反腐败指南

CHAMBERSGLOBALPRACTICEGUIDES Anti-Corruption2024 Definitivegloballawguidesofferingcomparativeanalysisfromtop-rankedlawyers China:Law&Practice AlanZhou,JackyLi,WeiweiGu,StevenZhuandJennyChen GlobalLawOffice CHINA LawandPractice Contributedby: AlanZhou,JackyLi,WeiweiGu,StevenZhuandJennyChen GlobalLawOffice Contents 1.LegalFrameworkforOffencesp.6 1.1InternationalConventionsp.6 1.2NationalLegislationp.6 1.3GuidelinesfortheInterpretationandEnforcementofNationalLegislationp.7 1.4RecentKeyAmendmentstoNationalLegislationp.7 2.ClassificationandConstituentElementsp.8 2.1Briberyp.8 2.2Influence-Peddlingp.9 2.3FinancialRecord-Keepingp.9 2.4PublicOfficialsp.10 2.5Intermediariesp.11 3.Scopep.12 3.1LimitationPeriodp.12 3.2GeographicalReachofApplicableLegislationp.12 3.3CorporateLiabilityp.13 4.DefencesandExceptionsp.13 4.1Defencesp.13 4.2Exceptionsp.14 4.3DeMinimisExceptionsp.14 4.4ExemptSectors/Industriesp.14 4.5SafeHarbourorAmnestyProgrammep.15 5.Penaltiesp.15 5.1PenaltiesonConvictionp.15 5.2GuidelinesApplicabletotheAssessmentofPenaltiesp.16 6.ComplianceandDisclosurep.17 6.1NationalLegislationandDutiestoPreventCorruptionp.17 6.2RegulationofLobbyingActivitiesp.17 6.3DisclosureofViolationsofAnti-briberyandAnti-corruptionProvisionsp.17 6.4ProtectionAffordedtoWhistle-Blowersp.18 6.5IncentivesforWhistle-Blowersp.18 6.6LocationofRelevantProvisionsRegardingWhistle-Blowingp.19 CHINACONTENTS 7.Enforcementp.19 7.1EnforcementofAnti-briberyandAnti-corruptionLawsp.19 7.2EnforcementBodyp.19 7.3ProcessofApplicationforDocumentationp.19 7.4DiscretionforMitigationp.19 7.5JurisdictionalReachoftheBody/Bodiesp.20 7.6RecentLandmarkInvestigationsorDecisionsInvolvingBriberyorCorruptionp.20 7.7LevelofSanctionsImposedp.21 8.Reviewp.21 8.1AssessmentoftheApplicableEnforcedLegislationp.21 8.2LikelyChangestotheApplicableLegislationoftheEnforcementBodyp.22 GlobalLawOfficedatesbacktotheestablish-mentoftheLegalConsultantOfficeoftheChinaCouncilforthePromotionofInternationalTradein1979,whenitbecamethefirstChineselawfirmeverapprovedbythePRCgovernment,andithasretainedtheprivilegeofclients’trustinvariousareasoverfourdecades.ThefirmhasofficesinShanghai,Beijing,ShenzhenandChengdu,with160partnersandover600law-yersacrossChina.Thefirmisexperiencedin meetingallaspectsofpublicandprivateenter-prises’regulatorycomplianceneeds,includingriskassessment,compliancepolicy,reporting,trainingandinvestigation.Thefirmhasresolveddozensofgovernmentinvestigationcasesre-latingtoanti-corruption,antitrust,promotionandadvertising,insidertrading,andfoodanddrugsafetybytheChineseauthorities,aswellascross-borderinvestigationsinmultiplejuris-dictions. Authors AlanZhouisapartneratGlobalLawOfficebasedinShanghai.Hispracticeisfocusedontheareasofgeneralcorporate,transactions,complianceandriskcontrol.Asanexperton JackyLiisapartneratGlobalLawOfficebasedinShanghai,focusinghispracticeontheareasofregulatorycompliance,internalandgovernmentinvestigations,riskcontrol, legalissuessurroundingcomplianceandM&AinChina,MrZhouhasextensiveexperienceinsolvingcomplexandchallengingissuesandadvisingoncreativeandstrategicsolutions.Hehasaparticularlystrongbackgroundinthelifesciencesandhealthcareindustries.Asaparticipantorasanexternalcounsel,MrZhouhasbeenengagedbylocalauthoritiesandindustrialassociationsforadviceonlegislationandindustrialstandardsrelatingtoonlinehospitals,digitalmarketing,medicalinsurancereform,medicalrepresentativemanagementandothercompliancematters. competitionlawanddisputeresolution.Heiswellversedinhandlingcomplexcomplianceinvestigations/projectsinconnectionwithanti-corruption,antitrust,white-collarcrime, dataandcybersecurity,assistingmultinationalandChinesestate-ownedenterprisesinidentifyingpotentialwrongdoers,assessingparametersoflegalliability,andinteractingwithmulti-jurisdictiongovernmentauthorities.MrLiisacertifiedfraudexamineroftheUSACFE,acertifiedexpertoftheUKLawReviewsExpertPanel,andastandingmemberoftheShanghaiBarAssociationLawandComplianceCommittee. WeiweiGuisapartneratGlobalLawOfficebasedinShanghai.Hismainpracticeareasincludedisputeresolution,compliance,antitrustandemployment.MrGuhasdealtwithhundredsof casesintheareaofcommercialdisputeresolution.HeassistsbothmultinationalenterprisesandmajorChineseenterprises,suchastheIFC,DeutscheBank,StandardChartered,BNP,UBSSandCDBCapital.MrGuhasrichexperienceingovernmentinvestigations,particularlyregardinganti-corruptionandantitrustmatters.Healsoadviseshisclientsonregulatorymatterssuchasconductinginternalinvestigationsanddevelopingrisk-controlprocedures.Hehasparticularexperienceinlabourandemploymentlaw. StevenZhuisapartneratGlobalLawOfficebasedinBeijing.Hefocuseshispracticeoncross-borderM&A,complianceandregulatory,andmediaandentertainment.Mr ZhuhasextensiveexperienceinassistingavarietyofmultinationalcompaniesandmajorChinesecompanieswithstructuringandnegotiatingcross-bordertransactions,suchasforeigndirectinvestment(includinginboundintoandoutboundfromChina),JVsandVC/PEinvestments.HeroutinelyadvisesmultinationalcompaniesandmajorChinesecompani