为进一步推动法学法律学术研究成果的传播应用，2019年起上海市法学会与中国知网战略合作在线出版《上海法学研究》集刊，每年公开出版24卷千万字规模的大型法学法律原创学术文库，中国知网全文收录，可在线查询、下载电子版。《上海法学研究》集刊集中呈现法学法律界年度有品质、有特色的内容生产。截至目前，《上海法学研究》集刊2019、2020、2021年全部72卷和2022年1-12卷3000余篇文章全面完成编辑任务，2535篇文章已在中国知网全文上线，单篇下载量高达4000次，总下载量超70万次。
To further promote the dissemination of the results of academic research on legal law, since 2019 the Shanghai City Law Institute, in cooperation with the Chinese Knowledge Network Strategy, has published online a collection of 24 volumes of large-scale legal law original academic books of tens of thousands of words each year, which is available online in full and electronically. The Shanghai Law Research Collection focuses on the annual production of quality and distinctive content in the legal profession. To date, all 72 volumes in 2019, 2020, 2021 and more than 3,000 volumes in 2022 have been fully edited, and 2535 articles have been posted on the full text of the Chinese Knowledge Network, amounting to 4,000 single downloads and a total of more than 700,000 downloads.
《上海法学研究》集刊2022年第12卷目录
——中伦律师事务所文集
> > > > > > > >.
主题：全球格局下的企业法律合规之道
企业合规
Enterprises Compliance
抽水蓄能项目前期开发法律合规要点分析
Analysis of legal compliance points for the pre-development of the pumping energy project
郝? 利? 夏煜鑫张常睿
Ha, Lee, Chang Chang-seok.
2022合规管理强化中企业合规制度的落实
2022 Compliance management strengthened implementation of enterprise compliance
刘相文? 王? 涛? 谢? 逸
Liu Sang-wen, Wang Tao, thank you.
保险公司高管任职资格核准的行政合规风险及其防范
Administrative compliance risks and protection against qualification of executives of insurance companies
于园园
Yuen Park.
高校院所在创新药研发成果转移过程中的定位探讨与合规风险
Positioning and compliance risks in the transfer of innovative drug research and development results from the campuses
高? 俊? 邱玮鑫
Ko-joon... Qiu-jian.
高新技术企业知识产权合规监管要求及实践探索
High-technology enterprises'intellectual property compliance regulatory requirements and practice exploration
何? 丹? 陈? 露? 张琦
Dan Chan Lu Zhang Qi
合规与仲裁的交错与冲撞
Intersection and collision between compliance and arbitration
高? 俊
Ko-joon.
中国企业的境外海关合规风险探析
Risk analysis for offshore customs compliance by Chinese enterprises
张国勋
Chang Kuo-hoon.
企业合规管理评估域外经验及对中国企业的启示
Corporate compliance assessment of extraterritorial experience and inspiration for Chinese enterprises
刘相文? 丁海东
Liu Sang-wen Ding Hae-dong
企业知识产权合规体系建设思路与举措
Concepts and initiatives for building an enterprise's intellectual property compliance system
张? 鹏
Chang?
数字藏品合规路径之去金融化初探
First look at the definancialization of the digital collection compliance path.
王红燕孙梦玥
Wang Yin-sun Mon-sheng
碳关税制度设计模式和合规要点分析——兼评欧美碳关税立法
Models for the design of carbon tariff regimes and analysis of compliance points - together with European-American carbon tariff legislation
姜? 喆? 于治国
I'm going to rule the country.
新标准下中小企业合规管理体系的建立和评估
Establishment and evaluation of an SME compliance management system under the new standards
高? 俊? 王旻昊
Go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go!
跨国公司员工管理数据合规十问十答
Ten questions on data compliance by employees of transnational corporations
蔡? 鹏? 胡云浪? 苏阳阳
Tsai, Peng, Hu Yun-Ying, So-yang
首起数据合规不起诉案论数据合规体系的价值与构建
Value and construction of the first data compliance non-prosecution data compliance system
陈际红? 陈煜烺
Chen Tae Hong?
可持续合规——ESG报告规则及披露实践适用
Sustainable compliance — application of ESG reporting rules and disclosure practices
熊川
Kumakawa.
企业刑事合规的构建原理和实践方案
Constructive rationale and practice programme for corporate criminal compliance
王? 峰? 王? 潜
The king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king, the king.
浅议《反垄断法（修正案）》视角下企业合规建设
Business Compliance Building from the Perspective of the Antimonopoly (Amendment) Act
余昕刚? 蒋蕙匡? 侯彰慧? 贾? 申? 李梦涵
Mr. Yu, let's see what you can do.
