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企业合规的本土化演变——从企业刑事合规到企业“大合规”体系 被引量:5
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作者 毛玲玲 《上海政法学院学报(法治论丛)》 2023年第2期86-102,共17页
企业刑事合规制度从理论层面发端于移植或借鉴美国“企业守法计划”等域外经验,早期以“合规不起诉”为内容,但从制度理念和目标的角度来看,作为新时期社会治理创新的内容,显然并不能止步于此,而是演变为对建构符合本国国情的企业“大... 企业刑事合规制度从理论层面发端于移植或借鉴美国“企业守法计划”等域外经验,早期以“合规不起诉”为内容,但从制度理念和目标的角度来看,作为新时期社会治理创新的内容,显然并不能止步于此,而是演变为对建构符合本国国情的企业“大合规”体系的探索。企业“大合规”体系的价值包括:从新型社会治理角度,是出于预判式防范法律风险和预防犯罪的目的;从企业营商环境的角度,是以回应式治理,整合多方共治优化营商环境;从企业经营发展角度,是企业以管理风险的方式主动有效地防控法律风险。从刑事合规到企业“大合规”体系本土化演变的探索包括以下内容:适用范围从以大型企业为范本到我国以中小微企业为主的实践转向;适用机制从刑案处置的“轻罪不起诉”或“认罪认罚”到构建全程回应型规制和执法机制;适用主体的作用从牵头、负责合规工作到组织、协调合规各方力量;适用目标从“形式”合规到“有效”合规。 展开更多
关键词 企业刑事 企业大合规体系 社会治理创新
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大合规体系下企业合规文化的功用及其本土化培育 被引量:4
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作者 樊王义 《南海法学》 2023年第3期34-45,共12页
舶来于美国的企业合规理念在本土演化为行政机关主导的行政合规和刑事诉讼中的涉案企业合规的区隔发展格局,并且美国《联邦量刑指南》中对合规文化的青睐并未在本土合规实践中得到应有重视。以价值观念为核心的文化因素,是诱发企业违法... 舶来于美国的企业合规理念在本土演化为行政机关主导的行政合规和刑事诉讼中的涉案企业合规的区隔发展格局,并且美国《联邦量刑指南》中对合规文化的青睐并未在本土合规实践中得到应有重视。以价值观念为核心的文化因素,是诱发企业违法犯罪的深层次因素。随着制度移植的深入,实践遭遇“纸面合规”难题,学界越来越呼唤行政合规与刑事合规的耦合发展,在行刑一体的大合规体系中发挥合规文化的濡化作用。合规文化在价值功用上体现为个案中企业有效合规的实质标准,以及宏观上风险社会的一般预防、合作式司法趋势的时代因应、中华优秀传统法律思想的当代表达。 展开更多
关键词 企业 行政 刑事 大合规体系 文化
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构建1446大合规智慧管理体系 被引量:1
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作者 郑杨 陈洁荣 《企业管理》 2022年第12期23-25,共3页
广西桂冠电力股份有限公司(以下简称桂冠电力)在“合规管理强化年”背景下,通过整合法律、合规、风险、内控资源,构建“1446”大合规智慧管理体系,通过“一抓手、四标化、四协同、六手册”,实现合规管理目标。“一抓手”指以法治框架下... 广西桂冠电力股份有限公司(以下简称桂冠电力)在“合规管理强化年”背景下,通过整合法律、合规、风险、内控资源,构建“1446”大合规智慧管理体系,通过“一抓手、四标化、四协同、六手册”,实现合规管理目标。“一抓手”指以法治框架下法律、合规、风险. 展开更多
关键词 桂冠电力 大合规智慧管理 一抓手 四标化 四协同 六手册
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大合规背景下的国有企业风险防控体系 被引量:1
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作者 郭海清 《质量与市场》 2021年第6期80-82,共3页
随着党的十八大提出"全面依法治国"的战略部署,企业法治建设步入全新阶段。为提升企业管理水平,增强市场竞争力,防范各类风险,国有企业应在大合规管理理念下,增强对企业经营活动全过程风险把控。为优化资源配置,企业应将"... 随着党的十八大提出"全面依法治国"的战略部署,企业法治建设步入全新阶段。为提升企业管理水平,增强市场竞争力,防范各类风险,国有企业应在大合规管理理念下,增强对企业经营活动全过程风险把控。为优化资源配置,企业应将"合规+内控+廉政+风险"等要求进行有效融合,发挥合力作用,达到风险管控多措合一、精简高效。 展开更多
关键词 大合规 国有企业 风险防控
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“大合规”背景下国有企业推进合规管理体系建设的探索与实践 被引量:1
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作者 马明远 《中文科技期刊数据库(全文版)社会科学》 2021年第10期33-35,共3页
在国家“大合规”的新时代管理背景下,国有企业以实现依法合规、满足监管、防范风险、提升效率为目标,围绕企业重点合规业务环节、合规风险管控薄弱领域,不断增强全员合规意识、明确合规责任、深化合规基础管理、依托信息化手段解决合... 在国家“大合规”的新时代管理背景下,国有企业以实现依法合规、满足监管、防范风险、提升效率为目标,围绕企业重点合规业务环节、合规风险管控薄弱领域,不断增强全员合规意识、明确合规责任、深化合规基础管理、依托信息化手段解决合规问题等,努力建设出具有业务协同全覆盖、重点突出实用性、动态适应标准化等特点的“大合规”管理体系。从而形成合规风险预警有效、合规审查流程完善、违规处罚机制健全的闭环、长效合规管理机制,实现国家法律法规、行业准则、监管要求等合规监管要求。 展开更多
关键词 管理体系 大合规 风险
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企业前控合规管理体系建设的研究
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作者 毛丽君 《管理学家》 2024年第13期80-82,共3页
近年来,企业合规管理是各级行政机关、检察机关、中央企业、地方国企和不少民企的热门话题。根据国务院、最高人民检察院等规定,企业合规是指涉案企业事后的行政合规、刑事合规或行刑交叉合规,即行政监管机构对违反行政监管规定的企业... 近年来,企业合规管理是各级行政机关、检察机关、中央企业、地方国企和不少民企的热门话题。根据国务院、最高人民检察院等规定,企业合规是指涉案企业事后的行政合规、刑事合规或行刑交叉合规,即行政监管机构对违反行政监管规定的企业作出行政处罚时,对违法事项发出“行政指导书”并要求企业通过完善内部规章制度的方式进行合规整改,或者检察机关对经营中违法犯罪的企业提出合规整改建议,企业通过第三方监督评估机构验收后,检察机关作出相对不起诉的出罪决定。最近两三年企业如火如荼开展的合规管理,主要是指案发前的前控合规管理,与上述“合规管理”的内涵和外延均有所不同,值得进一步挖掘、思考和解读。 展开更多
关键词 前控 大合规 管理 文化
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创新背景下我国证券公司合规风险管理研究 被引量:9
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作者 邓小勇 《金融发展研究》 2013年第7期74-79,共6页
自券商创新大会以来,证券公司创新业务迅速发展,证券行业迎来了从传统业务向创新业务转型的新机遇。但是,在新业务发展和新产品推出的同时,合规风险管理也暴露出一些问题。合规风险管理的职责不清、独立性不强、方式单一等问题制约了我... 自券商创新大会以来,证券公司创新业务迅速发展,证券行业迎来了从传统业务向创新业务转型的新机遇。但是,在新业务发展和新产品推出的同时,合规风险管理也暴露出一些问题。合规风险管理的职责不清、独立性不强、方式单一等问题制约了我国证券公司合规风险管理的有效性。因此,充分认识业务创新与合规风险管理的关系,熟悉创新背景下合规风险的特征,构建"大合规"系统,有助于提高证券公司合规风险管理水平,为创新业务发展保驾护航。 展开更多
关键词 金融创新 风险 大合规”系统
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Novel process for large scale synthesis of N-(4-hydroxyphenyl) retinamide 被引量:1
