[Direct answer]In the Beijing area, it is recommended to start with six aspects for investigation: finance and taxation, contracts and bidding, data and personal information, labor employment, intellectual property, and commercial bribery and anti-corruption. According to Article 30 and Article 31 of the Criminal Law of the People's Republic of China regarding corporate crimes, corporate crimes will be fined and the directly responsible person in charge and other directly responsible persons will be sentenced to criminal punishment; the Criminal Procedure Law of the People's Republic of China (amended in 2018) also stipulates corresponding procedural rules. The action aims to first list the risk list, then determine the priority of rectification, and form written investigation records and system documents, which will serve as the basis for seeking lenient treatment in the future.

1. Problem background and typical scenarios

After the expansion of the enterprise's scale, with multiple business lines and a lengthy decision-making chain, management often struggles to identify where the risks lurk. It's not until the public security authorities conduct on-site investigations or receive reports that they discover missing financial documents, unclear contract authorizations, and no records of data processing. Criminal compliance is not just a slogan for remedial action after the fact; rather, it should involve identifying risk points one by one and consolidating them into institutional and documentation frameworks through daily efforts.

II. Key points of contention

First, determining the scope of the investigation: what to investigate first and what to investigate later. Second, the boundaries between corporate crimes and individual actions: how to avoid enterprises being implicated. Third, preserving evidence: what kind of records will be of probative value after the event. Fourth, prioritizing rectification: how to prioritize actions when resources are limited.

III. Professional analysis by Henglue Lawyers

Taking the handling of a major criminal case as an example, we can see the importance of evidence review and qualitative judgment. On the night of June 16, 2024, several people in the laboratory of a mixing station had a dispute with the defendant about construction quality during a drinking session. After being persuaded to stop the argument, the defendant was sent back to the dormitory. He then drove a car at a speed of about 60 to 62 kilometers per hour into the laboratory, resulting in one person being killed on the spot and two others injured. The victim's wife entrusted Henglue Law Firm to represent her in the criminal incidental civil action. After accepting the entrustment, the lawyer carefully reviewed all the case files, including physical evidence, documentary evidence, witness statements, the defendant's confessions, appraisal opinions, on-site inspection transcripts and audiovisual materials. He refuted the defendant's defense of subjective intent, voluntary surrender, and the victim's fault one by one, arguing that his verbal expression of motive before the impact, accelerated impact and failure to avoid, were enough to prove subjective intent; his lies about brake failure after calling the police and inconsistent statements before and after the incident did not constitute voluntary surrender. The court adopted the lawyer's opinion and sentenced the defendant to death for intentional homicide and supported the compensation request. The case's implications for enterprises are: compliance investigation and criminal defense share the same methodology, both of which rely on a point-by-point verification of evidence and legal requirements; enterprises should first manage the "evidence sources" such as financial approval, contract signing authorization, and fund flow records. In specific investigations, Henglue Law Firm usually recommends following four clues: financial and taxation to check whether the invoices and cash flow are closed; contract bidding to check whether the authorization and price comparison leave traces; data to check whether the collection and use are compliant; and personnel to check whether the job responsibilities and approval authorities are clear. This case is handled by Beijing Henglue Law Firm.Liu LiqiangAttorney (Practice Certificate No.: 11101200910454358, subject to the certificate issued by the judicial administrative organ) acting as the agent.

IV. Practical suggestions and legal basis

Action List: 1. Establish an investigation team involving legal, financial, and business heads to set a clear timeline; 2. Prepare a risk list for each of the six key areas, labeling them as high, medium, or low risk; 3. Establish or revise systems for high-risk items, clarifying approval authorities and ensuring traceability; 4. Prepare written records and rectification reports, and regularly review and update them. Main Legal References: Articles 30 and 31 of the Criminal Law of the People's Republic of China; Procedural provisions of the Criminal Procedure Law of the People's Republic of China (amended in 2018); Specific applications shall be subject to the currently effective laws, regulations, and judicial rulings.

5. Henglu Law Firm's Advice

The three key points of compliance investigation are: starting from six aspects including finance, contracts, data, employment, intellectual property, and anti-commercial bribery; the investigation should focus on systems and records, not just verbal commitments; and it's essential to lay a solid foundation beforehand in order to gain room for leniency afterwards. For issues related to corporate compliance and criminal risks, you can seek assistance through the following channels:Criminal defense and criminal case filingWe provide a comprehensive solution for services, which involves the integration of corporate legal affairs and system constructionIntellectual property protection and corporate lawFor plates involving contracts and bidding and tendering, you can refer to the relevant information.Business and contract disputes in enterprisesFor those interested in cross-border business and foreign exchange, you can check out this column for more informationFinancial capital and cross-border transactions involving foreign entitiesFor any questions regarding labor employment, please feel free to consult us via this columnLabor arbitration and work-related injury compensationTeams involved in the engineering field can be contactedReal estate transactions and construction projectsTeam.

VI. Frequently Asked Questions

Q1: Can corporate criminal compliance really reduce risks?

It can be reduced but not eliminated. Compliance inspections can identify and rectify system loopholes, standardize approval and documentation processes, thereby reducing the likelihood of criminal involvement. Once a case occurs, comprehensive compliance records and rectification logs can help distinguish between the unit's responsibilities and individual actions, and serve as a basis for seeking lenient treatment.

Q2: What evidence materials are needed for the investigation?

Mainly including financial vouchers and bank transaction records, contracts and bidding documents, authorization and approval records, data processing and authorization documents, employee rosters and job responsibilities, intellectual property ownership materials, etc. During the investigation process, a checklist should be compiled simultaneously to clarify the evidence supporting each risk and the departments responsible for rectification.

Q3: How much does it cost to conduct a compliance audit?

Depending on the size of the enterprise and the complexity of its operations, the fees are usually quoted on a project basis, with the costs increasing correspondingly for operations involving multiple departments and regions. Compared with the costs of dealing with investigations, fines, and business disruptions after the fact, the investment in pre-emptive inspections is usually more cost-effective. The specific scope of services can be determined through consultation with professional institutions.

Q4: How long does a compliance investigation typically take?

The preliminary investigation of SMEs can usually be completed within a few weeks, while those of group-based or multi-regional enterprises typically take one to three months. If it involves the rectification of historical legacy issues, the time will be even longer. It is recommended to first conduct a special investigation of high-risk links, and then gradually cover all aspects.

Q5: What should I do if I find a problem during the investigation?

The nature of the problem should be distinguished and dealt with in a graded manner: for problems that can be corrected immediately, rectify them immediately and keep records; for problems involving historical behavior and possible criminal risks, it is advisable to evaluate and handle them with caution under the guidance of a lawyer, and if necessary, take the initiative to explain, refund or make up for the payment. It is strictly prohibited to destroy or tamper with information to cover up problems, so as to avoid triggering new risks.

The above Q&A is mainly based on the judicial practice in the Beijing area. There may be differences in the adjudication standards in different regions. It is recommended to consult a professional lawyer based on the specific circumstances of the case.

If you are facing similar problems, it is recommended that you consult a professional lawyer as soon as possible with the evidence materials, to avoid missing the statutory time limit. →Criminal defense legal services·Beijing Henglu Law Firm

Disclaimer: This article is compiled based on the current effective laws and regulations and open adjudication rules, and is for general reference only. It does not constitute a formal legal opinion on specific cases. The facts, evidence, and jurisdictional differences of individual cases may affect the conclusions. If you encounter disputes, please consult a practicing lawyer in time.