平台经营者反垄断法合规进阶
Platform operator's antimonopoly law compliance step
吴? ?鹏马成豪张津剑
I'm so proud of you.
负责任投资——论基金管理人ESG能力建设之ESG合规体系搭建
Responsible investment — development of ESG compliance system for ESG capacity-building for fund managers
高? 俊? 周杨洁
Gao Joon Zhou Yang Jie
数据出境安全新规出台下的境外财富管理机构业务
Foreign wealth management agencies under the new regulations on data exit security
龚乐凡姜璐璐
Gon Lo-fan Kang-hoon.
《中央企业合规管理办法》对央企合规管理工作的影响及对策
Impact of and response to the central enterprise compliance management approach on compliance management at the firm level
刘相文? 卢鹰旋? 董? 艺
Liu Sang-wen?
智慧法治
我国“大数据杀熟”的立法规制与法律实践
Legislative regulation and legal practice of our “big data”
蒋蕙匡? 贾? 申? 赵琳格
J.S. Chillinger.
NFT开启数字资产市场新认知
NFT's opening up a new understanding of the digital asset market.
樊晓娟? 印? 磊
Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiaojun... Xiang... Xiaojun... Xiang... Xiaojun... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang... Xiang...
从数据“三法”看企业数据泄露风险的预防和应对
Prevention of and response to the risk of disclosure of enterprise data in terms of data “three ways”
李? 瑞? 贾? 申? 钟俊鹏? 李梦涵? 许聿宁
Lee, Ja-sen, Jong-hoon, Lee Mon-hae, Xu Yong-nying.
机器学习作品的类型化及其著作权责任
Typologies of machine-learning works and their responsibilities for copyright
王红燕? 陈? 茜
Wang Hung Yan Chen Shei
开源技术在人工智能产业中的应用和知识产权风险
Application of open-source technologies in the artificial intelligence industry and intellectual property risk
王红燕? 陈? 茜
Wang Hung Yan Chen Shei
算法的运用与反垄断合规风险
Application of algorithms and anti-monopoly compliance risks
吴? 鹏? 龙? 睿
Wu Peng Long wise
虚拟货币监管入刑化趋势解读
Interpretation of the trend towards the criminalization of virtual currency regulation
葛? 燕
Gretchen?
统一大市场下数据壁垒的破除
Harmonizing the break-up of data barriers in large markets
蔡? 鹏? ?胡云浪
Tsai, Peng, tung, tung, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk, tsk.
区块链与数字货币场景下的跨境反洗钱合规
Cross-border anti-money-laundering compliance in block chains and digital currency settings
龚乐凡
Gon Levan.
经济法治研究
基于司法个案视角再议商业秘密保护中的“相应程度”保密措施
Review of “appropriate” confidentiality measures in the protection of commercial secrets based on a judicial case-by-case perspective
赵? 刚? 高? 敏
Chiu, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go, go!
北京证券交易所公开发行上市制度解读
The Beijing Stock Exchange's Public Distribution Listed Interpretation
郭克军? 魏海涛? 赵海洋
Kwok Kwok, Wei Hae-tao, Zhao.
新《虚假陈述若干规定》系列解读：证券虚假陈述纠纷的仲裁解决
New Set of Provisions on Fake Statements: Arbitration settlement of disputes over false statements of securities
袁培皓
Yuan Pei-hyun.
证券虚假陈述下减免责抗辩
Derogations under false statements of securities
刘洪蛟? 徐志豪
Xu Ji-ho.
经典判例助力证券虚假陈述司法解释修改与完善
Modified and improved judicial interpretation of classic case law supports false statements of securities
张保生? 朱媛媛? 郭晓英? 金曼特
Mr. Cheung Xiaoying Guo Jinmante
平台经济领域经营者集中申报标准再解读
Centralized declaration criteria for operators in the economic sphere of the Platform re-read
蒋蕙匡? 贾? 申? 赵琳格? 李梦涵? 姚? 远
I'm sorry, but I'm sorry, but I can't believe I'm here.
单一经济实体原则对反垄断处罚影响的评述
Commentary on the impact of the principle of a single economic entity on antimonopoly penalties
薛? 熠? 俞? 炜
Xue Xue Xiao Yu Xiao Xiao Xiao Xiao Xiao Xiao Xiao Xiao Xi Xiang Xiang Xiang Xiang Xiang Xiang Xian Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang Xiang
合规风险下“互不挖角协议”的反垄断探析
Anti-monopolistic analysis of the non-drawling agreement under the risk of compliance
张白沙? 刘? 晓? 谢培堰
Chang Baek Sha Liu Xiao Shepaki
实务研究
practical research
新能源项目招投标及工程承包的法律风险
Legal risks associated with bidding for new energy projects and engineering contracting
郝? 利? 夏煜鑫? 吕? 澄
Hao Lei Shao Lui.