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作者 吴晓晴 余佳 吉民 《Journal of Southeast University(English Edition)》 EI CAS 2008年第2期247-249,共3页
A method to synthesize anticancer drug N-( 4- hydroxyphenyl) retinamide (4-HPR)on a large scale is described. It consists of the preferred steps of reacting all-trans retinoic acid with thionyl chloride to form re... A method to synthesize anticancer drug N-( 4- hydroxyphenyl) retinamide (4-HPR)on a large scale is described. It consists of the preferred steps of reacting all-trans retinoic acid with thionyl chloride to form retinoyl chloride and then reacting with triethylamine to generate retinoyl ammonium salt which in turn is reacted with p-aminophenol to eventually produce 4-HPR. This process can overcome many scale-up challenges that exist in the methods reported in the literature and provide an easy, mild and high yield route for large scale synthesis of 4-HPR. Moreover, the effects of the molar ratios of the reagents on the yield are examined. The best molar ratios are a 2.0 molar equivalence of thionyl chloride and a 3.0 molar equivalence of paminophenol to retinoic acid, and the total yield is 80. 7%. 展开更多
关键词 4-HPR large scale SYNTHESIS ANTICANCER
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Modeling and Simulation of Heterogeneous Catalyzed Propylene Polymerization 被引量:2
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作者 刘兴高 《Chinese Journal of Chemical Engineering》 SCIE EI CAS CSCD 2007年第4期545-553,共9页
A novel mathematical model for single particle slurry propylene polymerization rising heterogeneous Ziegler-Natta catalysts has been developed to describe the kinetic behavior, the molecular weight-distribution, the m... A novel mathematical model for single particle slurry propylene polymerization rising heterogeneous Ziegler-Natta catalysts has been developed to describe the kinetic behavior, the molecular weight-distribution, the monomer concentration, the degree of polymerization, the polydispersity index (PDI), etc. This model provides a more valid mathematical description by accounting for the monomer diffusion phenomena at two levels as multigrai model counts, and obtains results that are more applicable to the conditions existing in most polymerizations of industrial interest. Considering that some models on the mesoscale phenomena are so complex that some existingmodeling aspects have to be simplified or even neglected to make the model convenient for use in interesting engineering studies, it is very important to put some effort into determining what sort of numerical analysis works bestfor these problems. For this reason, special attentionis.paid to these studies to explorean efficient algorithm usingadaptive grid-point spacing in a tlnlte-ditterence technique to tlgure out more practical mass transport models andconvection-diffusion models efficiently. The reasonable outcomes, as well as the significant computation time saving, have been achieved, thereby displaying the advantage of this calculation method. 展开更多
关键词 modeling and simulation propylene polymerization mass transfer diffusion and convection
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AN APPROXIMATE REASONING METHOD IN DEZERT-SMARANDACHE THEORY 被引量:3
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作者 Li Xinde Wu Xuejian Sun Jiaming Meng Zhengda 《Journal of Electronics(China)》 2009年第6期738-745,共8页
