中国企业出口管制合规建设与要点分析

近年来国际形势发生重大复杂的变化,"防扩散"和地区安全成为国际社会关注的焦点。各国纷纷完善自己的出口管制规则和经济制裁法律,限制本国个人及企业在受管制物项和技术方面与受控实体进行交易。随着中国企业国际化程度提高,企业经营中出口管制合规风险频发。本文首先明确了企业合规的概念及其两个关键部分:合规风险的管控和合规管理框架的构建;然后从合规风险管控的角度将研究重点延伸到出口管制合规领域,借鉴多国政府主管部门发布的合规指南,构建了出口管制合规管理的基本框架。最后在总结中国企业出口管制风险的基础上,从产品、交易伙伴、员工、市场及记录保存等方面提出了中国企业海外经营的出口管制合规要点以及完善的建议。

In recent years,the international situation has undergone significant and complex changes,and non-proliferation and regional security have become the focus of international society.Countries have improved their export control regulations and economic sanctions laws to restrict their individuals and enterprises from trading with controlled entities on controlled items and technologies.With the advancement of the internationalization of Chinese enterprises,export control compliance risk occurred frequently.This paper clarifies the concept of enterprise compliance and two key parts of the compliance system:the control of compliance risk and the construction of compliance management framework;from the perspective of compliance risk control,extends the research focus to the field of export control compliance,and constructs the basic framework of export control compliance management with reference to multinational compliance guidelines.Then,on the basis of summarizing the export control risks of Chinese enterprises,the paper puts forward the key points of export control compliance of Chinese enterprises’overseas operations and suggestions for improvement from the aspects of products,trading partners,employees,markets and record keeping.