Compliance Management

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 cooresponding 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.