|本期目录/Table of Contents|

[1]白艳.“一带一路”背景下中国企业海外投资合规风险控制策略[J].长安大学学报(社科版),2017,19(04):79-85.
　BAI Yan.Compliance risk control strategies of overseas investment for Chinese enterprises under the background of the Belt and Road[J].Journal of Chang＇an University(Social Science Edition),2017,19(04):79-85.
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“一带一路”背景下中国企业海外投资合规风险控制策略(PDF)
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《长安大学学报（社科版）》[ISSN:1671-6248/CN:61-1391/C]

卷:
第19卷
期数:
2017年04期
页码:
79-85
栏目:
经济管理
出版日期:
2017-10-20

文章信息/Info

Title:
Compliance risk control strategies of overseas investment for Chinese enterprises under the background of the Belt and Road
作者:
白艳
西北政法大学法学院，陕西西安710063
Author(s):
BAI Yan
School of Law, Northwest of Political Science and Law, Xian 710063, Shaanxi, China
关键词:
“一带一路”; 合规风险; 监控机制; 诉讼团队; 决策者
Keywords:
the Belt and Road;  compliance risk;  monitoring mechanism;  litigation team;  decision makers
分类号:
D996;F272
DOI:
-
文献标志码:
A
摘要:
在“一带一路”背景下，中国企业走向国际市场时因为不符合东道国的法律法规和政策所遭受的被东道国行政、司法机关处罚，而产生信誉降低和经济损失等巨大合规风险，从理论和实务的角度，分析并提出了控制合规风险的策略。研究认为，企业应根据所在国家或地区的相关法律法规、行业规则，建立相应的监控、评估制度，建立行为性合规监控制度和结构性合规监控制度，确保经营活动符合相关法律的规定，防患于未然；企业应重视东道国的法律，尊重其程序，建立面对同一行业竞争对手的横向实时监控和针对上下游企业的纵向实时监控机制，组建了解东道国法律法规以及诉讼程序的诉讼团队，利用向行政主管机关申诉或投诉、向司法机关起诉等主动出击方式有效地保护自我的合法权益；当企业不可避免地面对危机或矛盾时，应采取积极应对策略，在矛盾尚未公开化的初期积极解决，在矛盾公开化之后积极配合调查，并积极参与诉讼争取权益最大化，当面对竞争对手的打击或举报时，主动与主管机关沟通并积极回复，争取获得集体或单独豁免。
Abstract:
Under the background of the Belt and Road, Chinese enterprises suffered from huge compliance risks such as lower reputation and economic losses because they didn’t conform to laws, regulations and policies of the host country, and subjected to the administrative and judicial penalties imposed by the host government, when they moved into the international market. The strategies of controlling compliance risk from the theoretical and practical point of view were put forward in this paper. The research shows that according to the relevant laws, regulations and industry rules of the country or region, enterprises should establish corresponding monitoring system, evaluation system, behavioral compliance monitoring system and structural compliance monitoring system to ensure that business activities conform to the relevant laws and regulations, and take preventive measures; enterprises should pay attention to the laws of the host country, respect for procedures, establish horizontal realtime monitoring mechanism for facing competitors in the same industry and longitudinal realtime monitoring mechanism for upstream and downstream enterprises, and set up a lawsuit team to understand the laws, regulations and procedure of the host country. The effective protection of the legitimate rights and interests of the self shall be made by means of appeals or complaints to administrative authorities, prosecution to judicial authorities and other proactive approaches; when enterprises inevitably face crisis or contradictions, positive coping strategies should be adopted. In the initial stage of contradictions which have not been made public, they should be resolved actively. After contradictions becoming public, they should actively cooperate with the investigations and participate in the litigation to maximize the rights and interests. When facing a competitor’s blows or reports, it should actively communicate with competent authorities and then positively respond, so as to strive to get the collective or individual immunity.

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备注/Memo

备注/Memo:
白艳（1966），女，陕西清涧人，副教授，中国政法大学法学博士，巴黎第二大学法国国家法学博士，法国巴黎执业律师。
更新日期/Last Update: 2017-10-20