48 49 CHAPTER 1 handling mechanism, compliance management evaluation mechanism, compliance assessment mechanism, compliance training mechanism, compliance reporting mechanism, etc. On the basis of the Compliance Management Measures, Company A formulated the Management Measures for Employee Compliance Assessment and Violation Handling, which stipulated the basic content and process of compliance assessment, types and processes of violation handling, severity and severity of violation handling, exemption situations, major violations and their applicable treatment, etc., in order to ensure the effective operation of the company’s compliance management system. 3. ESTABLISH A COMPLIANCE OPERATION SYSTEM Internally, with the assistance of the compliance lawyer team, Company A has set up two modules of compliance consultation and compliance reporting in the work group, and has publicized the Anti-Commercial Bribery Compliance Management Manual for all employees, so that employees can timely consult the compliance department about matters that may involve compliance risks or report violators. Externally, with respect to the compliance management of business partners, Company A, with the assistance of the compliance lawyer team, sorted out the cooperation list of business partners according to the frequency and amount of cooperation, and formed the compliance management database of business partners. Draft compliance statements and send them to key business partners to demonstrate the company’s commitment to compliance management. 3.3 Establish a compliance guarantee system For employees, Company A adopts the principle and attitude of “strict adherence + guidance”. In order to standardize the procedures for dealing with employees’ violations, Company A formulated the “Management Measures for Employee Compliance Assessment and Violation Handling” in respect of compliance assessment, which includes violations in performance assessment. In this measure, it is clearly stipulated that the compliance management lead department shall organize monthly compliance assessment, specific assessment contents, types and processes of violation handling, etc. Assist with compliance bottom line through performance appraisal. However, Company A takes more guidance measures, such as conducting special training on the importance of compliance and anti-commercial bribery for all employees, organizing compliance examinations, and formulating the Compliance Commitment Letter of Employees and 100 Questions and Answers on the Company’s Compliance Management Knowledge, aiming to guide and improve the awareness of compliance management of all employees, with A view to forming a compliance culture of Company A at an early date. Corruption damages the interests of the company and the public interest of the society, and also brings incalculable reputation defamation and even administrative and criminal punishment consequences to the enterprise. In the global context where almost all countries and regions have enacted laws to control corruption, enterprises should pay full attention to anti-corruption compliance governance. Through the establishment of an anti-corruption compliance system, Company A avoids being further punished and greatly reduces the risk of corruption incidents occurring again. Taking this as a starting point, the establishment of an enterprise’s anti-corruption compliance system will become an indispensable driving force for the long-term healthy development of enterprises. About Tahota Law Firm Tahota was established in May 2000. After more than 20 years of sustained and rapid development, it has become a large-scale comprehensive law firm covering China and connecting the world. In Beijing, Chengdu, Chongqing, Guiyang, Jinan, Kunming, Lhasa, Shenzhen, Shanghai, Tianjin, Hong Kong, Xi ‘an, Taiyuan, Xining, Nanjing, Wuhan, Haikou, Urumqi, Fuzhou, Guangzhou, Nanchang, Zhengzhou, Hangzhou, Washington, Sydney, Kathmandu and Bangkok and other major domestic and foreign cities set up offices, the strength of each office is in the forefront of the local. ZHANG LV Director of Tahota Law Firm (Guangzhou) zhanglv-team@tahota.com 18620860016, 18922221819 Zhang Lv is the director of Tahota (Guangzhou) Law Firm and the head of the National Compliance Law Center of Tahota . Zhang Lv has been engaged in the law industry for more than 20 years, and has long served as the legal consultant of Guangdong and Guangzhou governments and large state-owned enterprises. Zhang Lv specializes in enterprise compliance management system construction and certification consulting, compliance rectification of enterprises involved, government and state-owned assets legal services, real estate and construction engineering, capital market and enterprise mergers and acquisitions and reorganization, and has rich practical experience in litigation and arbitration. He has won honorary titles such as “Excellent Lawyer of Guangzhou City” and “Excellent Lawyer of Guangdong Province”. • Tahota Law Firm Guangzhou Office - Director • Tahota National Compliance Law Center - Director • Compliance and Internal Control Professional Committee of Guangzhou Lawyers Association - Director • Enterprise Compliance Institution of Guangdong Province Law Society - Executive Vice President • Professional Committee on Corporate Compliance of All China Lawyers Association - Deputy Director About the Author Contact Tahota Law Firm Address: 12F, Tower A, Ocean International Center, 56 Dongsihuan Zhonglu, Chaoyang District, Beijing, PRC 16th Floor, Palm Springs International Center, No. 199 Middle of Tianfu Avenue, High-tech Zone, Chengdu, Sichuan, PRC Tel No.: 86-10-85865151, 86-28-86625656 Fax: 86-10-85861922, 86-28-85256335 Email: taihetai@tahota.com Website: ww.tahota.com CHAPTER 1
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