合規(guī)管理體系 指南

1、IICS03.080A02中華人民共和國國家標準中華人民共和國國家標準GBT—合規(guī)管理體系指南ComplianceManagementSystems—Guidelines（ISO19600:2014ComplianceManagementSystems—Guidelines，IDT）征求意見稿20170204發(fā)布實施GBTXXXX201XI目次前言.............................................

2、..................................III引言................................................................................IV1范圍..............................................................................12規(guī)范性引用文件.........

3、...........................................................13術(shù)語和定義........................................................................14組織背景..........................................................................64

4、.1理解組織及其背景..............................................................64.2理解相關(guān)方的需求和期望........................................................64.3確定合規(guī)管理體系的范圍........................................................64.4合規(guī)

5、管理體系和良好治理原則....................................................64.5合規(guī)義務(wù)......................................................................64.6識別、分析和評價合規(guī)風險......................................................75領(lǐng)導.....

6、.........................................................................85.1領(lǐng)導和承諾....................................................................85.2合規(guī)方針..............................................................

7、........85.3組織的角色、職責和權(quán)限........................................................96策劃.............................................................................116.1合規(guī)風險的應(yīng)對措施..............................................

8、.............126.2合規(guī)目標和實施策劃...........................................................127支持.............................................................................127.1資源.............................................

9、............................127.2能力和培訓...................................................................127.3意識.........................................................................137.4溝通............................

10、.............................................147.5文件化信息...................................................................158運行.............................................................................168.1運行的策劃和控制...

11、..........................................................168.2建立控制和程序...............................................................168.3外包過程.....................................................................179績效評價..

12、.......................................................................179.1監(jiān)視、測量、分析和評價.......................................................179.2審核.......................................................................