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论文编号：	12809
作者编号：	2320190416
上传时间：	2021/12/9 13:31:34
中文题目：	必维国际检验集团合规管理优化研究
英文题目：	Research on Optimization of Bureau Veritas International Inspection Group''s Compliance Management
指导老师：	牛建波
中文关键字：	企业合规；合规管理；合规管理体系；反贿赂；反舞弊
英文关键字：	Corporate Compliance；Compliance Management；Compliance Management System；Anti-bribery and Anti-fraud
中文摘要：	21世纪，在经济全球化背景下，企业迎来了良好的发展环境，但同时也面临许多艰难挑战。随着改革的深入，企业发展中将面对诸多的风险与以及合规问题，不但严重威胁着企业的生存和发展，而且一旦处理不当，会对企业产生致命打击。 在国际上，2020年的1月31日，美国司法部发布通告宣称：“空中客车公司在全球范围内行贿政府官员、非国有航空公司行政主管，触犯了美、英、法三国的反贿赂法律，空客被处以39亿美元的高额罚金并被责令建立合规管理体系”；而在国内，2021年4月10日，阿里巴巴集团因其在网络零售平台实施“二选一“的行为被认定违反了《反垄断法》，中国市场监督总局责令阿里巴巴集团停止相关的违法活动、缴纳182.28亿元的罚款；要求阿里巴巴集团落实网络平台企业的主体责任，加强合规管理，依法合规经营。可见，做好企业合规工作，明确组织运营的底线，是企业持续性发展的重要保障。 本文以国际三大检测认证机构之一??的必维国际检验集团为例，旨在帮助企业搭建完善的合规管理体系。笔者将文章分为六个章节，前期通过检索文献和阅读，搜集了大量关于企业合规管理体系的构建原则、构成要素、建立步骤等相关内容，结合必维集团合规管理实例，分析其目前存在的合规管理问题、提出优化建议并通过内部保障机制使优化方案能落地执行，最终形成一套合规管理体系模型，以更好地应对今后面临的合规挑战。本文最后对结论和不足之处做了相应的归纳和总结，以便未来继续跟踪研究。
英文摘要：	In the 21st century, under the background of economic globalization, enterprises have ushered in a good development environment, but at the same time they are also facing many difficult challenges. With the deepening of reforms, enterprises will face many risks and compliance issues in their development, which will not only seriously threaten the survival and development of enterprises, but also cause fatal blows to enterprises if they are not handled properly. Internationally, on January 31, 2020, the U.S. Department of Justice issued a notice stating: “Airbus has committed bribery to government officials and executives of non-state-owned airlines around the world, in violation of the anti-bribery laws of the United States, Britain, and France. , Airbus was fined 3.9 billion U.S. dollars and was ordered to establish a compliance management system". In China, on April 10, 2021, the China Market Supervision Administration required Alibaba Group to stop illegal activities and pay a fine of 18.228 billion yuan because Alibaba Group implemented the "choose one of two" behavior on its online retail platform. Being found to have violated the Anti-Monopoly Law, Alibaba Group was required to take their responsibility of online platform enterprises, strengthen compliance management, and comply with laws and regulations. It can be seen that doing a good job in corporate compliance work and clarifying the bottom line of organization and operation is an important guarantee for the sustainable development of a company. This article takes Bureau Veritas International Inspection Group, one of the third-party international testing and certification organizations, as an example, and aims to help companies to build a complete compliance management system. The author divided the article into six chapters. Through searching literature and reading in the early stage, the author collected a large amount of relevant content on the construction principles, constituent elements, and establishment steps of the corporate compliance management system, and combining Bureau Veritas Group's compliance management examples, analyzing its current compliance management problems, putting forward optimization suggestions, and implementing the optimization plan through internal guarantee mechanisms, and finally forming a set of compliance management system models to better respond to the future The compliance challenges faced. At the end of this article, the conclusions and shortcomings are summarized accordingly for follow-up study in the future.
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