With the increment of focal elements number in discernment framework,the computation amount in Dezert-Smarandache Theory (DSmT) will exponentially go up. This has been the bottleneck problem to block the wide applicat... With the increment of focal elements number in discernment framework,the computation amount in Dezert-Smarandache Theory (DSmT) will exponentially go up. This has been the bottleneck problem to block the wide application and development of DSmT. Aiming at this difficulty,in this paper,a kind of fast approximate reasoning method in hierarchical DSmT is proposed. Presently,this method is only fit for the case that there are only singletons with assignment in hyper-power set. These singletons in hyper-power set are forced to group through bintree or tri-tree technologies. At the same time,the assignments of singletons in those different groups corresponding to each source are added up respectively,in order to realize the mapping from the refined hyper-power set to the coarsened one. And then,two sources with the coarsened hyper-power set are combined together according to classical DSm Combination rule (DSmC) and Proportional Conflict Redistribution rule No. 5 (PCR5). The fused results in coarsened framework will be saved as the connecting weights between father and children nodes. And then,all assignments of singletons in different groups will be normalized respectively. Tree depth is set,in order to decide the iterative times in hierarchical system. Finally,by comparing new method with old one from different views,the superiority of new one over old one is testified well. 展开更多
关键词 Approximate reasoning Information fusion HIERARCHICAL Dezert-Smarandache Theory (DSmT)
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Arterial traffic signal coordination model considering buses and social vehicles 被引量:5
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作者 Zhang Weihua Li Jun Ding Heng 《Journal of Southeast University(English Edition)》 EI CAS 2020年第2期206-212,共7页
Considering the difference in driving parameters of buses and social vehicles on the arterial,an arterial traffic signal coordination model that takes into account social vehicles and buses on the basis of the maximum... Considering the difference in driving parameters of buses and social vehicles on the arterial,an arterial traffic signal coordination model that takes into account social vehicles and buses on the basis of the maximum bandwidth is proposed.By using the pre-set parameters of a common cycle,green/red duration and known parameters of bus dwell time distribution,link length and vehicle speed and solving the mixed-integer-linear programming and optimizing the signal offsets,the model obtains the signal control parameters of the green bands both of social vehicles and buses.Finally,taking Wangjiang Road in Hefei as an example,simulation and evaluation are carried out by VISSIM.The results show that the new model has 15.2%and 13.2%reduction in average person delay and number of stops,respectively,compared with the traditional coordinated control method. 展开更多
关键词 arterial coordination control buses coordination maximum bandwidth mixed-integer-linear programming
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Does School Enterprise Cooperation Promote Students' Occupation Career Planning: On the Inspirational Experience of School-enterprise Cooperation from Developed Countries
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作者 Chen Huifang 《Review of Global Academics》 2014年第2期153-159,共7页
This paper systematically introduces the advantages of several developed countries, i.e., in Britain, Germany, the USA and other developed countries. The author mainly discusses some advanced school enterprise coopera... This paper systematically introduces the advantages of several developed countries, i.e., in Britain, Germany, the USA and other developed countries. The author mainly discusses some advanced school enterprise cooperation models and in combination with China's national conditions, the author examines what we should do and in what ways we should learn from them and improve, in order to facilitate the cooperation education in line with the development of China, thus contributing to the students' occupation career planning in vocational colleges. Therefore, this article has certain reference values. 展开更多
关键词 School-enterprise Cooperation Occupation Education Personnel TrainingMode Occupation Career Planning
