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CMS Compliance Management System

Compliance Management System Certification

Service Overview

Service OverviewCMS Compliance Management System

ISO 37301 provides organizations with a systematic framework for compliance management systems, helping to identify compliance obligations, prevent and control compliance risks, and foster a compliance culture.

CMS System Overview
System Overview: Focus Areas · Core Requirements · Certification Value · Applicable Organizations

Why ISO 37301 Matters

Governance cornerstone for steady and long-term corporate development
Key focus area in IPO and listing compliance audits
Compliance defense line for export and cross-border operations
Reduced risk of regulatory penalties and reputational damage

01System Overview

Covers requirements for identifying compliance obligations, compliance risk assessment, compliance governance structure, whistleblowing and investigation.

  • Identification of compliance obligations and compliance risks
  • Compliance governance structure and responsibilities
  • Compliance culture and training mechanisms

02Certification Value

Systematically prevent and control business compliance risks, enhancing the confidence of regulators, customers and partners.

  • Systematic management of compliance obligations
  • Prevention of operational and regulatory risks
  • Enhanced trust from regulators and customers

03Applicable Organizations

Applicable to all types of organizations facing multi-domain compliance requirements, particularly important for enterprises engaged in international operations.

  • Multinational and foreign trade enterprises
  • Financial institutions and listed companies
  • Organizations in heavily regulated industries
Standards

StandardsApplicable standards & specifications

GB/T 35770-2022Compliance Management Systems — Requirements with Guidance for UseISO 37301:2021
GB/T 35770Compliance Management Systems — GuidelinesISO 19600:2014 (upgraded)
Who Needs It

Who Needs ISO 37301?Organizations that benefit most

Listed companies and IPO candidatesExport-oriented enterprisesEnterprises in heavily regulated industries (finance/pharmaceuticals/energy)Large group companies and subsidiary systemsEnterprises engaged in overseas engineering and tradeSuppliers facing customer compliance audits
Key Requirements

ISO 37301 Key RequirementsConditions to be met before certification

Establish a compliance management system and operate it for no less than 3 months
Complete identification of compliance obligations and compliance risk assessment
Establish a compliance governance structure and clarify compliance responsibilities
Conduct compliance training and promote compliance culture
Establish whistleblowing, investigation and continuous improvement mechanisms
Process

Certification ProcessStandardized · Efficient · Traceable

1. Application Assessment→
2. Compliance Status Diagnosis→
3. Audit Implementation→
4. Certification Decision→
5. Certificate Issuance→
6. Continuous Maintenance
FAQ

Frequently Asked QuestionsAbout CMS Compliance Management System

Does compliance management system certification help enterprises with IPO?
Yes. A well-established compliance system is a positive factor in IPO review and listed company governance, demonstrating that the enterprise has systematic compliance risk prevention and control capabilities.
Why do export enterprises need compliance certification?
Facing compliance requirements from overseas customers and regulators (such as anti-commercial bribery, export controls, etc.), third-party certification is an effective proof of capability and can enhance the trust of international partners.
What is the difference between a compliance system and the daily work of a legal department?
The legal department focuses on handling individual cases, while the compliance system focuses on building "preventive" mechanisms: integrating compliance requirements into policies, processes and positions to achieve systematic prevention and control.

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