《数据出境安全评估办法》十四个焦点问题的理解
Understanding of the 14 focus issues of the Data Exit Security Assessment
陈际红? 吴佳蔚? 于楚佳
Mr. Chan Jia-wei Yu Chia-Ju-Ju-hya
《人类遗传资源管理条例实施细则（征求意见稿）》修改要点及行业影响分析
Elements of changes to the Rules for the Implementation of Regulations Governing Human Genetic Resources (for comments) and industry impact analysis
傅长煜? 左玉茹
Yu Yu Yu Yu Yu!
探析历史交易未依法申报风险的处理和应对
Explore the handling of and response to risks from historical transactions not declared in accordance with the law
薛? 熠? 谷? 田
Xue Xue Xue Xue Xian Xuan Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xian Xiang Xian Xian Xian Xian Xiang Xian Xian Xian Xian Xian Xian Xian Xian Xiang Xian Xian Xian Xian Xiang Xian Xian Xian Xiang Xian Xian Xian Xian Xian Xian Xiang Xian Xian Xian Xian Xian Xian Xi
金融数据的分类分级与全生命周期保护
Classification and life-cycle protection of financial data
李? 瑞? 贾? 申? 钟俊鹏? 姚? 远
Lee, Ja-sen, Jong Jun-ping, yao, far away.
初创企业ESG基因的培养
The development of ESG genes in start-up companies
熊? 川
Bear?
环境企业IPO上市的监管重点及其应对
Regulatory priorities and responses to listing of environmental IPOs
唐周俊? 慕景丽? 曹美璇
Don Chow Joon, Mu Ching-Li, Mi-chun Cao.
从美国原产地规则之“实质性转变”标准看“301关税”加征的对策
Response to the “301 tariff” increase in terms of the “substantive shift” standard of United States rules of origin
徐珊珊
Xu Sanshan.
从行业监管案例看生物医药公司如何选择与管理CSO公司
From industry regulatory cases, how biopharmaceutical companies choose and manage CSO companies
李长虹? 苏恒瑶? 李政霖
Lee Chang-yun, Su Heung-hoon, Lee Jung-hoon.
知识产权强国建设引领下的国有企业知识产权管理体系建设要点
Elements of an intellectual property management system for State-owned enterprises led by a strong intellectual property State
张? 鹏
Chang?
高校科技成果转化中的技术合同争议研究——以某技术合同纠纷仲裁案为例
Study on disputes over technology contracts in the context of the transfer of technology from higher education institutions - for example, arbitration in disputes over a technology contract
何? 丹? 张? 琦? 陈? 露
What, Dan Chang Qi Chen Lu?
企业合规
Enterprises Compliance
1.抽水蓄能项目前期开发法律合规要点分析
1. Analysis of legal compliance points for the pre-development of the pumping energy project
作者：郝利（中伦律师事务所合伙人），夏煜鑫（中伦律师事务所非权益合伙人），张常睿（中伦律师事务所律师）
Author: Holly (Participant of the law firm of Central London), Shayun (Non-Participant of the law firm of Central London), Chang Chang-yung (Lawyer of the law firm of Central London)
内容摘要：构建以新能源为主体的新型电力系统，是我国实现“碳达峰、碳中和”目标的重要支撑。风电、光伏和核能等新能源发电占比的逐步提高，对电力系统调节能力提出了更高的要求，需要配套建设相应的储能项目。相比于电化学等储能技术，抽水蓄能作为当今最成熟的大容量储能解决方案，具有技术成熟、反应快速灵活、单机容量大、经济性较好等优点，是建设现代智能电网新型电力系统的重要支撑，将迎来快速发展的新局面。而抽水蓄能项目投资金额大、建设周期长，涉及选点规划、开发权的取得、移民安置、项目核准、土地征收、环境影响评价、水资源论证等众多前期手续，其中的法律合规问题非常重要。
The construction of new power systems, dominated by new sources of energy, is an important support for the country's achievement of its “carbon peaks, carbon neutrality” goal. The gradual increase in the share of new energy sources in electricity generation, such as wind power, photovoltaics and nuclear energy, places higher demands on their capacity to regulate the system and requires accompanying storage projects. Compared to storage technologies, such as electrochemistry, pumping capacity as the most mature solution for large-capacity storage today, with the advantages of technological maturity, rapid response flexibility, large single-power capacity, and better economics, is an important support for the construction of new power systems for modern smart grids.
