公司合规运营 Compliance operation of the company

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行业准则遵循

• 行业协会制定的准则和道德规范也是公司合规运营的重要内容。以会计行业为例，注册会计师要遵守会计准则和审计准则，确保财务报表的真实性和审计工作的质量。在建筑行业，施工企业要遵循建筑工程质量标准和安全规范，保证工程质量和施工安全
  

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Industry standards followed
The guidelines and ethical standards established by industry associations are also important components of a company's compliant operations. Taking the accounting industry as an example, certified public accountants must comply with accounting and auditing standards to ensure the authenticity of financial statements and the quality of audit work. In the construction industry, construction companies must comply with construction quality standards and safety regulations to ensure project quality and construction safety

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• 内部规章制度落实
  • 公司内部的各项规章制度是合规运营的微观基础。例如，公司的财务管理制度规定了费用报销的流程、资金审批的权限等。员工在进行费用报销时，必须按照规定的流程提交发票、填写报销单等，经过相应层级的审批后才能报销。还有公司的采购制度，明确了采购的方式、供应商的选择标准等，确保采购活动的公平、公正、透明。
    
  
  

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Implementation of internal rules and regulations
The internal rules and regulations of the company are the micro foundation for compliant operation. For example, the company's financial management system stipulates the process of expense reimbursement and the authority of fund approval. Employees must submit invoices, fill out reimbursement forms, etc. according to the prescribed process when making expense reimbursements, and only after approval at the corresponding level can they be reimbursed. There is also the company's procurement system, which clarifies the procurement methods, supplier selection criteria, etc., to ensure the fairness, impartiality, and transparency of procurement activities.

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建立合规管理体系

• 设立专门的合规管理部门或岗位，负责制定合规政策、程序和指南。
• 这个部门要定期对公司的运营活动进行合规审查，识别潜在的合规风险。
• 例如，大型跨国公司通常会设立全球合规管理办公室，对分布在世界各地的分支机构和业务进行统一的合规管理
  

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Establish a compliance management system
Establish a dedicated compliance management department or position responsible for developing compliance policies, procedures, and guidelines. This department needs to conduct regular compliance reviews of the company's operational activities and identify potential compliance risks. For example, large multinational corporations typically establish a global compliance management office to provide unified compliance management for their branches and businesses located around the world

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加强员工培训

• 员工是公司运营的主体，要定期开展合规培训，让员工了解法律法规、公司规章制度等内容。培训可以采用多种形式，如内部培训课程、在线学习平台、案例分享会等。例如，通过培训让销售人员了解反商业贿赂的规定，避免在销售过程中出现违法违规行为
  

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Strengthen employee training
Employees are the main body of the company's operations, and regular compliance training should be conducted to enable them to understand laws, regulations, company rules and regulations, and other related content. Training can take various forms, such as internal training courses, online learning platforms, case sharing sessions, etc. For example, training sales personnel to understand the regulations against commercial bribery can prevent illegal and irregular behavior during the sales process

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强化内部监督和审计

• 内部审计部门要定期对公司的财务、业务等方面进行审计，检查是否存在违规行为。同时，建立举报机制，鼓励员工和外部人员对违规行为进行举报。对于发现的违规行为，要及时进行调查和处理，根据情节轻重给予相应的处罚，如警告、罚款、辞退等
  

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Strengthen internal supervision and auditing
The internal audit department should conduct regular audits of the company's finances, operations, and other aspects to check for any violations. At the same time, establish a reporting mechanism to encourage employees and external personnel to report violations. For discovered violations, timely investigation and handling should be carried out, and corresponding punishments should be given according to the severity of the situation, such as warnings, fines, dismissals, etc