目 录
上篇
一、司法文件
1. 关于建立涉案企业合规第三方监督评估机制的指导意见（试行）
················································································································· 2
2. 《关于建立涉案企业合规第三方监督评估机制的指导意见（试行）》实施细则
············································································································ 8
3. 涉案企业合规第三方监督评估机制专业人员选任管理办法（试行）
···········································································································16
二、部门规章
1.中央企业合规管理办法
（国务院国有资产监督管理委员会令第 42 号）··················································23
2.证券公司和证券投资基金管理公司合规管理办法（2020 修正）
（中国证券监督管理委员会令第 133 号）························································· 29
3.上司公司治理准则
（中国证券监督管理委员会公告〔2018〕29 号）··············································· 38
三、部委规范性文件
1.
中央企业违规经营投资责任追究实施办法（试行）
（国务院国有资产监督管理委员会令第 37 号）··················································51
2.
中央企业合规管理指引（试行）
（国资发法规〔2018〕106 号）······································································ 65
3.
中央企业违规经营投资问题线索查处工作指引
（国资发监责〔2020〕62 号）········································································71
4.
涉案企业合规建设、评估和审查办法（试行）
（全联厅发〔2022〕13 号）···········································································78
5. 经营者反垄断合规指南
（国务院反垄断委员会 2020 年 9 月 11 日印发）················································ 82
6.
企业境外反垄断合规指引
（国市监反垄发〔2021〕72 号）·····································································88
7.
企业境外经营合规管理指引
（发改外资〔2018〕1916 号）········································································99
8.
保险公司合规管理办法
（保监发〔2016〕116 号）···········································································108
9.
保险资金运用内控与合规计分监管规则
（保监发〔2014〕54 号）············································································ 117
10. 中国保监会关于进一步加强保险公司合规管理工作有关问题的通知
（保监发〔2016〕38 号）············································································ 123
11. 中国人民银行关于加强征信合规管理工作的通知
（银发〔2016〕300 号）·············································································· 126
12. 商业银行合规风险管理指引（银监发〔2006〕76 号
··········································································· 130
13. 中国银保监会办公厅关于加强中资商业银行境外机构合规管理长效机制建设的
指导意见（银保监办发〔2019〕13 号）······································································ 136
14. 中国银保监会关于开展“巩固治乱象成果 促进合规建设”工作的通知
（银保监发〔2019〕23 号）········································································· 142
15. 中国银保监会关于开展银行业保险业“内控合规管理建设年”活动的通知
（银保监发〔2021〕17 号）········································································· 146
16. 中国银保监会办公厅关于持续深入做好银行机构“内控合规管理建设年”有关
工作的通知（银保监办发〔2021〕123 号）·····································································155
17. 司法部办公厅关于加强公司律师参与企业合规管理工作的通知
（司办通〔2021〕98 号）············································································ 158
18. 商务部关于两用物项出口经营者建立出口管制内部合规机制的指导意见
（商务部公告 2021 年第 10 号）···································································· 162