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论文编号：	13570
作者编号：	2320200554
上传时间：	2022/12/4 18:27:39
中文题目：	A医药公司合规风险管理研究
英文题目：	Research on the Compliance Risk Management of A Pharmaceutical Company
指导老师：	梅丹
中文关键字：	医药公司；合规风险；风险管理
英文关键字：	Pharmaceutical companies; Compliance risk; Risk management
中文摘要：	当前，医药行业已经成为我国最具价值增值潜力的朝阳型行业，特别是随着《中国制造2025》中，重点针对医药行业做出了清晰的规划，近年来我国医药企业自身的发展规模与发展速度实现了协同的提高。但与此同时，我国医药行业所面临的内外部竞争环境也更为白热化。由于医药行业普遍具有风险高、投入大和产品效果市场化、推广周期长等特点，特别是在新冠肺炎疫情背景之下，社会公众对于疫苗研发和医药用品的需求以及关注与日俱增，这对于医药行业自身的抗风险能力和价值增值能力提出了全新的要求。合规管理是企业治理的重要工作内容，经典的合规管理理论高度强调通过充分的发挥企业合规管控职能来不断的提高企业的风险控制能力。鉴于此，本文通过研究医药公司合规风险防控的理论与实践问题，并从企业单项和整体生产经营活动的角度来系统的分析医药公司合规风险防控的路径，试图为我国同类型企业开展合规风险防控工作提供指导。 A公司是我国一家具有一定规模优势的医药企业，其核心的业务主要包括医药流通和医药制造。在2014年开始，A公司便提出了合规管理的发展目标，并应用多元化的合规管理手段来有效的完善公司的合规风险防控机制和公司治理体系。但从实际情况来看，由于A公司所开展的合规管理工作具有一定的局限性，同时也没有将合规管理与公司治理、合规风险防控等各项工作有效的结合，从而导致A公司的合规管理工作效果不尽如人意。 首先，基于这一背景，本文在分析合规管理的概念以及风险管理、内部控制等理论的基础上，并从单项生产运营活动和整体生产运营活动的视角，对A公司合规风险因素进行识别，通过问卷调查对风险因素进行了再次确认，得到A公司合规风险因素清单。其次，分析了目前A医药公司合规风险现状及存在的主要问题，分析了问题背后的成因。最后，据此提出针对性的合规风险管理优化建议，试图指导我国同类型企业科学的开展合规风险管理工作，提升合规风险管理水平。
英文摘要：	At present, the pharmaceutical industry has become the most valuable value-added potential of the sunrise-industry, especially with the "Made in China 2025", focus on the pharmaceutical industry has made a clear plan, in recent years, the development scale and development speed of Chinese pharmaceutical enterprises have achieved synergistic improvement. But at the same time, the internal and external competition environment facing the pharmaceutical industry is also more intense. Due to the pharmaceutical industry generally have high risk, long investment and effect of product market, the promotion period and other characteristics, especially in COVID - 19 outbreak background that the social public demand for the vaccine development and medical supplies and increasing attention, for the pharmaceutical industry's own ability to resist risk and value-added ability put forward new requirements. Compliance management is an important work content of enterprise governance. Classical compliance management theory highly emphasizes the continuous improvement of enterprise risk control ability by giving full play to the compliance control function of enterprises. In view of this, this thesis studies the theoretical and practical issues of compliance risk prevention and control in pharmaceutical companies, and systematically analyzes the path of compliance risk prevention and control in pharmaceutical companies from the perspective of individual and overall production and business activities, in an attempt to provide guidance for the same type of enterprises in China to carry out compliance risk prevention and control. Company A has A certain scale advantage of pharmaceutical enterprises, its core business mainly includes pharmaceutical circulation and pharmaceutical manufacturing. Since 2014, A company has put forward the development goal of compliance management and applied diversified compliance management methods to effectively improve the internal control mechanism and corporate governance system of the company. However, from the actual situation, the compliance management work carried out by Company A has certain limitations, and it does not effectively combine compliance management with corporate governance, internal control and other work, which leads to the unsatisfactory effect of compliance management work of Company A. First of all, based on this background, on the basis of analyzing the concept of compliance management, risk management, internal control and other theories, and from the perspective of individual production and operation activities and the overall production and operation activities, this thesis identifies the compliance risk factors of Company A, reconfirms the risk factors through a questionnaire survey, and obtains a list of compliance risk factors of Company A. Secondly, it analyzes the current compliance risk situation and main problems of A Pharmaceutical Company, and analyzes the causes behind the problems. Finally, based on this, we put forward targeted recommendations for the optimization of compliance risk management, trying to guide the same type of enterprises in China to carry out scientific compliance risk management and improve the level of compliance risk management.
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