Basic Issues of Corporate Compliance Risk Assessment
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 as-sessment 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 propor-tionality,achieving the management goal of effectively controlling compliance risks and preventing illegal and irregular behaviors.
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