Jiangsu's third-party supervision and evaluation mechanism prevents companies from "paper compliance"

  News from this newspaper (Reporter Wang Wei, Correspondent Lu Zhijian) "After we rectified the company's tax issues in compliance, we have formed a set of relatively standardized company management system, and the market has greatly improved our acceptance. Last year, the company's total orders It is more than 30 million yuan, and in the first two months of this year, the total order amount reached 30 million yuan." Recently, the third-party supervision and evaluation mechanism management committee of Zhenjiang City, Jiangsu Province established a tour inspection team composed of three experts. The companies involved in compliance rectification carried out "unannounced inspections" and checked the performance of third-party monitoring and evaluation organizations and compliance supervisors. The person in charge of one of the companies happily introduced the great changes brought about by compliance rectification.

  It is reported that at the end of February this year, the procuratorial organ made a decision not to prosecute the enterprise and its legal representative, and at the same time suggested that the taxation department impose administrative penalties on the enterprise, and urged the enterprises involved to carry out compliance rectification.

  The pilot program of corporate compliance reform is an important measure taken by the procuratorial organs to benefit enterprises and the people.

It refers to the fact that the procuratorial organs, while making decisions not to approve arrest or prosecution in accordance with the law in handling criminal cases involving enterprises, or proposing lenient sentencing recommendations based on the leniency system for admitting guilt and accepting punishment, etc., at the same time, for enterprises suspected of specific crimes, in light of the actual case handling, supervise and urge The companies involved in the case made compliance commitments and actively implemented rectifications to promote compliance and law-abiding business operations.

  It is reported that objective, fair and effective supervision and evaluation of the compliance commitments and rectification of the companies involved is a key link in corporate compliance rectification.

Professional and substantive third-party supervision and evaluation is the key to ensuring that corporate compliance rectification is truly implemented.

Since 2021, Jiangsu has used the third-party supervision and evaluation mechanism to handle 104 corporate compliance cases, promoting real rectification and compliance of enterprises.

  "The invoice numbers in the company's account books are discontinuous, the compliance officer is not in place, and there are still risks and loopholes in falsely issuing special VAT invoices..." On February 21, a company involved in the case of falsely issuing special VAT invoices was conducting a compliance inspection. Ushered in the "toughest" examiner.

Shao Cong, a member of the Jiangsu compliance inspection expert database and a lecturer at Soochow University, said that the company's implementation of the compliance plan was acceptable, but there were many flaws. Whether it can pass the compliance inspection depends on the follow-up rectification.

  According to the third-party evaluation opinion, the Wuxi Huishan District Procuratorate issued a risk reminder letter to the enterprise, warning the potential risks of unqualified inspections, and urging the enterprise to strengthen rectification.

At present, the company is undergoing further rectification.

  For companies involved in the case that do not implement their compliance commitments and want to take the opportunity of compliance to get light treatment, there will be strict checks by third-party organizations.

Then, with the third-party mechanism management committee, can third-party supervision and evaluation be safely handed over to third-party organizations?

  "That's definitely not possible. The procuratorial organs must assume the leading responsibilities in the whole process of the enterprise compliance reform pilot!" Yu Botao, deputy chief procurator of the Jiangsu Provincial Procuratorate, believes that in handling corporate compliance cases, the procuratorial organs' leading responsibilities are mainly reflected in Four aspects: strictly control the activation of the third-party mechanism; strictly control the selection and appointment of third-party organization personnel; strictly control the effectiveness of the compliance plan; guide the third-party mechanism management members to establish standards and methods for compliance effectiveness supervision evaluation , to prevent companies from "paper compliance".

  Wang Wei

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