企业合规第121期 | 中国证券业协会修订发布《证券公司履行社会责任专项评价办法》

Group 1 - The "Corporate Compliance" column will provide major compliance-related legislative and enforcement alerts for state-owned enterprises in Shenzhen, enhancing their ability to mitigate compliance risks and support their international expansion [2] Group 2 - The China Securities Association revised and published the "Special Evaluation Measures for Securities Companies' Social Responsibility," which includes 18 articles and 13 evaluation indicators focusing on rural revitalization, investor education, social welfare, and industry ecological construction [3] - Securities companies are advised to align their annual social responsibility plans with the evaluation measures and actively disclose their social responsibility performance through various channels [3] Group 3 - The Ministry of Transport announced the revised "Management Measures for Survey and Design of Railway Construction Projects," which includes 10 chapters and 56 articles outlining compliance obligations throughout the railway construction process [4] - Railway construction companies are encouraged to strengthen compliance management and ensure quality control throughout the entire process [4] Group 4 - Six departments, including the National Intellectual Property Administration, jointly issued the "Guidelines for the Construction and Operation of Patent Pools," aimed at guiding high-quality patent pool development and promoting patent resource integration [5] - High-tech and patent-intensive companies are advised to establish clear standards for patent pool entry and optimize licensing mechanisms to ensure fair conditions [5] Group 5 - A company in Hainan was penalized for concealing over 200 million yuan in unbilled sales revenue, resulting in a total penalty of approximately 29 million yuan [7] - Companies are advised to maintain accurate accounting records and ensure all transactions are conducted through official accounts to avoid tax evasion [7] Group 6 - Two insurance companies had their business licenses revoked due to multiple violations, including discrepancies in governance reports and unauthorized transactions [8][9] - Insurance companies are recommended to establish mechanisms for verifying the accuracy of reports submitted to regulators and to ensure compliance with governance standards [9] Group 7 - The State Administration for Market Regulation published ten typical cases of illegal advertising across various sectors, highlighting issues in internet advertising [10] - Companies are urged to conduct thorough advertising reviews to prevent false claims and ensure compliance with advertising regulations [10] Group 8 - The U.S. Department of Justice released new guidelines for the Foreign Corrupt Practices Act (FCPA), focusing on reducing burdens on U.S. companies operating overseas while targeting corruption [12] - Companies are advised to stay informed about these guidelines to ensure compliance in international operations [12] Group 9 - The European Data Protection Board issued guidelines on data transfer to third countries under GDPR, emphasizing the need for legal bases and safety measures [12][13] - Companies should evaluate the legality of data transfers and ensure compliance with GDPR requirements when responding to data requests from third countries [13] Group 10 - The UK Parliament passed the Data Use and Access Bill, which aims to balance data innovation with privacy protection [15] - Companies should be aware of the new data protection principles and the requirements for data sharing under this legislation [15]