关键词：新能源? “碳达峰、碳中和”? 抽水蓄能项目? 前期开发? 法律合规? 智能电网
Keywords: New energy? “Carbon peaks, carbon neutrality?” Pumping water storage projects? Pre-development? Legal compliance? Smart grids.
2.2022合规管理强化中企业合规制度的落实
2.202 Compliance management and implementation of the strengthened enterprise compliance system
作者：刘相文（中伦律师事务所合伙人），王涛（中伦律师事务所律师），谢逸（中伦律师事务所律师）
Author: Liu Sang-wen (partner in the law firm of China), Wang Tao (lawyer in the law firm of China), Xie Yung (lawyer in the law firm of China)
内容摘要：在国家政策的推动下，2022将成为企业合规管理的强化年。实践中，囿于制度设计缺陷和执行权威不足，常出现企业合规制度落地难的问题，在政策导向下，企业可以从制度制定和制度执行两个层面完善合规路径，以应对合规管理强化的大趋势。
Executive summary: The year 2022 will be an enhanced year for business compliance management, driven by national policies. In practice, the problem of corporate compliance is often compounded by deficiencies in the design of the system and the lack of executive authority.
关键词：企业合规? 合规管理? 制度设计? 执行权威? 合规培训? 追责机制
Keywords: Corporate compliance? Compliance management? System design? Enforcement authority? Compliance training? Accountability mechanisms
3.保险公司高管任职资格核准的行政合规风险及其防范
3. Administrative compliance risks and protection against qualification of executives of insurance companies
作者：于园园（中伦律师事务所非权益合伙人）
Author: Park (non-interested partner of the law firm in China)
内容摘要：保险公司董事、监事和高级管理人员的任职资格核准是我国保险行业的监管要求之一，如不能合法有序地完成这一核准程序，相关企业将可能面临一定的行政合规风险。因此，企业应当熟悉有关任职资格核准的相关规定，及时办理任职资格核准手续；主动应对投诉举报或主管部门调查；关注行政执法程序问题。
Executive summary: The accreditation of directors, supervisors and senior managers of insurance companies is one of the regulatory requirements of our insurance industry. If this approval process is not completed legally and in an orderly manner, the enterprise concerned may face certain administrative compliance risks. Therefore, the enterprise should be familiar with the relevant provisions governing the approval of eligibility for service and should be in a timely process for the approval of eligibility for service; be proactive in responding to complaints or investigations by the competent authorities; be concerned with administrative enforcement procedures.
关键词：保险公司? 高管任职资格核准? 法律后果? 行政合规风险? 风险防范? 行政执法程序
Keywords: Insurance companies, executive qualifications, legal consequences, administrative compliance risks, risk prevention, administrative enforcement procedures
4.高校院所在创新药研发成果转移过程中的定位探讨与合规风险
4. Positioning and compliance risks in the transfer of the results of innovative drug research and development at the campuses
作者：高俊（中伦律师事务所合伙人）、邱玮鑫（中伦律师事务所律师）
Authors: Ko-jun (partner of the law firm in Central London), Qiu-yuan (lawyer of the law firm in Central London)
内容摘要：高校院所在医药科技成果转化程序、成果评估机制、知识产权管理及转化服务等方面的缺位，以及配套法律合规保障制度的缺失，是掣肘医药科技成果转化的主要因素之一。高校在创新药研发成果转化过程中，应当着重关注在技术权利归属、国有资产评估、涉及国家秘密与国家安全、科研人员参与项目公司运营的人事管理、临床试验的数据合规等方面的合规问题，以应对突破传统合规范畴的法律风险。
Executive summary: The shortcomings of the Institute’s medical science and technology conversion process, results assessment mechanisms, intellectual property management and conversion services, as well as the absence of an accompanying legal compliance system, are among the main factors constraining the transformation of pharmaceutical science and technology. In the process of transforming the results of research and development of innovative medicines, universities should focus on compliance issues such as attribution of technical rights, assessment of State assets, personnel management involving State secrecy and national security, participation of scientists in the operation of the project’s companies, and data compliance in clinical trials, in order to address the legal risks of breaking out of traditional compliance.
