ICS 03.100.01 CCS A 02 DB4403 深圳市 地方标准 DB4403/T 350—2023 企业合规管理体系 Enterprise compliance management systems 2023-08-10发布 2023-09-01实施 深圳市市场监督管理局 发布 DB4403/T 350—2023 I 目次 前言 ................................ ................................ ................. III 引言 ................................ ................................ .................. IV 1 范围 ................................ ................................ ................ 1 2 规范性引用文件 ................................ ................................ ......1 3 术语和定义 ................................ ................................ .......... 1 4 基本原则 ................................ ................................ ............ 2 4.1 有效适宜原则 ................................ ................................ ....2 4.2 全面覆盖原则 ................................ ................................ ....2 4.3 客观独立原则 ................................ ................................ ....2 4.4 协同联动原则 ................................ ................................ ....2 4.5 公开易得原则 ................................ ................................ ....2 5 企业环境 ................................ ................................ ............ 2 5.1 理解企业及其环境 ................................ ................................ 2 5.2 理解利益相关方的需求和期望 ................................ ...................... 2 5.3 确定合规管理体系的适用范围 ................................ ...................... 2 5.4 建立合规管理体系 ................................ ................................ 3 6 领导作用 ................................ ................................ ............ 3 6.1 最高领导者的作用和承诺 ................................ .......................... 3 6.2 合规职责 ................................ ................................ ........ 3 6.3 合规方针 ................................ ................................ ........ 4 6.4 合规文化 ................................ ................................ ........ 5 7 策划 ................................ ................................ ................ 5 7.1 合规目标及其实现的策划 ................................ .......................... 5 7.2 应对合规风险的措施 ................................ .............................. 5 7.3 合规管理体系变更的策划 ................................ .......................... 6 8 支持 ................................ ................................ ................ 6 8.1 聘用程序 ................................ ................................ ........ 6 8.2 合规培训 ................................ ................................ ........ 7 8.3 合规沟通 ................................ ................................ ........ 7 8.4 合规考核 ................................ ................................ ........ 7 8.5 合规咨询 ................................ ................................ ........ 7 8.6 文件化信息 ................................ ................................ ......8 8.7 信息化建设 ................................ ................................ ......8 9 运行 ................................ ................................ ................ 8 DB4403/T 350—2023 II 9.1 合规审查与检查 ................................ ................................ ..8 9.2 合规调查 ................................ ................................ ........ 8 9.3 合规报告 ................................ ................................ ........ 8 9.4 合规举报与违规处理 ................................ .............................. 9 10 绩效评价 ................................ ................................ ........... 9 10.1 监视、测量、分析和评价 ................................ ......................... 9 10.2 内部审核 ................................ ................................ .......9 10.3 管理评审 ................................ ................................ ......10 11 持续改进 ................................ ................................ .......... 10 11.1