Administrative law-abiding refers to the legal system in which administrative supervision departments exchange the law-abiding for lenient administrative treatment for enterprises that violate administrative laws. That is, for illegal enterprises that have established a compliance management system, the regulatory authorities can reach an administrative settlement agreement with them or exempt them from administrative punishment, or reduce administrative punishment.
For the illegal enterprises that signed the administrative settlement agreement, the regulatory authorities set up a compliance test period, and the enterprises took measures to further improve the compliance plan. After the probation period, if the enterprise meets the improvement plan required by the settlement agreement, the regulatory authorities may exempt the enterprise from administrative punishment or give it a lighter or mitigated administrative punishment according to different circumstances.
Criminal compliance refers to the legal system that includes preventing and changing the criminal responsibility mode of enterprises and integrating the criminal law system involving enterprises, aiming at encouraging enterprises to actively implement compliance plans; In terms of conceptual attributes, there are significant differences between criminal compliance and enterprise compliance in important aspects such as connotation and attributes, which belong to the development form and upgraded version of enterprise compliance.
With the increasing awareness of international participation in corporate governance, many countries have introduced the concept of compliance into criminal legislation, and corporate compliance has also expanded from the traditional artistic conception of self-control of civil and administrative legal risks to the field of criminal compliance.
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Notice of the General Office of the Ministry of Justice on Strengthening Enterprise Lawyers' Participation in Enterprise Compliance Management
The third is to focus on key and difficult points and promote the full participation of corporate lawyers in corporate compliance management.
Enterprise compliance involves all fields and links of enterprise management. It is necessary to organize and guide the company's lawyers to fully and deeply participate in all aspects of the company's compliance management, focus on areas prone to compliance risks and key and difficult links, intensify their work, and enhance the pertinence and effectiveness of compliance management.
(1) Pay attention to corporate governance compliance management. Perfect internal governance is the core of modern enterprise system construction, and it is the premise for enterprises to operate in compliance with laws and regulations and develop healthily. Company lawyers should assist enterprises to improve the corporate governance structure with articles of association as the core, clear rights and responsibilities, coordinated operation and effective checks and balances, standardize the rights and obligations of shareholders' meeting, board of directors, board of supervisors, management, executive level, party organizations, workers' congresses and other governance subjects, improve the legal compliance review mechanism for major business management decisions, improve various internal rules and regulations that meet compliance management requirements, and improve the company's compliance governance level.
(2) Pay attention to criminal compliance management. Criminal compliance is the bottom line and red line that enterprise management must abide by, which is directly related to the survival and development of enterprises. Company lawyers should assist enterprises to establish a mechanism for handling criminal violations, carry out internal and external risk assessment of criminal violations, strengthen crime prevention education and training, improve the working systems of letters and visits, review and handling, and clue transfer, cooperate with judicial organs and discipline inspection and supervision departments to handle cases according to law, actively participate in the pilot reform of enterprise compliance and third-party supervision and evaluation mechanisms, promote the rectification of criminal compliance issues, reduce the risk of criminal responsibility, and promote enterprises to achieve sustainable development in compliance with laws and regulations.
(3) Pay attention to administrative compliance management. Abide by laws, regulations, rules and policies, and abide by the regulatory requirements and business guidelines of relevant state departments, which is the proper meaning for enterprises to operate according to law. Company lawyers should keep track of relevant national laws, regulations, rules and major policies, help enterprises to formulate and implement compliance management measures under the guidance and supervision of relevant departments, and strictly implement various administrative regulatory policies and regulations such as product quality, safe production, labor and employment, finance and taxation, energy conservation and emission reduction, environmental protection, data security, information protection, advertising, planning and construction, transportation, health and epidemic prevention, prevent illegal risks, and rectify illegal problems.