企业合规风险评估的基本问题

Basic Issues of Corporate Compliance Risk Assessment

合规管理是一种以风险为导向的管理活动。为开展有效的合规管理,需要建立一种科学的合规风险评估机制。合规风险评估应建立在准确界定合规风险领域的前提之下,确保企业发现合规风险所发生的法律适用领域,由此限定合规风险评估的基本范围。在此基础上,合规风险评估可以包括合规风险识别、分析和评价三个环节,企业在这些环节中需要完成合规风险点的确认、合规风险原因的揭示以及合规风险等级的划定等工作,并确定合规风险管理的优先顺序。企业运用合规风险评估的结果,可以根据成比例原则,建立一套有针对性的合规风险预防、监控和应对体系,达到有效控制合规风险、预防违法违规行为发生的管理目标。

Compliance management is a risk oriented management activity.To carry out effective compliance management,it is necessary to establish a scientific compliance risk assessment mechanism.Compliance risk assessment should be established on the premise of accurately defining the areas of compliance risk,ensuring that enterprises discover the legal application areas where compliance risks occur,thereby limiting the basic scope of compliance risk assessment.On this basis,compliance risk assessment can include three stages:compliance risk identification,analysis,and evaluation.In these stages,enterprises need to complete the confirmation of compliance risk points,disclosure of compliance risk reasons,and delineation of compliance risk levels,and determine the optimal order for compliance risk management.By applying the results of compliance risk assessment,enterprises can establish a targeted compliance risk prevention,monitoring,and response system based on the principle of proportionality,achieving the management goal of effectively controlling compliance risks and preventing illegal and irregular behaviors.