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Notice of the National Development and Reform Commission, the Ministry of Foreign Affairs, the Ministry of Commerce and Other Ministries and Commissions on Issuing the Guidelines for the Compliance Management of Enterprises' Overseas Operation [Effective]
国家发展改革委、外交部、商务部等关于印发《企业境外经营合规管理指引》的通知 [现行有效]
【法宝引证码】

Notice of the National Development and Reform Commission, the Ministry of Foreign Affairs, the Ministry of Commerce, the People's Bank of China, the State-Owned Assets Supervision and Administration Commission, the State Administration of Foreign Exchange, and the All-China Federation of Industry and Commerce on Issuing the Guidelines for the Compliance Management of Enterprises' Overseas Operation 

国家发展改革委、外交部、商务部、人民银行、国资委、外汇局、全国工商联关于印发《企业境外经营合规管理指引》的通知

(No. 1916 [2018] of the National Development and Reform Commission) (发改外资〔2018〕1916号)

The development and reform commissions, foreign affairs offices, commerce departments, branch offices of the People's Bank of China, branches of the State-Owned Assets Supervision and Administration Commission and the State Administration of Foreign Exchange (foreign exchange administrative departments), and federation of industry and commerce of all provinces, autonomous regions, municipalities directly under the Central Government and cities under separate state planning, and Xinjiang Production and Construction Corps; and relevant enterprises: 各省、自治区、直辖市及计划单列市、新疆生产建设兵团发展改革委、外事办公室、商务主管部门、人民银行分行、国资委、外汇局分局(外汇管理部)、工商联,有关企业:
Compliance is the premise for enterprises' long-term and steady growth in “going out,” and compliance management capacity is an important part of enterprises' international competitiveness. For the purposes of providing better services for enterprises' overseas operation, and promoting enterprises' continuous enhancement of the compliance management level, the National Development and Reform Commission, the Ministry of Foreign Affairs, the Ministry of Commerce, the People's Bank of China, the State-Owned Assets Supervision and Administration Commission, the state Administration of Foreign Exchange, and the All-China Federation of Industry and Commerce have jointly developed the Guidelines for the Compliance Management of Enterprises' Overseas Operation, which are hereby issued for enterprises' reference. Concerned parties may, in light of the reality and on the basis of these Guidelines, develop more specific guidelines for compliance management. 合规是企业“走出去”行稳致远的前提,合规管理能力是企业国际竞争力的重要方面。为更好服务企业开展境外经营,推动企业持续提升合规管理水平,发展改革委、外交部、商务部、人民银行、国资委、外汇局、全国工商联共同制定了《企业境外经营合规管理指引》,现予以发布,供企业参考。有关方面可以结合实际,在此基础上制定更具体的合规管理指引。
Annex: Guidelines for the Compliance Management of Enterprises' Overseas Operation 附件:企业境外经营合规管理指引
National Development and Reform Commission 国家发展改革委
Ministry of Foreign Affairs 外  交  部
Ministry of Commerce 商  务  部
People's Bank of China 人 民 银 行
State-Owned Assets Supervision and Administration Commission 国  资  委
State Administration of Foreign Exchange 外  汇  局
All-China Federation of Industry and Commerce 全 国 工 商 联
December 26, 2018 2018年12月26日
Annex 附件
Guidelines for the Compliance Management of Enterprises' Overseas Operation 企业境外经营合规管理指引
Chapter I General Provisions 

