目 录
下篇
一、广东省地方规范性文件
（一）广东省
1.广东省贸易政策合规工作实施办法
（粤府函〔2015〕254 号）··············································································3
2.关于全面推进省属企业法治国企建设的意见
（粤国资综合〔2017〕8 号）···········································································6
3.广东省省属企业违规经营投资责任追究实施办法（试行）
（粤国资审计〔2019〕1 号）········································································· 12
4.广东省省属企业合规管理指引（试行）
（粤国资综合〔2020〕8 号）········································································· 27
5.关于加强省属企业全面风险管理与内部控制工作的实施意见
（粤国资函〔2021〕380 号）········································································· 35
6.省属企业“合规管理强化年”行动方案
（粤国资函（2022）154 号）········································································· 41
（二）广州市
7.广州市市属企业合规管理指引（试行）
（穗国资法〔2020〕9 号）············································································ 51
8.广州市市属企业违规经营投资问题线索查处工作指引
（穗国资监督〔2021〕3 号）········································································· 61
9.广州市国资委监管企业数据安全合规管理指南（试行 2021 年版）
（穗国资法〔2021〕13 号）···········································································69
10. 广州市跨境电商行业合规指引（试行）
（穗检会字〔2022〕9 号）············································································ 80
11. 律师开展企业合规法律服务业务指引
（穗律协业通〔2022〕121 号）······································································ 92
（三）深圳市
12. 房地产广告合规指引
···············································································································111
13. 教育培训广告合规指引
···············································································································117
14. 医疗广告合规指引
···············································································································123
15. 药品、医疗器械、保健食品、特殊医学用途配方食品广告合规指引
···············································································································129
（四）佛山市
16. 佛山市市属国有企业合规管理指引（试行）
···············································································································136
二、行业规范
1.
证券公司合规管理实施指引
（中证协发〔2017〕208 号）········································································147
2.
证券投资基金管理公司合规管理规范
（中基协发〔2017〕7 号）···········································································156