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A new procedure for determining dry density of mixed soil containing oversize gravel
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作者 Hamed Farshbaf AGHAJANI Masoud Ghodrati YENGEJEH +1 位作者 Amirmohammad KARIMZADEH Hossein SOLTANI-JIGHEH 《Journal of Central South University》 SCIE EI CAS CSCD 2018年第12期2841-2856,共16页
This paper presents a novel computational procedure for the maximum dry density of mixed soils containing oversize particles.At first,the large-scale compaction test data for mixed soils are analyzed by an artificial ... This paper presents a novel computational procedure for the maximum dry density of mixed soils containing oversize particles.At first,the large-scale compaction test data for mixed soils are analyzed by an artificial neural network to determine the main factors affecting the compaction.These factors are then imposed on a genetic programming method and a new mathematical equation emerges.The new equation has more conformity with the experimental data in comparison with the previous correction methods.Besides,the mixed soil dry density is associated with most base soil and oversize fraction specifications.With regard to the sensitivity analyses,if the mixed soil contains high percentages of oversize fraction,the mixed soil composition is governed by the specification of oversized grains,such as specific gravity and the maximum grain size and by increasing these factors,the mixed soil dry density is increased.In mixed soil with a low content of oversize,the base soil specification mainly controls the compaction behavior of mixed soil.Furthermore,if the base soil is inherently compacted with greater dry density,adding the oversize slightly improves the mixed soil dry density.In contrast,adding oversized grains to the base soil with a lower dry density produces a mixed soil with greater dry density.By increasing the maximum grain size difference between the oversize fraction and base soil,the dry density of mixed soil is enhanced. 展开更多
关键词 mixed soil oversize COMPACTION genetic programming artificial neural network
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Japanese Cooperation for Urban Planning in the Old Capital of Damascus
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作者 Kosuke Matsubara 《Journal of Civil Engineering and Architecture》 2013年第4期487-505,共19页
Historic cities are cultural achievements that are gradually created by inhabitants over the centuries. In developed countries, the conservation of historic cities seems to be generally acknowledged as a method of com... Historic cities are cultural achievements that are gradually created by inhabitants over the centuries. In developed countries, the conservation of historic cities seems to be generally acknowledged as a method of community development that does not depend on huge exploitation. On the other hand, no sufficient countermeasures have been taken in developing countries because most native stakeholders are still interested in development. Here the author could focus on so-called "international cooperation", but urban conservation for historic cities where inhabitants actually live is still a minor consideration except for some government-based conservation projects for monuments and isolated examples of cultural heritage. In this paper, the example was taken of a conservation project which has been carried out by JICA (Japanese International Cooperation Agency) in Damascus, the old capital of Syria. The target area for the project is "Qanawat South". Although the origin of"Qanawat South" dates back to the Roman age, efforts for urban conservation have not been well organized, partly because the area is located outside of the so-called old city registered as a world heritage site. For example, the master plan of 1968 indicated the redistribution of