Whether it conforms to China's economic policy, industrial policy, environmental protection policy, monetary policy, credit policy and other national policies.
Whether it conforms to the bank's system.
Whether it may lead to compliance risks and whether targeted measures are taken to prevent these compliance risks.
Whether to formulate/revise relevant systems according to the principle of system first.
Whether it is necessary to go through the formalities of examination and approval, approval, reporting or filing.
Whether it meets the relevant business authority.
Other related compliance issues.
Compliance management is of great significance for enterprises to promote the steady operation of enterprises, prevent the risk of violation, standardize employee behavior, prevent decision-making mistakes and reduce safety production problems. The specific embodiment is as follows:
1. Compliance management is the inherent requirement of enterprise's steady operation, the basic premise to prevent the risk of violation, a part that every company must manage, and a powerful weapon to safeguard its own interests. The perfection of internal control system is inseparable from standardized management and operation, so as to maximize the effectiveness of enterprise internal control system.
2. Compliance management is an effective means to regulate employee behavior. By building a scientific corporate compliance culture and compliance system, it will help employees develop the habit of compliance and avoid the risk of violation. At the same time, at the institutional level, popularizing the relevant provisions of compliance management to the majority of employees is conducive to making employees consciously self-disciplined and avoiding illegal operations.
3. Compliance management can prevent decision-making mistakes, and leaders have greater authority. No matter how small the decision is, it may lead to the domino effect of the company. Compliance management can minimize the business risk caused by decision-making mistakes by restraining the relevant behaviors of senior leaders.
legal interpretation
Measures for compliance management of central enterprises
Article 37 If a central enterprise violates the provisions of these Measures and violates regulations due to inadequate compliance management, SASAC may interview relevant enterprises and order them to make rectification; If losses or adverse effects are caused, SASAC shall investigate the responsibility according to relevant regulations.