第一章 总则

Article 1 Purpose and Basis   第一条 目的及依据
For the purposes of providing better services for enterprises' overseas operation, and promoting enterprises' continuous strengthening of the compliance management, these Guidelines are developed according to the relevant laws, regulations, and policies of the state, and mutatis mutandis to the Guidelines for the Compliance Management System (GB/T35770-2017) and relevant international compliance rules. 为更好服务企业开展境外经营业务,推动企业持续加强合规管理,根据国家有关法律法规和政策规定,参考GB/T35770-2017《合规管理体系指南》及有关国际合规规则,制定本指引。
Article 2 Scope of Application   第二条 适用范围
These Guidelines shall be applicable to enterprises in the territory of China and their overseas subsidiaries, branches, representative offices and other overseas branches (hereinafter referred to as “enterprises”) that carry out foreign trade, overseas investment, foreign project contracting and other relevant business of “going out.” 本指引适用于开展对外贸易、境外投资、对外承包工程等“走出去”相关业务的中国境内企业及其境外子公司、分公司、代表机构等境外分支机构(以下简称“企业”)。
Where there are special provisions on enterprises' compliance management in laws and regulations, such provisions shall apply. Where the industry supervision departments have special provisions on compliance management of enterprises' overseas operation, enterprises in the relevant industries shall comply with such provisions. 法律法规对企业合规管理另有专门规定的,从其规定。行业监管部门对企业境外经营合规管理另有专门规定的,有关行业企业应当遵守其规定。
Article 3 Basic Concepts   第三条 基本概念
For the purposes of these Guidelines, “compliance” means that the operation and management activities of an enterprise and its employees satisfy with the requirements of the relevant laws and regulations, international treaties, regulatory provisions, industrial standards, commercial practices, code of ethics, bylaws developed by enterprises according to the law, rules and regulations, among others. 本指引所称合规,是指企业及其员工的经营管理行为符合有关法律法规、国际条约、监管规定、行业准则、商业惯例、道德规范和企业依法制定的章程及规章制度等要求。
Article 4 Compliance Management Framework   第四条 合规管理框架
An enterprise shall advocate the orientation of the value of compliance operation, specify the contents of compliance management, improve the compliance management structure, develop rules on compliance management, perfect the compliance operation mechanism, strengthen the identification, evaluation and disposal of compliance risks, carry out compliance review and improvement, cultivate the compliance culture and form an enterprise atmosphere of attaching importance to compliance operation. 企业应以倡导合规经营价值观为导向,明确合规管理工作内容,健全合规管理架构,制定合规管理制度,完善合规运行机制,加强合规风险识别、评估与处置,开展合规评审与改进,培育合规文化,形成重视合规经营的企业氛围。
Article 5 Principles of Compliance Management   第五条 合规管理原则
(1) Independence. Compliance management of enterprises shall ensure independence from system design, institution setting, post arrangement, reporting path and other respects. Other duties assumed by the compliance management departments and their staff members shall not conflict with the compliance duty. (一)独立性原则。企业合规管理应从制度设计、机构设置、岗位安排以及汇报路径等方面保证独立性。合规管理机构及人员承担的其他职责不应与合规职责产生利益冲突。
(2) Applicability. Compliance management of enterprises shall be based on the business scope, organization structure, business scale and other realities, give consideration to both costs and efficiency, strengthen the operability of the compliance management rules, and increase the effectiveness of compliance management. Meanwhile, an enterprise shall continuously adjust and improve its compliance management system along with changes in the internal and external environments. (二)适用性原则。企业合规管理应从经营范围、组织结构和业务规模等实际出发,兼顾成本与效率,强化合规管理制度的可操作性,提高合规管理的有效性。同时,企业应随着内外部环境的变化持续调整和改进合规管理体系。
(3) Comprehensiveness. Compliance management of enterprises shall cover all overseas business fields, departments and employees, be implemented in decision making, implementation, supervision, feedback and other various respects, and reflect the decision-making mechanism, internal control, business process and other various respects. (三)全面性原则。企业合规管理应覆盖所有境外业务领域、部门和员工,贯穿决策、执行、监督、反馈等各个环节,体现于决策机制、内部控制、业务流程等各个方面。
Chapter II Requirements for Compliance Management 