关键词：高校院所? 创新药研发? 科技成果转化? 知识产权管理? 数据合规? 医药合规
Keywords: Higher School Institutes, Innovative Medicines Development, Science and Technology Conversion, Intellectual Property Management, Data Compliance, Medicine Compliance
5.高新技术企业知识产权合规监管要求及实践探索
5. Regulatory requirements and practice exploration for intellectual property compliance by high-technology enterprises
作者：何丹（中伦律师事务所合伙人），陈露（中伦律师事务所律师），张琦（中伦律师事务所律师）
Author: Hodang (partner in the law firm of Central Lone), Chen Lew (lawyer in Central Lone), Zhang Qi (lawyer in the law firm of Central Lone)
内容摘要：高新技术企业技术创新与知识产权的关系密切在高新技术企业认定后的监管力度日益增强的背景下，夯实高新技术企业资格，需要建立健全完善的知识产权合规体系，将知识产权管理和风险防范贯穿于技术开发工作及知识产权维护的全过程。知识产权合规体系建设服务于高新技术企业技术创新的整体战略定位，主要包括知识产权创造、运用和保护、知识产权流程管控、技术成果转化等多方面合规。
EXECUTIVE SUMMARY: The close relationship between technological innovation in high-technology enterprises and intellectual property rights (IPRs) is in the context of the growing regulation of high-technology enterprises, the strengthening of new-technology enterprise qualifications, the need for a well-developed intellectual property compliance system that protects intellectual property management and risk from the entire process of technological development and intellectual property protection. Intellectual property compliance systems are built to serve the overall strategic positioning of technological innovation in high-technology enterprises, including, inter alia, intellectual property creation, application and protection, regulation of intellectual property processes, and transformation of technological outcomes.
关键词：高新技术企业? 技术创新? 知识产权合规? 专利合规管理? 风险防范? 合规体系
Keywords: high-tech enterprise, technological innovation, intellectual property compliance, patent compliance management, risk prevention, compliance system
6.合规与仲裁的交错与冲撞
6. Intersections and collisions between compliance and arbitration
作者：高俊（中伦律师事务所合伙人）
Author: Ko Joon (partner of the law firm in China)
内容摘要：为了阻断外国法律与措施不当域外适用对中国的影响，维护国家主权、安全、发展利益，保护中国公民、法人或者其他组织的合法权益，根据我国国家安全法等有关法律，《阻断外国法律与措施不当域外适用办法》于2021年1月9日公布，这是制裁合规棋局中的重要一子。如欲探析被申请人提出适用《阻断办法》这一观点成立与否，前提是厘清《阻断办法》适用范围的边界所在。更为具象的问题为《阻断办法》是否适用于具体仲裁裁决的承认与执行。上海金融法院作出的首例承认和执行新加坡某仲裁裁决的裁定引发了业界热议，通过从制裁合规和国际仲裁裁决的承认与执行的角度，思考合规与仲裁的交错与冲撞，提出相关建议。
In order to prevent the extraterritorial application of foreign laws and measures from affecting China, preserve national sovereignty, security and development interests, and protect the legitimate rights and interests of Chinese citizens, legal persons or other organizations, in accordance with the relevant laws such as our national security law, the Disruption of the extraterritorial application of foreign laws and measures, published on 9 January 2021, is an important element of the sanctions compliance board. If an attempt is made to ascertain the validity of the respondent's argument for applying the Disruptive Measures, it is only if the boundaries of the scope of application of the Disruptive Measures are clarified. The more interesting question is whether the Disruption Measures apply to the recognition and enforcement of specific arbitral awards. The first decision of the Shanghai Financial Court to recognize and enforce an arbitral award in Singapore has given rise to an intense industrial debate and makes relevant recommendations by considering the intersection between compliance and arbitration in terms of sanctions compliance and the recognition and enforcement of international arbitral awards.
关键词：国内仲裁? 国际仲裁? 法律适用? 《阻断外国法律与措施不当域外适用办法》? 国际法仲裁执行
Keywords: domestic arbitration, international arbitration, application of the law, Interruption of the extraterritorial application of foreign laws and measures, enforcement of international law arbitration
7.中国企业的境外海关合规风险探析
7. Risk analysis for offshore customs compliance by Chinese enterprises
作者：张国勋（中伦律师事务所合伙人）
Author: Jang Kuo-hoon (partner in the law firm of China)
内容摘要：中国企业“走出去”过程中面临的境外海关合规问题不容小觑。特许权使用费是国际贸易中常见的费用项目，是由相关权利的使用人支付给权利人的对价。特许权使用费一般发生在跨境货物贸易和服务贸易重叠交叉的经营活动中，特别是在高新技术企业跨境投资设厂的情况下，特许权使用费出现的频率会更高，随之而来的合规风险也更大。中国企业应充分做好进口国的海关法律尽调；谨慎开展税务筹划，制定合规的转让定价政策；搭建海关进出口合规管理体系，以规避潜在在境外海关合规风险。
In the case of cross-border trade in goods and trade in services, in particular in the case of firms with high-technology technologies that invest in cross-border plants, royalties will occur more frequently, with consequent greater compliance risks. China’s enterprises should fully harmonize customs laws in importing countries; exercise due diligence in tax planning and develop transfer pricing policies for compliance; and develop a customs compliance regulatory system for imports and exports to avoid the potential risk of customs compliance abroad.
