Compliance & Regulation

Services

• Compliance Management System Consulting

  Addressing current market pain points—such as SOEs aligning with SASAC guidelines, listed companies meeting exchange rules, and SMEs requiring cost-effective, lightweight implementations—we offer tiered, comprehensive consulting:
  1.Foundational Implementation: Compliance due diligence, hierarchical risk mapping, mid-to-long-term planning, structural design for group-subsidiary governance, drafting of comprehensive compliance manuals (including foundational policies, specialized guidelines, process templates, internal control models, and accountability mechanisms), organizational structuring for compliance teams, oversight mechanisms, and compliance culture promotion (internal publications, awareness campaigns, and codes of conduct).
  2.Integrated Custom Products: "Five-in-One" integration of Legal, Compliance, Internal Control, Risk Management, and Taxation; establishment of centralized compliance review platforms; SASAC guideline alignment transformations for SOEs; CSRC-aligned internal control systems for listed companies; and streamlined compliance packages for specialized SMEs.
  3.ESG Compliance Frameworks: Aligning with A-share and HKEX ESG disclosure requirements to provide integrated Environmental, Social, and Governance compliance designs that meet mandatory capital market disclosure standards.

• Compliance System Assessment & Certification Support

  1.System Assessment: Conducting independent evaluations of existing compliance frameworks against laws, regulations, and ISO 37301 standards via field testing and sampling. We issue assessment reports detailing remediation priorities and track closure. This service is an essential prerequisite for SOE bidding, bank credit facilities, and investment M&A due diligence.
  2.Certification Support: End-to-end assistance in obtaining ISO 37301 (Compliance), ISO 27001 (Information Security), ISO 31000 (Risk Management), and industry-specific certifications (e.g., GSP for pharmaceuticals, safety production standardization) required for government procurement and supply chain access.
  3.Third-Party Compliance Evaluations: Facilitating the procuratorate's third-party supervision mechanism for enterprise compliance, conducting acceptance reviews for companies involved in criminal cases, and supporting the implementation of criminal compliance programs.

• Operationalizing Compliance Mechanisms

  Aligning with the regulatory logic of "early warning, ongoing control, and post-event accountability," we establish continuous operational mechanisms throughout business processes:
  Routine identification and tiered assessment of compliance risks
  Pre-transaction compliance reviews across business workflows
  Closed-loop daily compliance advisory
  Tiered escalation protocols for major risk warnings
  Emergency response for sudden compliance incidents
  Internal whistleblowing and fraud investigations
  Cross-departmental compliance liaison meetings
  Annual compliance supervision and performance appraisals
  Market-driven Products: End-to-end procurement compliance controls, executive履职 (performance) compliance documentation mechanisms, and related-party transaction approval protocols (tailored for high-frequency needs of SOEs and listed companies).

• Specialized Sector Compliance Services

  Responding to intensive legislative developments and high-frequency enforcement actions, we focus on high-demand niches:
  1.Antitrust & Anti-Unfair Competition: Merger control filings, self-inspection and remediation of monopoly agreements, SAMR antitrust investigation defense, platform economy compliance restructuring, and distribution pricing framework design.
  2.Data & Artificial Intelligence: Data classification and grading, Personal Information Protection Impact Assessments (PIPIA), cross-border data transfer security assessments, algorithm filing, LLM deployment compliance, and data breach incident response.
  3.Criminal Compliance: Full-process support for non-prosecution agreements under enterprise compliance programs, pre-emptive criminal risk assessments, anti-fraud internal investigations, and targeted remediation for commercial bribery and tax-related risks.
  4.Tax & Customs: Tax risk assessments under the Golden Tax Phase IV system, customs audit defense, export tax rebates, and cross-border fund structuring compliance.
  5.Intellectual Property: Trade secret protection, trademark and patent risk management, and OEM/IP compliance.
  6.Labor & Employment: Policy revisions, flexible employment arrangements, non-compete agreements, and labor inspection defense.
  7.Product Safety & Production: Product quality remediation, hazardous chemicals and industrial mining safety compliance, and product recall strategy design.
  8.Pharmaceuticals & Medical Devices: Anti-bribery compliance, DRG medical insurance compliance, and device registration compliance.
  9.Environmental & Carbon Neutrality: Pollution discharge permits, EIA remediation, carbon footprint management, and environmental penalty resolution.
  10.Securities & Funds: Private equity compliance and listed company information disclosure compliance.
  11.Bidding & Tendering: Document compliance reviews and bid-rigging risk screening.
  12.Anti-Fraud Investigations: Supply chain corruption, employee embezzlement investigations, and subsequent remediation.

• Regulatory Response

  Providing phased, end-to-end support aligned with routine enforcement by SAMR, CAC, Tax Authorities, Customs, MEE, NMPA, CSRC, and other bodies:
  1.Pre-incident: Interpretation of new regulations, industry audit forecasting, and preemptive self-inspections.
  2.During Investigation: Assistance with regulatory inquiries, accompaniment during on-site inspections, hearing representation, and administrative penalty agency.
  3.Post-Incident: Administrative reconsideration, litigation, and full-cycle closed-loop compliance remediation following penalties.
  4.Major Crises: Joint departmental inspections, industry-wide special rectifications, cross-border coordinated investigations, and extraterritorial sanctions emergency response.

• Compliance Training

  Offering three standardized training products:
  1.Customized In-house Training: Tiered sessions for executives, risk managers, and business units, including case studies on regulatory penalties.
  2.Industry Open Courses: Public seminars on data, criminal, and cross-border compliance targeting SMEs.
  3.Annual Training Systems: Bespoke annual training plans, mandatory onboarding modules, online question banks, assessment frameworks, and bundled service packages.

• Cross-Border / Outbound Enterprise Compliance

  Covering the full lifecycle of international business operations:
  1.Pre-Investment: Target country market access due diligence, foreign investment security reviews, compliant investment structuring, and partner risk assessments.
  2.Daily Operations: Export control and sanctions screening, cross-border data compliance, overseas labor laws, international tax and customs, and anti-commercial bribery.
  3.Crisis Management: Defense against overseas regulatory investigations, de-listing from sanctions lists, and cross-border dispute resolution.
  4.Specialized Practices: End-to-end e-commerce compliance and local compliance for Belt and Road Initiative (BRI) infrastructure projects.

• Commercial Expansion Services

  1.Retainer Compliance Packages: Tiered annual bundles for SMEs, mid-sized enterprises, and listed groups (including routine health checks, daily advisory, and regulatory updates).
  2.Pre-M&A Compliance Due Diligence: Comprehensive compliance risk screening prior to equity financing, M&A transactions, and IPO listings.
  Digital Compliance Integration: Assisting enterprises in deploying compliance SaaS pla