第二章 合规管理要求

Article 6 Compliance Requirements for Foreign Trade   第六条 对外贸易中的合规要求
In foreign trade of goods and services, an enterprise shall ensure all-around compliance of the business operation activities throughout the whole process, comprehensively master the specific requirements for trade administration, quality and safety, technical standards, protection of intellectual property rights, and other respects, and pay attention to the trade relief investigations conducted in the countries (areas) where the business activities are carried out, including investigation into anti-dumping, countervailing and safeguarding measures, among others. 企业开展对外货物和服务贸易,应确保经营活动全流程、全方位合规,全面掌握关于贸易管制、质量安全与技术标准、知识产权保护等方面的具体要求,关注业务所涉国家(地区)开展的贸易救济调查,包括反倾销、反补贴、保障措施调查等。
Article 7 Compliance Requirements for Overseas Investment   第七条 境外投资中的合规要求
To make overseas investment, an enterprise shall ensure all-around compliance of the business operation activities throughout the whole process, and comprehensively master the specific requirements for market access, trade administration, examination of state security, industry supervision, foreign exchange administration, anti-monopoly, anti-money laundering, combating financing of terrorism, and other respects. 企业开展境外投资,应确保经营活动全流程、全方位合规,全面掌握关于市场准入、贸易管制、国家安全审查、行业监管、外汇管理、反垄断、反洗钱、反恐怖融资等方面的具体要求。
Article 8 Compliance Requirements for Foreign Project Contracting   第八条 对外承包工程中的合规要求
An enterprise conducting foreign project contracting shall ensure all-around compliance of the business operation activities throughout the whole process and comprehensively master the specific requirements for bidding management, contract management, project performance, protection of workers' rights, environmental protection, associated risk management, debt management, donation and sponsorship, anti-corruption, anti-bribery and other respects. 企业开展对外承包工程,应确保经营活动全流程、全方位合规,全面掌握关于投标管理、合同管理、项目履约、劳工权利保护、环境保护、连带风险管理、债务管理、捐赠与赞助、反腐败、反贿赂等方面的具体要求。
Article 9 Compliance Requirements for Overseas Routine Operation 谁敢欺负我的人  第九条 境外日常经营中的合规要求
To carry out overseas routine operation, an enterprise shall ensure all-around compliance of the business operation activities throughout the whole process, and comprehensively master the specific requirements for protection of workers' rights, environmental protection, protection of data and privacy, protection of intellectual property rights, anti-corruption, anti-bribery, anti-monopoly, anti-money laundering, combating financing of terrorism, trade administration, fiscal taxes and other respects. 企业开展境外日常经营,应确保经营活动全流程、全方位合规,全面掌握关于劳工权利保护、环境保护、数据和隐私保护、知识产权保护、反腐败、反贿赂、反垄断、反洗钱、反恐怖融资、贸易管制、财务税收等方面的具体要求。
Chapter III Structure of Compliance Management 

第三章 合规管理架构

Article 10 Compliance Governance Structure   第十条 合规治理结构
An enterprise may, in consideration of the development needs, establish a compliance governance structure with clear rights and responsibilities, and divide relevant responsibilities for compliance management at three levels including decision making, management and implementation. 企业可结合发展需要建立权责清晰的合规治理结构,在决策、管理、执行三个层级上划分相应的合规管理责任。
(1) An enterprise's decision-making level shall solve the problem of power allocation in compliance management by top-level design in principle for the purpose of ensuring the enterprise's operation in compliance with laws and regulations. (一)企业的决策层应以保证企业合规经营为目的,通过原则性顶层设计,解决合规管理工作中的权力配置问题。
(2) An enterprise's senior management shall allocate sufficient resources to establish, develop, implement, evaluate, maintain and improve the compliance management system. (二)企业的高级管理层应分配充足的资源建立、制定、实施、评价、维护和改进合规管理体系。
(3) An enterprise's execution departments and overseas branches shall identify the compliance requirements in the field of centralized management in a timely manner, improve the measures for compliance management, implement the compliance management rules and procedures, collect the information on compliance risks, and implement the relevant work requirements. (三)企业的各执行部门及境外分支机构应及时识别归口管理领域的合规要求,改进合规管理措施,执行合规管理制度和程序,收集合规风险信息,落实相关工作要求。
Article 11 compliance management departments   第十一条 合规管理机构
An enterprise may, on the basis of the business nature, geographical area, and supervision requirements, among others, set up relevant compliance management departments. A compliance management department shall generally be composed of the compliance committee, person in charge of compliance, and compliance management department. An enterprise that has not been qualified for setting up a special compliance management department may designate a relevant department (for example, legal affairs department and risk control department, among others) to perform the duties of compliance management and, concurrently appoint a person in charge of compliance. 企业可根据业务性质、地域范围、监管要求等设置相应的合规管理机构。合规管理机构一般由合规委员会、合规负责人和合规管理部门组成。尚不具备条件设立专门合规管理机构的企业,可由相关部门(如法律事务部门、风险防控部门等)履行合规管理职责,同时明确合规负责人。
(1) Compliance committee (一)合规委员会
An enterprise may, in light of the reality, set up a compliance committee as the highest responsible department in the enterprise's compliance management system. The compliance committee shall generally perform the following compliance duties: 企业可结合实际设立合规委员会,作为企业合规管理体系的最高负责机构。合规委员会一般应履行以下合规职责:
a. Confirming the compliance management strategies and specifying the compliance management objective. 1.确认合规管理战略,明确合规管理目标。
b. Establishing and perfecting the enterprise's compliance management system, and examining and approving the compliance management rules and procedures, and major compliance risk management plans.
......
 2.建立和完善企业合规管理体系,审批合规管理制度、程序和重大合规风险管理方案。

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