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Compliance and Risk Management Compliance and Risk Management

Enterprises are required to fulfill their social responsibilities through operations and management based on the rule of law and related regulations. This not only holds significant historical importance for the comprehensive governance of the country by rule of law, but also serves as a crucial mechanism for enhancing the management standards of enterprises. By conducting operations and management in accordance with legal frameworks, enterprises can elevate their management standards and form a law-based business model. Law-based management not only facilitates the evolution of profit growth models but also enhances the market competitiveness of enterprises.
 
Dacheng’s compliance teams consist of professionals from diverse countries, regions, and practices. Through the seamless integration of professional resources and collaborative efforts, our teams offer one-stop, high-level, innovative and valuable legal services to large enterprises. Our professionals boast top domestic and overseas law school backgrounds and hold qualifications to practice in multiple jurisdictions, proficient in various languages. They have rich experience in collaborating with government organs, judicial departments and central enterprises.
 
Dacheng is dedicated to advancing research and development in the automation and digitization of enterprise legal affairs. Leveraging cutting-edge digital technology, Dacheng’s compliance products are designed to efficiently oversee and regulate the organizational structures, institutional frameworks, operational processes, and cultural aspects integral to corporate compliance management. While reducing costs and improving efficiency, digital and intelligent management tools can gather scattered data and introduce digital technologies such as big data and artificial intelligence to monitor, identify, and analyze compliance risks intelligently. In addition, the tools can also provide real-time, visualized and quantitative evaluations of the effects of compliance implementation, helping enterprises effectively prevent and monitor compliance risks to respond quickly after incidents, and promoting the digital transformation of compliance for enterprises.
 

Key servicesKey services

Special compliance legal services
1. Banking, insurance and other financial sectors.
2. Tax-related matters in daily business operations, major transactions, M&A, financing and reorganization etc.
3. Corporate equity acquisitions, asset acquisitions, mergers and separations.
4. Criminal offenses allegedly committed by enterprises or senior executives, and rectification of enterprises involved.
5. State-owned enterprise property rights and equity transactions, including the services for asset transfers, equity transfers, capital increases and reductions of state-owned enterprise.
6. Securities issuance and transaction.
7. Issuance of corporate bonds.
8. Export controls and economic sanctions.
9. Antitrust and anti-unfair competition.
10. Network information security and data protection.
11. Safety and environmental protection.
12. Other forms of legal services.

 

Perennial compliance legal services
1. Contract review, including drafting, review and modification, making contract templates and refine contract management processes.
2. Human resources matters, including legal consultation on employee recruitment and dissolution, review of labor policies and employee handbooks, and consultation on labor disputes and arbitration.
3. Rules and regulations related matters, including review of rules and regulations, consultation on corporate compliance management, and design and consultation on corporate governance plans.
4. IP matters, including search on trademark, patent, and copyright registration, review and consultation on brand protection plans, and consultation on IP infringement.
5. Financing matters, including preliminary legal consultation on corporate equity financing, debt financing and financing cooperation etc.
6. Litigation and arbitration, including preliminary consultation on litigation or arbitration involving enterprises.
7. Public relations in legal crises, including preliminary consultation on crises or other emergency situations.
8. Common legal training, including providing general training of new laws for the management and employees to enhance legal awareness.
9. Standardization of legal work, including providing consultation and assistance in standardizing and modularizing the basic and routine legal operations of enterprises.
10. Making annual legal risk assessment report, summarizing litigation, disputes and industry risks and issuing the annual risk assessment report.
11. Compliance consultation, including consultation on diagnosing and analyzing compliance management system, risk control measures, and the establishment of compliance organizational structure of enterprises.
12. Making compliance diagnostic report focusing on business lines and product lines, etc., and issuing reports accordingly.
13. Argument on difficult and important cases, namely providing third-party legal argument for difficult and important cases when necessary.
14. Legal management organizational structure, namely setting up legal department and management process suitable for the business model of enterprises.
15. Legal personnel training, namely providing professional training, exchange activities, for the legal and compliance management personnel of enterprises.
16. Other forms of legal services.

 

Compliance legal services
(1) The development of a compliance management system, namely establishing an organized and planned management system tailored to the actual situation of enterprises, with the aim of effectively preventing and controlling compliance risks, focusing on business management behaviors of both the enterprise and its employees. The activities involved include system formulation, risk identification, compliance review, risk response, accountability, performance evaluation and compliance training.
 
(2) Providing special compliance services in key areas, namely assisting enterprises in establishing and improving special compliance management systems focusing on key areas based on their production and business needs.
 
(3) Providing compliance evaluation service, which means lawyers provide assessments of the enterprise's compliance situation.
 
(4) Conducting investigations into the enterprise's compliance situation.
 
(5) Providing trainings to enterprises and relevant personnel on compliance knowledge and skills.
 
(6) Assisting in responding to enforcement investigations, namely helping enterprises correctly deal with administrative investigations by government departments and criminal investigations by criminal law enforcement organs in accordance with laws, excluding other non-enforcement investigations.
 
(7) Other legal services related to enterprise compliance management.

 

  • Add： 14th-15th Floor, Guangzhou CTF Financial Center, 6 Zhujiangdong Road, Zhujiang New Town, Guangzhou City, Guangdong Province, China
  • TEL： +86 20-85277000
  • FAX： +86 20-85277002

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Copyright© 2017 Dacheng Guangzhou Office.Beijing Dacheng Law Offices, LLP (“大成”) is an independent law firm, and not a member or affiliate of Dentons. 大成 is a partnership law firm organized under the laws of the People’s Republic of China, and is Dentons’ Preferred Law Firm in China, with offices in more than 40 locations throughout China. Dentons Group (a Swiss Verein) (“Dentons”) is a separate international law firm with members and affiliates in more than 160 locations around the world, including Hong Kong SAR, China. For more information, please see dacheng.com/legal-notices or dentons.com/legal-notices.