国际商会国际仲裁院-ICC研究所中小企业合规实验室简编（英）

Conclusions of theICC Institute SME LabsBasics on ComplianceNovember 2024 | Conclusions of the ICC Institute SME Labs | Basics on Compliance | 2Contents1. Introduction to Compliance for SMEs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.1. What is compliance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41.2. Why would a company like to have a compliance function? . . . . . . . . . . . . . . . . . . . .41.3. What exactly does the term “compliance function” mean and cover? . . . . . . . . . . . .51.4. What is a “compliance program”? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61.5. Is the size of the business relevant to build a compliance function and program? . . . 71.6. What are the essential elements, resources, and related costs of developing a compliance function and/or program? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71.7. What types of sources/guidelines/regulations and other resources exist to help companies that are interested in developing an efficient compliance function and/or program? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .81.8. What is the importance of tone, principles, values, and corporate culture in the matter of compliance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91.9. What ESG in a nutshell? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101.10. What are the responsibilities and roles involved in administering compliance within a company? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101.11. What are some final takeaways for SMEs when developing their compliance functions and/or programs? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112. Compliance Clauses: Why SMEs Should Consider Using Them? . . . . . . . . . . . . . . . . . . . 123. Examples of Compliance Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13a. Controller-Data Subject . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13b. Controller-Processor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .