[Direct answer]In the Beijing area, there are three major aspects: pre-construction (criminal risk assessment, establishment of compliance systems—including systems, processes, red line lists, and training implementation); on-site monitoring during operations (criminal review of major transactions, special compliance plans for high-risk stages, internal investigations, and complaint handling); and post-event response (compliance rectification for involved enterprises—advancing compliance plans according to the procuratorate's compliance reform procedures, cooperating with third-party supervision and evaluation, and striving for non-prosecution or lenient treatment in compliance cases). Compliance is not just a piece of paper; it's a project that embeds criminal red lines into business processes.

1. Problem background and typical scenarios

The word "compliance" has been overused in recent years. Some companies spend a lot of money on a cabinet full of regulatory documents, but in practice, everything remains the same. Other companies only realize after being investigated that compliance rectification could have led to a completely different outcome. Most companies don't have a clear understanding of what criminal compliance legal services actually entail, and where the boundaries lie.

II. Key points of contention

Firstly, the core components of the pre-event system setup. Secondly, the independence and methods of internal investigations. Thirdly, the procedures and value of compliance rectification in cases involving violations. Fourthly, the quality evaluation standards of compliance services.

III. Professional analysis by Henglue Law Firm

This case is handled by Beijing Henglu Law FirmLiu LiqiangAttorney (Practice Certificate No.: 11101200910454358, subject to the documents issued by the judicial administrative authority): **First Level**: - Core components of the pre-incident system: - **Institutional Level**: Criminal risk checklists and redline guidelines (translating high-risk behavioral elements into business prohibitions); - **Approval Escalation Mechanism**: Transactions involving redline lists must undergo review by a committee; - **Process Level**: Traceability norms for fund and business flows (ensuring every transaction and payment is traceable); - **Third-Party Due Diligence Process**: Verifying the qualifications and backgrounds of suppliers and clients; - **Organizational Level**: Compliance officers and reporting lines (independent reporting channels to avoid being subsumed by business units); training and assessments (annual criminal risk training for executives and key personnel). The effectiveness of this framework is validated through sample audits—ensuring every transaction can be traced back to the decision-making and execution process. **Second Level**: Internal Investigations: - Upon receiving reports or detecting anomalies (e.g., employee embezzlement or commercial bribery), internal investigations must be independent (investigators free from conflicts of interest with the subject), standardized (interviews transcripts, evidence preservation, and legal compliance of electronic data collection—illegally obtained evidence may be disqualified in subsequent proceedings), and result in appropriate actions (internal disciplinary actions, referral to judicial authorities, or civil recovery). - Improper investigations may tip off suspects or create new legal risks, emphasizing early professional intervention. **Third Level**: Compliance Rectification for Involved Enterprises: - Under the Supreme People's Procuratorate's reform initiative, eligible enterprises may commit to compliance rectification: - Developing a compliance plan; - Implementing third-party monitoring and evaluation; - Qualifying rectifications may lead to lenient treatment or non-prosecution. - Defense lawyers assist in assessing eligibility, drafting plans, coordinating with third-party mechanisms, and documenting rectification progress. - For involved enterprises, compliance rectification represents a rare opportunity to substantially alter their legal trajectory. **Fourth Level**: Three Reverse Indicators for Quality Evaluation: - Gap between institutional documents and operational practices (a hallmark of superficial compliance); - Coverage of redline lists vs. actual business operations (ensuring high-risk areas aren't overlooked); - Response speed in crisis (pre-planned activation within 30 minutes vs. internal conflict). - Prioritize selecting service teams based on their track record in similar industries and rectification success rather than theoretical proposals. **Fifth Level**: Cost-Benefit Analysis: - Compliance systems require one-time setup and annual maintenance, with benefits including: - Preemptive risk prevention (executive arrest costs and reputational damage far exceed system investment); - Procedural advantages in crisis (standardized operations naturally favor enterprises in sentencing); - Trust from business partners (compliance due diligence increasingly valued by major clients). Beijing's pilot compliance reform program has proven effective, and professional teams' implementation capabilities are well-documented.

IV. Practical suggestions and legal basis

The first step is to establish a system: implement the four components of risk list, approval upgrading, traceability norms, and training and assessment; The second step is to conduct regular inspections: annual physical examinations plus special inspections to track deviations from systems and operations; The third step is to investigate: initiate internal investigation norms, prioritize the legality of procedures and the preservation of evidence; The fourth step is to understand reforms: evaluate the feasibility of compliance rectification after being involved in cases and strive for lenient procedures. Main legal basis: Article 30 and Article 31 of the Criminal Law of the People's Republic of China, relevant provisions of the Supreme People's Procuratorate on the reform of corporate compliance after being involved in cases, and relevant provisions on corporate governance in the Company Law of the People's Republic of China; specific application shall be subject to the currently effective provisions.

5. Henglu Law Firm's Advice

There are three key points to criminal compliance: Only when the system is integrated into the process can it be considered compliant; posting texts on the wall is just a formality; internal investigations emphasize independence and procedures, but illegal evidence collection will self-sabotage; and for companies involved in criminal cases, compliance rectification is a lenient channel worth striving for at all costs. Those interested in building a criminal compliance system can refer to the following resources for guidance:Criminal defense and criminal case filingYou can obtain a comprehensive solution for services involving corporate governance and transactions.Business and contract disputes in enterprisesThe modules related to taxation and financial compliance can be combined together\nFinancial capital and cross-border transactions involving foreign entitiesFor reference, you can check the clauses related to the basic legal support for enterprisesIntellectual property protection and corporate law板块。

VI. Frequently Asked Questions

Q1: Can compliance rectification really avoid prosecution?

For those who meet the applicable conditions and whose rectification and acceptance are qualified, the procuratorial organ may make a decision not to prosecute or handle the case leniently in accordance with the law, with variations in individual cases.

Q2: How long does it take to build a compliance system?

Depending on the size of the enterprise and the industry risks, it usually takes three to six months to establish a system for medium-sized enterprises, and the implementation and follow-up are carried out continuously.

Q3: Can we conduct an internal investigation ourselves, with the legal department taking the lead?

For minor matters, it's okay; but for those involving executives or potentially criminal cases, it is recommended that external lawyers take the lead to ensure independence and procedural legality.

Q4: How many times a year should compliance training be conducted?

It is recommended that executives and those in high-risk positions receive at least one specialized training session per year, and additional training should be provided whenever new businesses are launched or new regulations are introduced.

Q5: How are compliance services charged?

The physical examination, system establishment, and rectification can be charged separately for each stage, and there is also an annual lump-sum payment model, which can be combined according to the needs of the enterprise.

The above answer is based on the judicial practice in the Beijing area. The adjudication guidelines in other provinces and cities may vary. For specific cases, please refer to the local rules and evidence situation.

If you are currently facing similar problems, it is recommended that you consult a professional lawyer as soon as possible with the relevant evidence, 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 public 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. In case of disputes, please consult a practicing lawyer in time.