无规矩不成方圆——浅谈如何强化企业内控与合规(广州站)

无规矩不成方圆——浅谈如何强化企业内控与合规(广州站)

古人云：“以铜为镜，可以正衣冠；以史为镜，可以知兴替；以人为镜，可以知得失”。面对物欲横流的当今社会，面对事件频发的合规风险带来的损失，作为肩负重任的企业财务人员应该如何去思考，如何去面对？

2004年的朗讯事件，2009年的美国爱玛公司行贿事件，2010年的戴勒姆公司行贿事件，2013年的葛兰素史克事件，包括在近10年来出现的审计风暴，无不披露了不少企业的经济决策不合规，形成损失约达近百亿元。

那么，这些事件发送的根源是什么？财务在这些事件中扮演了什么样的角色？企业又该如何规避类似合规风险带来的损失？本次会议,F-council诚邀了中国著名风险合规管控机构——华夏邓白氏集团的专业讲师，为大家分享企业财务人员，在企业合规风险管控时能做些什么。

课程特点：

“实际“：完全真实案例讲述合规管理的重要性

“实用“：揭示企业运营流程中可能遇到的合规风险

本期价值要点：

l  财务如何识别合规问题“陷阱”

l  财务如何帮助企业减少合规问题带来的损失

l  国际通行COSO合规实例解析

同行困惑：

l  我们企业过往几年经营风险较大，这两年不仅国家查的严，企业自身也想通过内控来改善自己经营环境，吸引投资商投资，对于内控建设来说，自己是首次接触，完全不知道从哪里入手？

l  企业如何判断，识别哪些行为属于合规风险？在内控建设过程中，企业管理人员扮演重要角色，哪些人员属于企业的高级管理人员？经理助理算吗？

l  能不能为我们说明一下企业在产品管理，业务经营，产品销售，个人业务，财务管理等方面的合规要点？

案例分享

来自华夏邓白氏的讲师，会根据邓白氏超过2亿的全球商业信息数据库以及邓白氏曾处理过的极具针对性的案例为企业做合规风险的分析，面对不同类型，不同行业，不同需求的客户，在合规风险上所遇到的问题一一为企业做一个分享解答。

案例

活动特邀分享嘉宾

华夏邓白氏中国 高级咨询顾问 Jorvik Chen

陈先生具备交通、煤炭、电力、制造、金融等行业的经验，并专注于用企业风险管理与具体业务领域的结合。陈先生曾为中航工业昌河飞机、无限极、深圳易图资讯、广东铁投、广州地铁、广东交通投资、南粤物流、云南电网、中电投云南国际、中电投江西核电、深南电、深投控、中国重汽、中煤装备、广建工程、广东航运、广东交通、广东高速等多家大型国有企业和上市公司，提供风险管理咨询服务。同样，陈先森在企业信用管理评估，企业风险合规管理，以风险为导向的合规建设等企业内控合规领域有深厚的授课经验。陈先生凭借丰富经验擅长专业型的培训授课，将理论性、实践性与趣味性相结合，讲解深入浅出，演绎通俗易懂。

企业观察员

通标标准技术服务(上海)有限公司 广州分公司 Natasha

国旅运通航空服务有限公司 广州分公司 Joyce

大昌行投资管理(上海)有限公司 Rose

流程安排

13:00-13:30 签到

13:30-14:00合规风险概述及对企业管理的意义

l  合规管理与风险管理关系

l  合规管理与内部控制关系

l  合规管理与企业各项管理活动之间的关系

14:00-14:45 财务面对合规风险难点实务解析

财务对合规风险的识别及评估

财务相关一般禁止的行为有哪些

财务如何规范企业各职能部门行为要求

财务如何防范企业其他部门的欺诈与舞弊

14:45-15:00 茶歇

15:00-15:45 COSO合规实例解析——不同角度分析企业合规风险

l  目标(战略目标，经营目标，报告目标，合规目标)

l  控制环境

l  生产环节

l  会计环节

l  采购环节

l  销售环节

l  存货控制

…

15:45-16:15 嘉宾关于合规风险及合规管理案例实务分享

邓白氏分享企业合规案例及解决方案

解析企业运营流程中遇到较多的各类合规风险

帮助企业学习如何降低企业运营中的合规风险

16:15-16:30 互动问答

16:30 活动结束

The ancients cloud: "with copper as the mirror, can is the headgear; with history as a mirror, can know replaced; the looking-glass self, can know the gain and loss". In the face of materialistic society today, in the face of frequent events of compliance risk losses, as assumes responsibility of the enterprise financial personnel，how to face this situation?

