Compliance management refers to a complete set of management activities and mechanisms for enterprises to strengthen internal control, continuously monitor, identify and warn violations, prevent, control and understand compliance risks by formulating compliance policies, uniformly formulating and continuously modifying internal norms in accordance with the requirements of external laws and regulations, and supervising the implementation of internal norms. Compliance management, together with business management and financial management, is the three pillars of enterprise management. It is not only an important aspect of internal control, but also a key link of risk management.
A company's compliance has the following significance:
1. Compliance management is not only the internal requirement for the stable operation of the enterprise, but also the basic premise to prevent the risk of violation. It is not only a part that every company must manage, but also a powerful weapon to protect its own interests. The improvement of the internal control system is inseparable from the standardized management and operation, so as to maximize the effectiveness of the enterprise's internal control system.
2. Compliance management is an effective means to standardize employees' behavior. By constructing a scientific corporate compliance culture and compliance system, it is conducive to enabling employees to develop the habit of compliance and avoid the risk of violation. At the same time, popularize the relevant regulations on compliance management to the majority of employees at the institutional level, which is conducive to employees' self-discipline and avoid illegal operations.
3. Compliance management can prevent decision-making mistakes. Leaders have greater authority, and no matter how small decisions may lead to the domino effect of the company. Compliance management can minimize the business risk caused by decision-making mistakes by restricting the relevant behaviors of senior leaders.
Therefore, our company mainly takes the following measures:
1. Establish a scientific compliance culture system, standardize employees' behaviors and ideas, and prevent employees' compliance risks from top-level design
2. Build an independent and strong compliance department to correct employees' daily violations.
3. Formulate a strict compliance incentive mechanism, strengthen rewards and punishments afterwards, and avoid the risk of violation.
4. Irregularly conduct regular sampling inspection on enterprise employees and senior personnel, and add cases to form positive or negative teaching materials for publicity.
In addition, the company also has a highly enforceable compliance system, so that employees can abide by rules, strictly enforce rules and punish violations.