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Corporate Compliance Management

• Working together with the company and its management team to:

   Define the scope of the compliance management system;

   Identify compliance obligations;

   Identify, analyze and evaluate compliance risks;

   Draft compliance policy;

   Identify organizational roles, individual job position and their corresponding duties, responsibilities and authorities;

   Assign responsibility for compliance within the company;

   Form a compliance governing body and to determine the top management role and responsibilities;

   Set compliance function, management and employees responsibilities;

   Draft an action plan to address compliance risk, nonconformity, noncompliance and corrective action;


• Conducting training for management and employees;

• Conducting compliance performance evaluation on regular intervals and issue a compliance report for such matter and our recommendation on improvement;

• Conducting compliance review on regular intervals or at least once a year and issue a compliance review report of our findings and recommendation.   

 


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Typical Examples of Corporate Compliance Management Related Matters

 

Matters Represented by Us:

 

1. Acting for a Singapore consulting company to advise on internal compliance matters;

2. Acting for a French invested automobile accessories company to conduct a compliance review and to make recommendation on internal management;

3. Acting for a Shanghai technology company to conduct a compliance review and to make advance preparation in anticipation of an acquisition by a foreign party;

4. Acting for a Shanghai company intending to undergo initial public offering to conduct a compliance review and to advise on matters relating to organization structure as well as the internal regulatory control system for each different department;

5. Acting for a Shanghai company intending to undergo listing on the National Equities Exchange and Quotation to conduct an overall compliance management review and to make necessary ratification and reorganization.