国有企业合规管理体系建设的探索

Exploring the Construction of the Compliance Mechanism Of State-Owned Enterprises

2022年9月16日,国务院国资委在其官网上正式发布了《中央企业合规管理办法》。与2018年颁布的《中央企业合规管理指引(试行)》相比,《中央企业合规管理办法》无疑更为完善和实用,也标志着央企的合规管理工作已走向“强化”阶段。本文从企业合规的基本概念入手,重点分析了建立国有企业合规管理体系的意义以及国有企业合规管理体系的建设过程,比如强化合规管理,认真抓好“五个一”,明确国有企业合规的基本原则,明确企业内部的合规管理职责,完善合规管理运行机制、加强合规管理保障机制及营造企业合规管理环境等。最后,从合规问题的中国化谈起,尝试提出如何从行政及监管领域进行合规管理的引导与激励。

On September 162022,the State-owned Assets Supervision and Administration Commission(“SASAC”)of the State Council officially promulgated the Measures for the Compliance Management of Centrally Administered Enterprises(hereinafter referred to as the“Compliance Management Measures”)on its official website.Compared with the Guidelines for the Compliance Management of Centrally Administered Enterprises(hereinafter referred to as the“Guidelines for the Compliance Management”)promulgated in 2018,the Compliance Management Measures are undoubtedly improved and more practical,and it also indicates that the compliance management work of the central government and state-owned enterprises has moved toward a stage of“enhancement”.Starting from the basic concepts of compliance,this article focuses on analyzing the significance of compliance management of state-owned enterprises and how to promote corporate compliance,such as strengthening compliance management and making full use of the“Five Ones”;specifying the basic principles for the compliance of state-owned enterprises;internal compliance management responsibilities of enterprises;strengthening the guarantee mechanism for compliance management and creating a compliance culture,etc.Finally,starting from the Sinicization of compliance issues,this article tries to put forward how to carry out compliance management and incentives in the fields of administration,criminal litigation and administrative supervision.