On December 12, 2022, in response to the phenomenon of securities futures crimes, the Third Branch of the Beijing Municipal People's Procuratorate issued the "Guidelines for Compliance Rectification of Enterprises involved in Securities and Futures Crimes (Trial)" and two related supporting regulations: "Key Points for Special Compliance Review of Information Disclosure by Listed Companies (Trial)" and "Key Points for Special Compliance Review of Enterprises Involved in Transactions Using Undisclosed Information (Trial)". 
The publication of this guideline and supporting regulations will play an important guiding role in the reform of enterprises involved in securities and futures crimes. While providing reference for relevant compliance rectification and inspection work in the field of securities and futures crimes, it also plays a role in further promoting the development of the third-party compliance supervision and evaluation mechanism of enterprises involved in the case, which can greatly improve the standardization, effectiveness and pertinence of the compliance rectification of enterprises involved in securities and futures crimes.
During the drafting process of this guideline, the Third Branch of the Beijing Municipal People's Procuratorate focused on securities and futures crimes in terms of criminal subjects , criminal objects, crime-prone links, and main criminal methods, and combined with the actual situation of case handling, sorted out the common compliance risk points of related crimes, and used the above content as the key content in formulating compliance plans and implementing compliance rectification, so as to be targeted. In terms of the overall structure of the guide, the "Rectification Guide" adopts the form of "main text + attachments", which is specifically reflected in the following: the general rules and general content of the compliance of the companies involved are clarified in the main text, and the compliance content involving each crime is formed into separate attachments to stipulate, so as to take into account the general situation and the specific situation, and the form of expression is clear and complete. In the general provisions of the "Rectification Guide",
clarifies the key contents such as the scope of application, guiding principles and compliance rectification procedures of the guide. It is stated in the scope of application that the enterprises involved in the case include two categories: the first category is enterprises that directly commit unit crimes; the second category is natural person crimes committed by key personnel of companies and enterprises and closely related to the production and operation of enterprises. In terms of the guiding principles of , the guide highlights compliance risk prevention and control. Corporate compliance is a compliance risk that targets the production and operation management of an enterprise and the performance of employees' duties. Based on this, establishing a compliance management system, improving the compliance operation mechanism, cultivating a compliance culture, and carrying out supervision and accountability activities, the core content of which is the prevention and control of compliance risks.
Regarding the compliance rectification plan of the company involved in the case, the guidelines stipulate that the compliance rectification plan should include risk investigation, risk management specification construction, organizational system construction, and risk prevention and control mechanism construction. In addition, the basic compliance elements should also include compliance management specifications and compliance organization systems. can see that corporate compliance construction is not a simple task and needs to be completed reasonably by all industries. In order to provide talent support for the compliance construction of our country's enterprises, on March 18, 2021, the Ministry of Human Resources and Social Security, together with the State Administration for Market Regulation and the National Bureau of Statistics, the three departments jointly included the new profession of "corporate compliance specialist" into my country's "Occupational Classification Ceremony", identifying corporate compliance specialists as talents who professionally provide compliance services to enterprises. In addition, in response to the requirements of "accelerating the development of new occupational standards" in the "Notice on Strengthening New Vocational Training" issued by relevant national departments, on November 25, 2021, China Enterprise Evaluation Association officially released the "Evaluation Standards for Professional Skills of Enterprise Compliance Officers". As the first domestic standard in the field of enterprise compliance, this standard responds to and implements the country's requirements for the orderly development of new occupation evaluations, and supplements the domestic gaps in the field of enterprise compliance.
Based on the "Evaluation Standards for the Professional Skills of Enterprise Compliance Officers", the China Enterprise Evaluation Association organized and carried out the Professional Ability (Level) Examination of Enterprise Compliance Officers as an authoritative standard to test the professional compliance level of relevant talents in enterprises. The exam is currently scheduled to start on March 18, 2023, and registration is now underway. More information can be found on the Corporate Compliance Officer Examination website.