关键词：境外海关合规风险? “走出去”? 特许权使用费? 海关法律尽调? 税务筹划? 企业合规
Keywords: Offshore Customs Compliance Risks? “Go Out? Royalties? Customs Laws? Tax Planning? Business Compliance
8.企业合规管理评估域外经验及对中国企业的启示
8. Corporate compliance management assessment of extraterritorial experience and inspiration for Chinese enterprises
作者：刘相文（中伦律师事务所合伙人）、丁海东（中伦律师事务所律师）
Authors: Liu Sang-wen (partner of the law firm of China), Ding Haidong (lawyer of the law firm of China)
内容摘要：企业合规“强监管”时代来临已成普遍共识，无论国企民企，开展全面合规管理已成企业自觉。然而，中国企业的全面合规管理毕竟起步较晚，什么样的合规管理才是真正有效的合规管理，仍是困扰中国企业的一大痛点。监管部门、理论学者、合规从业者，以及企业主体都在为此思考和探索。通过梳理了以美国为代表的域外合规管理评估经验，总结了域外主流合规管理评估维度和评估标准，探讨了其内在逻辑，据此提炼出其对中国企业合规管理评估评价的启示。
However, comprehensive compliance management by Chinese enterprises is a late start, and what constitutes truly effective compliance management remains a major pain for Chinese enterprises. Regulatory authorities, theoretical scholars, compliance practitioners, and corporate subjects are thinking and exploring this.
关键词：合规管理有效性评估? 合规管理强化? 合规体系? “强监管”时代? 评估维度? 评估标准
Keywords: Evaluation of the effectiveness of compliance management?
9.企业知识产权合规体系建设思路与举措
9. Business intellectual property compliance system development ideas and initiatives
作者：张鹏（中伦律师事务所合伙人）
Author: Zhang Peng (partner of the law firm in China)
内容摘要：知识产权合规体系是企业全面合规管理体系建设的重要组成部分，也是企业境外经营合规管理的重要组成部分。《中央企业合规管理办法(公开征求意见稿)》为企业知识产权合规体系建设提供了新思路。企业应当在充分把握最高检典型案例和国资委合规管理办法的基础上，积极构建企业知识产权合规体系和企业知识产权运营体系；形成企业知识产权合规合规指南、操作手册，依法规范使用他人知识产权；有效识别和全面管控知识产权合规风险。
An intellectual property compliance system is an important part of the enterprise’s overall compliance system and of its external business compliance management. The Central Enterprise Compliance Management System (Public exposure draft) provides new ideas for the enterprise’s intellectual property compliance system.
关键词：企业知识产权合规体系? 全面合规? 国有企业? 企业知识产权运营体系? 知识产权? 企业合规
Keywords: Corporate intellectual property compliance system? Comprehensive compliance? State-owned enterprise? Enterprise intellectual property operation system? Intellectual property rights? Enterprise compliance
10.数字藏品合规路径之去金融化初探
10. Initial search for definancialization of the digital collection compliance path
作者：王红燕（中伦律师事务所合伙人），孙梦玥（中伦律师事务所律师）
Author: Wang Hongyan (partner in the law firm of China), Sun Mon-hyun (lawyer in the law firm of China)
内容摘要：从目前已经发布的政府文件中的有关监管要求归纳分析当下NFT交易平台合规经营的去金融化路径。就本身的属性而言，NFT与FT的核心区别在于它的稀缺性、不可分性。从近期国内政府发布的一系列公告、通知或文件来看，数字藏品的去金融化工作则属于平台是否能存续运营的关隘所在。
The core difference between NFT and FT in terms of its attributes is its scarcity and indivisibility. From a series of recent announcements, circulars, or documents issued by the national government, the definancialization of digital collections is the key to the platform’s viability.
