有效合规管理的基本原则
The Basic Principles of Effective Compliance Management
陈瑞华1
作者信息
摘要
为有效地预防企业发生违法违规行为,避免企业遭受重大的系统性合规风险,需要确立一些基本的合规管理原则,使之成为指导企业建立有效合规管理体系的基本准则.企业无论是搭建日常性合规管理体系,还是在危机发生后进行合规整改,都应遵循"风险导向原则""相称性原则""高层承诺原则""权威性原则""业务流程渗透原则""可持续性原则"等方面的要求.这是避免纸面合规、形式化合规或无效合规的制度保障,也是企业实现有效合规管理的最低要求.
Abstract
In order to effectively prevent enterprises from breaching laws and regulations,and from suffering major systematic compliance risks,it is necessary to set up some basic compliance management principles,which will become the basic doctrines of guiding enterprises establishing an effective compliance management system.Whether constructing a daily compliance management system,or carrying out compliance rectification after a crisis,an enterprise needs to follow the requirements of Principle of Risks as Guidance,Principle of Proportionality,Principle of Senior Management Commitment,Principle of Authority,Principle of Business Process Permeation,Principle of Sustainability,and so on.This is the institutional guarantee of avoiding paper compliance,formalized compliance or ineffective compliance,and is also the minimum requirement for enterprises to achieve effective compliance management.
关键词
有效合规管理/风险导向原则/相称性原则/高层承诺原则/权威性原则/业务流程渗透原则/可持续性原则Key words
effective compliance management/principle of risks as guidance/principle of proportionality/principle of senior management commitment/principle of authority/principle of business process permeation/principle of sustainability引用本文复制引用
出版年
2024
NETL
NSTL
维普
万方数据