"We should take the opportunity of compliance review to further improve the company's compliance management system, optimize the compliance management process, continuously improve the risk prevention and control ability, and provide strong compliance guarantee for promoting the high-quality development of enterprises ....." recently, Lian Shoufeng, the chief compliance officer of Fangshan Bridge Co., Ltd. of CRCC14 emphasized when arranging the deployment compliance review.
2021 is the year of compliance review for joint-stock companies. Fangshan Bridge Co., Ltd. of CRCC14 adheres to the problem-oriented principle, emphasizes precise efforts, takes comprehensively sorting out and checking the implementation of the "1+9" compliance system as the starting point and the foothold, and takes improving the company's compliance management system as the focus and key point. It carries out compliance review activities in a firm manner throughout the company, and conducts comprehensive physical examination, pulse diagnosis and symptomatic prescription on the operation, practicability and effectiveness of the company's compliance management system, so as to effectively supervise and prescribe.
"Up Link + Down Move"
The company's compliance committee attaches great importance to and deeply understands the importance of conducting compliance review to prevent and control compliance risks, promote the steady and compliant development of various businesses and ensure the company's compliance operation according to law. It organized members of the compliance committee to study the review requirements seriously, set up a compliance review working group headed by the chief compliance officer and all members of the legal and compliance department, studied and determined the working idea of combining comprehensive combing of production units, special assistance from headquarters functional departments and comprehensive review by the compliance review working group, and clearly defined the "road map" of compliance review.
The Compliance Review Working Group acted quickly, strengthened the special study of the "Compliance Review Seminar" of joint-stock companies, mastered the professional knowledge and skills of compliance review, thoroughly understood the objectives, steps and specific requirements of compliance review, worked out a compliance review plan, established a compliance review mode of "self-examination and self-correction+special supervision+business assistance+problem solving+risk prevention" according to local conditions, and promoted compliance review in a planned and step-by-step manner. All functional departments and production units of the headquarters actively cooperate with each other, systematically sort out the compliance business of bidding, procurement, third party, contract, business entertainment, cash payment, donation and sponsorship according to the key points of compliance review, and conduct in-depth self-examination and self-correction.
"Online+Offline"
Combining special supervision of contract investigation and business disclosure, the company flexibly reviewed the implementation of compliance system, risk assessment, risk prevention, training and publicity, transmission and report, consultation and report, record filing and other compliance work of each unit through "online+offline" multi-forms and multi-levels such as on-site compliance review, compliance interview, online spot check of compliance samples and WeChat cloud verification, more than 40 outstanding problems and weak links were investigated, and the compliance review of 30 production units under construction in the company achieved "full coverage".
"When checking compliance information online, all prospective partners, parent companies, affiliated enterprises or affiliated individuals should be inquired whether they are listed in the list of terrorist organizations." "The proposed partner is required to provide performance information related to the cooperative business first when providing performance information. During the review, the company used the bidding, procurement and third-party compliance work examples handled by the unit under review to communicate with the business personnel "one-on-one", help and guide, and effectively improve the level of compliance management.
"Temporary Solution+Permanent Solution"
The company focused on a comprehensive analysis of the outstanding problems and weak links found in this compliance review, insisted on paying equal attention to "treating the symptoms" and "treating the root causes", and strengthened the classification of problems.
For the problems of the bank's reform, establish a problem sales system, issue a notice of compliance review and rectification, instruct the responsible unit to implement the rectification in strict accordance with the rectification measures, take the feedback of compliance review as the starting point, and reorganize, recheck and rectify the relevant business work point by point, so as to promote the effectiveness of the review and rectification. For common problems, we should pay attention to seeing the essence through the phenomenon, find out the root of the problems from the aspects of system mechanism, responsibility implementation, inspection and supervision, etc., promulgate the Compliance Officer Assessment Measures, carry out targeted special training, further standardize compliance management and improve the working mechanism of compliance management.
In the next step, the company will continue to track and supervise the compliance rectification of the units under review, conduct on-the-spot acceptance of the compliance review and rectification work of key units, help and guide the rectification, promote employees' compliance management and work according to regulations, and vigorously promote enterprises' compliance management according to laws and regulations and standardized system management.
The compliance review working group conducts compliance review on the production units under construction.