关键词：数字藏品? 企业合规? 去金融化? NFT? 平台责任? 行业监管
Keyword: Digital Collections, Corporate Compliance, Financialization, NFT Platform Responsibility, Industry Regulation
11.碳关税制度设计模式和合规要点分析——兼评欧美碳关税立法
Models for the design of carbon tariff regimes and analysis of compliance points - together with European-American carbon tariff legislation
作者：姜喆（中伦律师事务所合伙人）、于治国（中伦律师事务所非权益合伙人）
Author: Kang Xiao (partner of the law firm in China), in charge of the State (non-interest partner of the law firm in China)
内容摘要：碳关税的出现，将会对碳密集型产品的国际贸易产生直接冲击。有关国家和地区仍在尝试不同方式的立法和制度设计。为了预防、适应和善用可能到来的碳关税规则，进出口企业，尤其是碳密集型产品及其下游产品的经营者，应及时关注主要贸易伙伴碳关税相关政策的变化和发展，适时建立、实施有针对性的合规管理措施。
The emergence of carbon tariffs will have a direct impact on international trade in carbon-intensive products. The countries and regions concerned are still experimenting with different approaches to legislation and institutional design. In order to prevent, adapt and make good use of possible carbon tariff rules, exporting and importing enterprises, especially those operating carbon-intensive products and their downstream products, timely attention should be given to changes and developments in carbon-related tariff-related policies of major trading partners, and targeted compliance measures should be established and implemented in due course.
关键词：碳关税制度? 碳边境调节制度? 进出口合规? 国际贸易? 企业合规? 世贸合规性
Keywords: Carbon tariff regime? Carbon border control regime? Import/export compliance? International trade? Enterprise compliance? World Trade compliance
12.新标准下中小企业合规管理体系的建立和评估
12. Establishment and evaluation of an SME compliance management system under the new standards
作者：高俊（中伦律师事务所合伙人）、王旻昊（中伦律师事务所律师）
Authors: Koh Joon (partner of the law firm in Central Lwin), Wang Jian (lawyer of the law firm in Central Lwin)
内容摘要：在适用第三方监督评估机制对相关企业进行合规管理体系建设(整改)有效性评估的过程当中，长期以来缺乏一套具体的标准来指引中小企业的合规建设。《中小企业合规管理体系有效性评价团体标准》的出台与生效改变这一困境，对这一新标准的理解和适用成为建立和评估中小企业合规管理体系的首要问题。
EXECUTIVE SUMMARY: In the process of assessing the effectiveness of the compliance system building (reform) of enterprises under the third-party monitoring and evaluation mechanism, there has been a long-standing lack of a specific set of standards to guide SME compliance. The introduction and entry into force of the Group Standard for the Evaluation of the Effectiveness of the SME Compliance System has changed the dilemma of understanding and application of this new standard as a primary issue in the establishment and evaluation of the SME compliance management system.
关键词：中小企业合规? 管理体系? 有效性评价? 团体标准? 第三方监督评估机制? 刑事合规
Keywords: SME compliance? management systems? effectiveness evaluation? group standards? third-party monitoring and evaluation mechanisms? criminal compliance
13.跨国公司员工管理数据合规十问十答
13. Ten questions on data compliance for TNC staff management
作者：蔡鹏（中伦律师事务所合伙人），胡云浪（中伦律师事务所律师），苏阳阳（中伦律师事务所律师）
Author: Choi Yong (partner of the law firm), Hu Yunhua (lawyer of the law firm), Suyangyang (lawyer of the law firm)
内容摘要：个人信息保护法的施行对跨国公司在人力资源管理的场景下提出了一系列新的合规要求。企业在向中国境外提供员工个人信息时，应当回归个人信息保护法等法律法规的相关文本以及立法目的，厘清重点概念并加深对各项法定合规义务的理解，立足员工个人信息处理场景，在运营管理过程中制定、实施更为有效且具有针对性的合规策略。
The implementation of the Personal Information Protection Act creates a series of new compliance requirements for multinational companies in the context of human resources management.
关键词：人力资源合规? 个人信息保护? 数据跨境? 跨国公司? 个人信息处理场景? 企业合规
Keywords: human resources compliance? Personal information protection? Data cross-border? Transnational corporations? Personal information processing scene? Business compliance
14.首起数据合规不起诉案论数据合规体系的价值与构建
Value and construction of the first data compliance non-prosecution data compliance system
作者：陈际红（中伦律师事务所合伙人），陈煜烺（中伦律师事务所律师）
Author: Chen Yeung Hong (partner of the law firm of Central Lwin), Chen Jian (lawyer of the law firm of Central Lwin)
内容摘要：我国首起数据合规不起诉案件意味着我国合规不起诉制度将正式适用于数据合规领域，应用领域的范围、适用主体的边界、制度价值的实现等问题仍有待厘清。而对于企业而言，应当愈加重视数据合规体系的价值，组建数据合规团队，开展高危风险针对性整改；全面开展差距分析，建立长效数据合规治理机制。
The first case of non-prosecution of data compliance in our country means that our system of non-prosecution will be formally applied to the area of data compliance, and that the scope of application, the boundaries of the subjects to which it applies, and the realization of the value of the system remain to be clarified. For businesses, the value of the data compliance system should be given greater weight, data compliance teams should be formed, high-risk risk-specific changes should be targeted; and gap analysis should be carried out in a comprehensive manner and long-lasting data compliance governance mechanisms put in place.
