Research On The Issues And Countermeasures Of Enterprise Compliance Management System

Only by operating in accordance with the law and regulations can enterprises achieve stability and progress.The establishment and improvement of the enterprise’s compliance management system precisely reflects the principle of law-abiding operation.The commitment of enterprises to social responsibility contributes to their sustainable development,enhances the effectiveness of government regulation of enterprises,and effectively protects the public interest.Therefore,this article mainly discusses the corporate compliance management system from the perspective of administrative law research,sorts out the current situation of China’s compliance management system,discovers the problems in the legislative and administrative supervision fields of China’s corporate compliance management system,and concludes that the Chinese government urgently needs to establish and improve the legal system of China’s compliance management,in order to achieve a "three win" situation-both to punish illegal and irregular behaviors and maintain social stability,It can also eliminate illegal behavior to the greatest extent from the source,prevent illegal and irregular behavior,achieve "self governance" of enterprises,protect entrepreneurs to the maximum extent within the legal limit,maintain the normal operation of enterprises,enrich administrative law enforcement methods,improve the level of administrative law enforcement,and improve the efficiency of administrative law enforcement.This article conducts research and analysis from the following three chapters:The first chapter is an overview of the corporate compliance management system.This chapter is divided into three parts to elaborate.Specifically elaborated on the concept of enterprise compliance management system and compliance as an administrative regulatory incentive mechanism;The two main theories of enterprise compliance management system-social benefit theory and the theory of reducing illegal costs;The four basic values of corporate compliance management system-the basic value of corporate social responsibility,the basic value of corporate sustainable development concept,the basic value of effective government supervision of enterprises,and the basic value of effective government protection of social public interests.From this,it can be seen that the construction of corporate compliance management system reflects the concept of corporate social responsibility and sustainable development,as well as the effective supervision of enterprises by the people’s government and the effective protection of social public interests.The second chapter discusses the current situation and problems of China’s enterprise compliance management system,which is divided into two parts to elaborate on.The first part is the legislative status and issues of China’s enterprise compliance management system.At present,relevant departments in China have issued mandatory compliance legal systems in the financial and state-owned enterprise fields,and require corresponding enterprises to establish corresponding specialized enterprise compliance management systems;We have standardized our compliance management system in accordance with the requirements of international organizations;Administrative reconciliation systems and commitment systems for parties involved in administrative law enforcement have been established in the securities and antitrust fields.However,there are still some problems in the legislative field of China’s enterprise compliance management system-the legal system for compliance in private enterprises is not sound,the update of national standards for enterprise compliance management system is not very timely,and the compliance incentive system has not been introduced into the administrative reconciliation system.The second part is the current situation and problems of China’s government compliance management system.Currently,in the field of administrative supervision,the regulatory model of China’s government still relies mainly on external supervision,supplemented by internal compliance supervision of enterprises,which cannot meet the requirements of modern management.At the same time,there is also a problem of not building a compliance management system within enterprises.The third chapter is suggestions for improving the compliance management system of enterprises in China,which is divided into three parts.The first part is to improve the legal system for compliance management of enterprises in China.Specific suggestions include strengthening legislative guidance for the compliance management system of private enterprises,timely updating and revising national standards for compliance management system,introducing compliance incentive system into administrative reconciliation system-a compliance incentive system that reduces administrative penalty basis can be established,a compliance incentive system that does not sue basis can be established Establish a compliance incentive system for reaching settlement agreements with regulatory authorities.The second part is to design an effective government regulatory compliance management system.The purpose of the government regulatory compliance management system is to achieve "common governance" with enterprises.Therefore,it is necessary to establish the principle of common governance for government regulatory compliance,establish and improve the legal system for government regulatory compliance management,and establish a mechanism for connecting criminal and administrative compliance.The third part is to establish a legal system for corporate compliance management,specifically to establish an efficient corporate compliance implementation system,a strict corporate compliance supervision system,and a rigorous corporate compliance reward and punishment system.