1.1 为什么要加强合规管理

【标准原文】

Organizations that aim to be successful in the long term need to maintain a culture of integrity and compliance,and to consider the needs and expectations of stakeholders.Integrity and compliance are therefore not only the basis,but also an opportunity,for a successful and sustainable organization.

Compliance is an outcome of an organization meeting its obligations,and is made sustainable by embedding it in the culture of the organization and in the behaviour and attitude of people working for it.While maintaining its independence,it is preferable if compliance management is integrated with the organization's financial,risk,quality,environmental and health and safety management processes and its operational requirements and procedures.

An effective,organization-wide compliance management system enables an organization to demonstrate its commitment to compliance with relevant laws,including legislative requirements,industry codes and organizational standards,as well as standards of good corporate governance,best practices,ethics and community expectations.

An organization's approach to compliance is ideally shaped by the leadership applying core values and generally accepted corporate governance,ethical and community standards.Embedding compliance in the behaviour of the people working for an organization depends above all on leadership at all levels and clear values of an organization,as well as an acknowledgement and implementation of measures to promote compliant behaviour.If this is not the case at all levels of an organization,there is a risk of noncompliance.

In a number of jurisdictions,the courts have considered an organization's commitment to compliance through its compliance management system when determining the appropriate penalty to be imposed for contraventions of relevant laws.Therefore,regulatory and judicial bodies can also benefit from this International Standard as a benchmark.

Organizations are increasingly convinced that by applying binding values and appropriate compliance management,they can safeguard their integrity and avoid or minimize noncompliance with the law.

Integrity and effective compliance are therefore key elements of good,diligent management.Compliance also contributes to the socially responsible behaviour of organizations.

【对应的中文表达】

组织要想长期获得成功，就需要保持诚信和合规的文化，并考虑利益相关者的需求和期望。因此，廉洁和合规不仅是成功和可持续组织的基础，也是一个机会。

合规是一个组织履行其义务的结果，通过将其融入组织的文化以及为其工作的人的行为和态度中，使其具有可持续性。在保持其独立性的同时，最好将合规管理与组织的财务、风险、质量、环境、健康和安全管理过程及其运作要求和程序结合起来。

一个覆盖全组织范围的有效的合规管理体系可以使一个组织表明其遵守相关法律的承诺，包括立法要求、行业规范和组织标准，以及良好的公司治理标准、最佳实践、道德和社区期望等。

在理想情况下，组织的合规方法是由领导层应用核心价值观和普遍接受的公司治理、道德及社区标准来形成的。将合规融入组织工作人员的行为，首先取决于各级领导和组织明确的价值观，还有他们的认知和实施促进合规行为的方法与措施。如果一个组织的所有级别都不是这样，那么就会有不合规的风险。

在许多管辖范围内，法院在决定对违反相关法律的行为处以适当处罚时，已开始通过其合规管理体系来考虑一个组织对合规的承诺。这样，监管和司法机构也可以受益于这一国际标准。

各组织越来越相信，通过应用具有约束力的价值观和适当的合规管理，可以维护自身的诚信，并避免或尽量减少不遵守法律的行为。

因此，诚信和合规是良好的勤勉管理的关键要素。合规也有助于组织的社会责任行为。