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Principles of Corporate Compliance Management

In: An Introduction to Corporate Compliance

Author

Listed:
  • Ruihua Chen

    (Peking University, Law School)

Abstract

Corporate compliance is an internal control system oriented toward the prevention and mitigation of legal and regulatory risks. Through the establishment of a structured compliance management framework, enterprises can reduce or avoid unlawful and non-compliant behavior, develop long-term safeguards against compliance risks, and foster a corporate culture grounded in legality and regulatory adherence. Compliance initiatives may be categorized into two types based on the timing of their implementation: routine compliance management system and crisis-responsive compliance remediation mechanism. The former—also known as ex ante compliance or autonomous compliance—is undertaken in the absence of known violations, typically to enhance competitive advantage and expand access to business opportunities. The latter—referred to as ex post compliance—is undertaken following legal or regulatory violations and the commencement of regulatory investigations, functioning as a remedial mechanism aimed at securing leniency from enforcement authorities and avoiding severe legal, financial, or reputational consequences.

Suggested Citation

  • Ruihua Chen, 2026. "Principles of Corporate Compliance Management," Springer Books, in: An Introduction to Corporate Compliance, chapter 0, pages 69-97, Springer.
    • Handle: RePEc:spr:sprchp:978-981-95-7257-1_3
    DOI: 10.1007/978-981-95-7257-1_3
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