Chapter 1 General Principles
Article 1
In accordance with the "Guidelines for Compliance Management of State-owned Enterprises in Yunnan Province (Trial)" and the "Work Plan for Building Compliance Management Systems of State-owned Enterprises in Yunnan Province," this system is established to enhance the compliance management system of Yunnan Energy Investment Co., Ltd. (hereinafter referred to as "the Company") and promote stable operations and sustainable development. This system is formulated based on the actual situation of the Company.
Article 2
This system applies to Yunnan Energy Investment Co., Ltd. and its subsidiaries, where subsidiaries refer to wholly-owned, controlled, or effectively controlled companies at various levels; affiliated enterprises may refer to this system based on their actual circumstances. Compliance refers to the Company's operational management behaviors and employees' performance behaviors that conform to national laws and regulations, regulatory requirements, industry standards, international treaties, rules, as well as the Company's articles of association and relevant regulations. Compliance risk refers to the possibility of legal liability, economic or reputational loss, and other negative impacts arising from violations during the Company's operational management process. Compliance management refers to organized and planned management activities aimed at effectively preventing and controlling compliance risks, enhancing the level of lawful and compliant operational management, focusing on the Company's operational management behaviors and employees' performance behaviors, including establishing compliance systems, improving operational mechanisms, cultivating compliance culture, and strengthening supervision and accountability.
Article 3
Compliance management follows the following principles:
- Adhering to the leadership of the Party. Fully leverage the role of the Party Committee in leadership, implement the strategic deployment of comprehensive rule of law, and integrate the Party's leadership throughout the compliance management process.
- Ensuring comprehensive coverage. Embed compliance requirements into all areas and stages of operational management, covering the entire process of decision-making, execution, and supervision, and implement them across all departments, units, and all employees to achieve multi-party interaction and vertical integration.
- Maintaining clear responsibilities. According to the requirement that "business management must include compliance management," clarify the responsibilities of business and functional departments, compliance management departments, and supervisory departments, strictly enforce employee compliance responsibilities, and hold violators accountable.
- Emphasizing practicality and efficiency. Establish and improve a compliance management system that aligns with the Company's actual situation, focusing on the management of key areas, critical links, and important personnel, and effectively utilize big data and other information technology means to enhance management efficiency.
Chapter 2 Responsibilities of Compliance Management Institutions
Article 4
The Party Committee plays a leading role in guiding direction, managing the overall situation, and promoting implementation, ensuring that compliance requirements are strictly followed and continuously improving the level of lawful and compliant operational management. The main compliance management responsibilities of the Party Committee include:
- Overall leadership and coordinated promotion of compliance management work;
- Promoting scientific rule-making, strict enforcement of rules, voluntary compliance, and severe punishment of violations;
- Researching candidates for compliance management responsibilities and the establishment of compliance management departments;
- Supervising the compliance management situation of the Board of Directors and senior management;
- Providing opinions on significant compliance management matters;
- Researching or deciding on the handling of relevant violators according to prescribed authority.