Lucent events in 2004, the United States Emma company bribes, bribery Daimler company events of 2010, 2013 GSK events, including audit storm appears in recent ten years, all revealed many enterprises economic decisions don't compliance, formation damage estimated nearly one hundred million Yuan.

So, what is the root cause of these events send? Financial played what kind of role in these events? Enterprise and how to avoid similar compliance risk losses? The meeting, the F - council invites Chinese famous compliance risk control organization - China professional lecturer dun &Bradstreet, to share the enterprise financial personnel, in what can be done when a company compliance risk control.

Course characteristics

"Actual" : completely real cases about the importance of compliance management

"Practical" : reveal compliance risk may occur in the enterprise operation process

Key point

l  finance how to identify compliance issues "trap"

l  finance how to help enterprises to reduce the loss on compliance issues

l  internationally accepted the COSO compliance instance parsing

Peer confused

l  our enterprise past years management risk is bigger, strict check the not only countries over the past two years, the enterprise itself also want to through the internal control to improve their management environment, investment, attracting investors for internal control construction, yourself is the first time contact, don't know where to start?

l  enterprises how to determine and identify which behaviors belong to compliance risk? In the process of construction of internal control, enterprise management personnel play an important role, which belongs to the enterprise's senior management personnel? Assistant manager is?

l  can explain for us companies in product management, business management, product sales, personal business, financial management aspects of compliance points?

Case sharing

Lecturer from D&B, will be more than 200 million global business information database according to the D&B had handled the case of highly targeted for the enterprise to do compliance risk analysis, in the face of different types, different industries, different needs of customers, the problem on compliance risk enterprises make a Shared solutions.

Speaker

D&B China senior consultants Jorvik Chen

Mr. Chen have such as traffic, coal, electric power, manufacturing, financial industry experience, and focus on using the combination of enterprise risk management and the specific business area. Mr. Chen for avic changhe aircraft, infinite pole, Shenzhen yi figure information, Guangdong iron cast, guangzhou metro, Guangdong traffic investment, nan yue logistics, Yunnan power grid, CLP vote for Yunnan international, CLP Jiangxi nuclear power, Nanchang power, deep shots, sinotruk, China coal equipment, shipping, construction engineering, guangdong Guangdong traffic, Guangdong expressway, and other large state-owned enterprises and listed companies, to provide risk management advisory services. Similarly, Chen Xiamen in the evaluation of enterprise credit management, enterprise risk of compliance management, construction of the compliance risk oriented enterprise internal control compliance areas have profound teaching experience. Mr. Chen has rich experience and good at vocational training teaching, combining with theoretical and practical interest, on a simple, easy to understand.

Agenda

13:00-13:30 Sign

13:30-14:00 Summary of compliance risk and significance of enterprise management

l  compliance and risk management

l  compliance management relationship with internal control

l  compliance management and the relationship between the enterprise management activities

14:00-14:45 Finance in the face of compliance risk resolve difficulties in practice

l  Financial identification and assessment of compliance risk

l  What are the financial related generally prohibits behavior

l  How to standardize enterprise behavior of each function department requires finance

l  How to prevent financial enterprises in other sectors of fraud and fraud

14:45-15:00 Tea Break

15:00-15:45 The COSO compliance instance analysis corporate compliance risk resolution -- different angles

l  target (strategic target and business objectives, report target, compliance goals)

l  control environment

l  production

l  accounting link

l  purchasing

l  sales link

l  inventory control

….

15:45-16:15 Guests on compliance risk and compliance management case practice sharing

l  D&B share corporate compliance case and solution

l  Parsing encountered in the enterprise operation process more kinds of compliance risk

l  Help enterprises to learn how to reduce the compliance risk in the business

16:15-16:30 Q&A

16:30 End

F-council以往几举办“内控”相关活动

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F-council即将举办“内控”相关活动

1月深圳内控