[ShenCai FeiYang] The Important Significance of Compliance Management

Release Date:

2022-10-20 16:18

Source:

Under the increasingly standardized and legalized background, the importance of compliance management has been recognized by more and more enterprises. I have been engaged in compliance management for some time. Below, I will share with peers the compliance management affairs I have encountered and my understanding of compliance management during my work at United Intelligence (Jinan) Certification Co., Ltd., hoping to receive guidance from more industry professionals.

Generally speaking, good compliance management can play an important role in ensuring the company's stable operation, preventing compliance risks, regulating employee behavior, and avoiding decision-making errors.

Compliance management work runs through the company's business activities, involving identifying and obtaining industry-related laws, regulations, and other requirements, complying with industry regulatory compliance affairs, preventing industry legal risks, and adhering to internally established rules and regulations for business activities, designing and implementing corresponding compliance management actions.

Internal affairs of compliance management are based on the company's compliance management system, aiming to improve employees' compliance awareness and capabilities overall, thereby strengthening and enhancing the company's compliance control capabilities, fundamentally reducing and eliminating compliance risks.

External affairs of compliance management involve interfacing and coordinating with industry regulatory authorities in handling events during the legal and regulatory supervision process, reasonably applying laws and regulations to minimize the company's losses in various aspects.

Below, I will illustrate some of the compliance management work from the perspectives of internal and external affairs:

1. Compliance management of internal affairs:

On March 26, 2022, at the auditor conference of Beijing United Intelligence Certification Co., Ltd., Director Zhou Haili presided over the study of the PPT file "Compliance Operation under the Group Platform," which clearly pointed out the key points of compliance work in 2022. According to the requirements of compliance planning in the document, United Intelligence (Jinan) Certification Co., Ltd. responded quickly, combined and followed up on the key requirements of the headquarters' work, and organized the compliance department to conduct irregular on-site or remote follow-up inspections of various dispatched audit teams.

During spot checks, it was found that each audit team strictly implemented the audit plan, adhered to audit schedules, entered and exited groups on time, arranged audits professionally, and no violations such as tardiness, early leave, audits not arranged according to the plan, or customer complaints occurred. Meanwhile, the compliance department maintained communication with the auditees and conducted customer satisfaction surveys, including arrival and departure times of on-site audit teams, feedback from auditees on the audit team's on-site work, recognition of the audit team's professional capabilities, and other related content; after investigation, no dissatisfaction was found.

The compliance department closely followed the headquarters' steps on various special compliance activities, addressing highly likely occurrences such as similar cases by mobilizing the company's internal departments, implementing measures such as dedicated training, guidance, and supervision, greatly improving auditors' personal professional abilities and compliance awareness, better accumulating strength, and serving every audit.

Through the above series of compliance management operations, possible violations during the company's business process were strictly controlled, while also narrowing the distance between the certification body and the audited enterprises, better establishing a good image and reputation as a third-party institution in the minds of enterprises, ensuring the company's business activities proceed steadily.

2. Compliance management of external affairs:

The compliance department of United Intelligence (Jinan) Certification Co., Ltd. actively studies laws and regulations related to certification such as the "Regulations of the People's Republic of China on Certification and Accreditation" and the "Management System Certification Rules," promptly producing updated legal regulations into PPTs for systematic training of all employees, enabling every auditor to establish stronger legal risk awareness; meanwhile, it actively organizes company technical personnel to maintain communication with market regulatory departments, contributing ideas and efforts on certification laws and regulations, and proposing views and suggestions on certification industry supervision.

Compliance department organizes study of "Market Regulation Related Regulatory Documents"

Through training and study, everyone has gained a deeper understanding of the compliance department's work and raised awareness of cooperating with the compliance department to implement compliance management, making the compliance department's work smoother.

Additionally, in the annual "Double Random, One Public" inspection activities carried out across various regions nationwide, we actively respond to the supervisory department's regulatory requirements, cooperate with various departments to complete special inspections, actively analyze the notifications issued annually by regulatory departments, deeply study typical violation cases among peers, take them as lessons, and resolutely reduce the possibility of crossing red lines.

Compliance management is the pre- and post-management behavior based on the company's compliance risks. It is both a functional extension of regulatory activities within the company and a rigid requirement of internal management. Its purpose is to supervise whether the company's business management and employees' business activities comply with laws, regulations, industry norms, standards, and internal rules, thereby maximizing the strategic goal of low-risk business management.

Finally, I thank colleagues from all departments for their understanding and support of the compliance management department's work. I hope everyone will jointly enhance risk awareness so that our big ship can sail steadily forward!

United Intelligence (Jinan) Certification Co., Ltd.

Compliance Department: Xiong Wei

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