the traditional quarters, while some conservation laws have been restricting the regeneration of the area. Moreover, there is not yet any consensus among the stakeholders concerning the historical value of the quarter, they are still questioning why the area should be conserved rather than being freely sold or developed and what and how they should contribute to conservation. Based on analysis of the actual situation of Qasr al-Hajjaj Street, this paper examines a method called "restoration-type" facade improvement adopted by JICA, for which the final goal is not only to maintain the appearance of the street but also to activate the life of the habitants of the street. 展开更多
关键词 JICA Gyoji Banshoya Damascus facade improvement architectural vocabulary.
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Application of Experience-based Teaching to College Students' Career Planning Course
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作者 Gao Lina 《International English Education Research》 2015年第1期6-7,共2页
It is common in China that the employment consciousness of the college students is weak, the professional orientation is not clear and vocational skills are deficient. The gradates lack of cognition about career, and ... It is common in China that the employment consciousness of the college students is weak, the professional orientation is not clear and vocational skills are deficient. The gradates lack of cognition about career, and there are many students changing other jobs frequently, which not only influences personal development, but also is a waste for the company and the country, Under the situation, the colleges should strengthen the college students to understand career planning and plan the lifetime rationally. The paper tries to find out the breakthrough point from the teaching ways and methods of career planning course for college students, proposes experience-based-based-based teaching, blends the second-classroom teaching model in it, and combines the qualities of science and engineering students in western universities, for solving the problems of the existing classroom teaching. 展开更多
关键词 experience-based-based-based-based college students career planning
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Analysis on Regional Power Grid Load Characteristics and Rational Allocation of Capacity Load Ratio
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作者 Li Yaoxian Ma Chenwen 《International Journal of Technology Management》 2013年第1期49-52,共4页
The reasonability of the adopted capacity load ratio numerical value in urban power grid planning determines the economy of planning level yearly power grid.Too large capacity load ratio will result in the increasing ... The reasonability of the adopted capacity load ratio numerical value in urban power grid planning determines the economy of planning level yearly power grid.Too large capacity load ratio will result in the increasing investment in the early period of power grid construction, however, too small capacity load ratio will make the power grid have poor adaptability, affecting the power supply. Reasonably determining the adopted regional power grid capacity load ratio quantitative numerical value in planning has a strong guiding significance for constructing reliable and economic power grid and preventing power grid from excessive advance or lagging behind the load development. This paper, through the statistics and analysis of a certain regional power grid 2010-2012 three years' power grid daily load characteristics and the investment benefit evaluation of three years' 220KV power grid individual project, makes a preliminary analysis and puts forwards the specific advice on the reasonable values of power ~rid 35-220KV power transformation capacity load ratio. 展开更多
关键词 urban power grid planning power grid load capacity load ratio
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