen People's Procuratorate Enterprise Cooperation Measures for the Implementation of the Regulations (Trial) "and" Interim Provisions on Management of Management of Third -Party Supervision and Evaluation Mechanism and Third -Party Supervisor ".

In August 2021, the Shenzhen Judiciary Bureau issued the "Guiding Opinions on Promoting the Construction of the Urban Compliance System (Draft for Soliciting Opinions)". In September of the same year, four companies including investment control companies, subway groups, Shenzhen Industry Group, and Guoxin Securities carried out pilot construction of compliance management system construction, and provided demonstration experience for Shenzhen's full system compliance construction. At present, the scope of compliance construction pilot is gradually expanding.

The preparation instructions of the above -mentioned "Enterprise Compliance Management System" pointed out that companies generally lack compliance cultural construction, unreasonable construction system construction system construction, weak professional ability, and difficulty in governance of subsidiaries. Human and material resources are invested in compliant research and development.

Liu Yanyan also believes that the main problem with the construction of corporate compliance is the insufficient awareness of the importance of compliance and the benefits of compliance construction. I do not know how to effectively carry out the compliance system construction work.

The "Enterprise Compliance Management System" provides a clear guide for the development of Shenzhen's enterprise, which can better solve the blind spots in the current compliance of Shenzhen enterprises.

The system is clearer, the focus is more clear

In the past few years, Shenzhen's business environment reform iterates from version 1.0 to version 5.0, and the main body of business has also been active. According to data from the Shenzhen Enterprise Registration Bureau and Shenzhen Standard Technology Research Institute, in the first quarter of 2022, the total cumulative total of Shenzhen commercial entities reached 3.854 million, and 88,000 newly registered commercial entities, including 52,000 newly registered enterprises, accounting for the proportion, accounting for the proportion 59.5%.

For Shenzhen, an exterior economy city, the number of enterprises is large and rapid, and it is a cornerstone of sustainable development.

In the context of the increasingly strict regulatory supervision at home and abroad, Shenzhen integrates the forces of all parties. Based on the work that has been carried out and the international standard ISO 37301 and the national standard GB/T 35770, the current status of compliance with Shenzhen enterprises, the current status of compliance, and the current status of compliance, and Difficulties and needs, from the three levels of basic principles, compliance areas, and three levels of special fields, compile the "Enterprise Compliance Management System" for corporate compliance evaluation.

Liu Yanyan said that the "Enterprise Compliance Management System" mainly has two major highlights.

The first point is that the compliance management system is clearer. The international standard ISO 37301 and national standard GB/T 35770 delineate the process framework of the compliance management system, allowing companies to understand the skeleton of the corporate compliance system. On the basis of these frameworks, the "Enterprise Compliance Management System" refine the key issues in the construction of corporate compliance, which not only allows enterprises to recognize the compliance system skeleton, but also allows enterprises to understand the filling and coordination and reference. Specific rules of the system.

The second point is that the guidelines for key areas are more clear.Article 6 of the "Enterprise Compliance Management System" is the biggest highlight of the special field and management. In the "special field" section, it proposes specific measures for how to strengthen compliance management for 16 special areas.Construction no longer confused.Southern Finance and Economics reporters learned that in 2021, the Shenzhen Judiciary Bureau formed the "Shenzhen Enterprise Compliance Management System Certification Standard (Draft for Opinions)" (hereinafter referred to as the "Certification Standard"), this "Enterprise Compliance Management System》 It is further deepened on the basis of the content of the previous document.

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