| 1. | When your company ships internationally , your business needs are more complex and compliance risks may increase
当贵公司进行国际托运时，您的业务需求会变得更加复杂，违反规章的风险也会随之增加。 |
| 2. | When your company ships internationally , your business needs are more complex and compliance risks may increase
当贵公司进行国际运输时，您的业务需求会变得更加复杂，违反规章的风险也会随之增加。 |
| 3. | A bank should organize its compliance function and set priorities for the management of its compliance risk in a way that is consistent with its own risk management strategy and structures
一家银行应该以与自身风险管理战略和组织结构相吻合的方式组织合规部门，并为合规风险管理设定优先考虑的事项。 |
| 4. | A bank that knowingly participates in transactions intended to be used by customers to avoid regulatory or financial reporting requirements ， evade tax liabilities or facilitate illegal conduct will be exposing itself to significant compliance risk
如果一家银行故意参与客户用以规避监管或财务报告要求、逃避纳税义务的交易，或为违法行为提供便利，该银行将面临严重的合规风险。 |
| 5. | The internal auditing department shall inform the compliance department of the auditing situation and conclusion upon completion of the internal auditing , while the latter may , in light of the compliance risk monitoring situation , take the initiative to propose suggestions to the former
内部审计部门在审计结束后，应当将审计情况和结论通报合规管理部门；合规管理部门也可以根据合规风险的监测情况主动向内部审计部门提出审计建议。 |
| 6. | These other risk management departments shall take charge of identifying and evaluating various kinds of risks , including their own compliance risks , and reporting the related compliance risk information to the compliance department , and shall , with cooperation with the compliance department , monitor and evaluate compliance risk
保险公司其他风险管理部门负责识别、评估包括自身合规风险在内的各类风险，并向合规管理部门报告相关合规风险信息，支持合规管理部门的合规风险监测和评估。 |
| 7. | The term " compliance risk " as referred to in the present guidelines means the risk of undertaking legal responsibility , supervisory punishment , financial losses or reputation losses as a result of an incompliant insurance operation and management behavior made by the insurance company or any of its employees and marketing staff
本指引所称的合规风险是指保险公司及其员工和营销员因不合规的保险经营管理行为引发法律责任、监管处罚、财务损失或者声誉损失的风险。 |
| 8. | All departments and branch offices shall voluntarily carry out self - inspections on compliance as a routine task , report compliance risk information or potential risks to the compliance department or the compliance posts , and support and cooperate with the compliance department or the compliance posts in risk monitoring and evaluation
保险公司各部门和分支机构应当主动进行日常的合规自查，定期向合规管理部门或者合规岗位提供合规风险信息或者风险点，支持并配合合规管理部门或者合规岗位的风险监测和评估。 |
| 9. | In order to effectively identify and actively prevent and eliminate compliance risks and ensure sound and stable business operation , an insurance company shall , according to the requirements of the present guidelines , set up sound compliance management systems , improve the organizational structure of compliance management , clarify compliance management responsibilities and build up a perfect compliance management system
保险公司应当按照本指引的要求，建立健全合规管理制度，完善合规管理组织架构，明确合规管理责任，构建合规管理体系，有效识别并积极主动防范化解合规风险，确保公司稳健运营。 |
| 10. | Article 3 compliance management means that insurance companies shall prevent , identify , evaluate , report and handle compliance risks by taking measures such as establishing the compliance department or the compliance posts , setting down and carrying out compliance policies , conducting compliance monitoring and providing compliance trainings , etc
第三条合规管理是保险公司通过设置合规管理部门或者合规岗位，制定和执行合规政策，开展合规监测和合规培训等措施，预防、识别、评估、报告和应对合规风险的行为。 |