关键词：首起数据合规不起诉案? 合规不起诉? 数据合规? 数据合规团队? 数据合规治理? 刑事责任
Keywords: First case of non-prosecution of data compliance? Non-prosecution? Data compliance? Data compliance team? Data compliance governance? Criminal liability
15.可持续合规——ESG报告规则及披露实践适用
Sustainable compliance — application of ESG reporting rules and disclosure practices
作者：熊川（中伦律师事务所合伙人）
Author: Kumakawa (partner of the law firm of Nakaron)
内容摘要：ESG报告作为多维度体现企业可持续发展能力的综合性信息披露文件，体现了“绿色低碳经济”背景下对企业发展质量的更高要求，也愈发受到国际及国内资本市场投资领域的关注和重视。可从企业的角度出发，结合领域内实践，对ESG报告概述及A股现有规则情况、实质性议题的选择、气候变化应对的信息披露进行解读。
EXECUTIVE SUMMARY: The ESG report, as a comprehensive information disclosure document with a multi-dimensional reflection of the sustainable development capacity of enterprises, reflects the higher demand for quality in enterprise development in the context of a “green low-carbon economy” and is also receiving increased attention and attention in the area of investment in international and domestic capital markets. From an enterprise's point of view, an overview of the ESG report and the existing rules of Unit A, the selection of substantive topics, and the disclosure of information on climate change responses can be read in conjunction with practice in the field.
关键词：ESG? A股? 实质性议题? 信息披露? 绿色低碳经济? 可持续发展
Keywords: ESG?A Unit? Substantive issues? Information disclosure? Green low-carbon economy? Sustainable development
16.企业刑事合规的构建原理和实践方案
16. Constructive rationale and practice programme for corporate criminal compliance
作者：王峰（中伦律师事务所合伙人），王潜（中伦律师事务所律师）
Author: Wang Feng (partner of the law firm), Wang Koo (lawyer of the law firm)
内容摘要：随着企业合规改革的深入探索，越来越多的企业开始尝试将刑事合规”纳入风控管理体系之中。从企业自身的合规实践特征角度看，当前企业往往更倾向于将“刑事合规”作为企业的管理方法之一，它更为强调管理层对基层执行者的监督，且更倾向于通过设置专门的合规岗位或部门，来执行企业的全部合规事务。然而，企业刑事合规的两个维度包括事前预防与事后整改。传统刑事合规方案失效的原因在于执行偏差。企业构建刑事合规的基础源于刑事风险特征。因而，要建立可行、有效、全面的企业刑事合规的执行标准。企业刑事合规制度的构建原理为纵横均衡。纵向架构要囊括权力分配的实体和程序要点。横向组合要建立合规机制的模块配置。
As business compliance reform is further explored, an increasing number of enterprises are beginning to attempt to incorporate criminal compliance into the management system. From the perspective of the enterprise's own compliance practice, it is now often more likely that the enterprise will adopt “criminal compliance” as one of its management practices, placing greater emphasis on management oversight of the implementing agents at the grass-roots level and on the implementation of all compliance matters in the enterprise through the creation of specialized compliance posts or departments. However, the two dimensions of corporate criminal compliance include both ex ante prevention and post-reform.
关键词：企业刑事合规 执行偏差? 刑事风险特征? 执行标准? 企业刑事合规构建原理? 纵横均衡
Keywords: corporate criminal compliance, implementation deviations, criminal risk characteristics, enforcement standards, corporate criminal compliance construction principles, vertical balance.
17.浅议《反垄断法（修正案）》视角下企业合规建设
17. Corporate compliance building from the perspective of the Antimonopoly (Amendment) Act
作者：余昕刚（中伦律师事务所合伙人），蒋蕙匡（中伦律师事务所合伙人），侯彰慧（中伦律师事务所合伙人），贾申（中伦律师事务所非权益合伙人），李梦涵（中伦律师事务所律师）
Authors: Yu Yinggang (partner of the law firm in China), Xu Xuan (partner of the law firm in China), Xing Hui Huo (partner of the law firm in China), Jaishin (non-interest partner of the law firm in China), Lee Mon-hyun (lawyer of the law firm in China)
内容摘要：反垄断法(修正案)在垄断行为违法成本、平台经济领域具体规则、“安全港”规则、经营者集中分类分级审查和停钟制度、公益诉讼制度等方面呈现出了诸多亮点。为更好地合法合规经营，我国企业应关注反垄断领域的法律更新和政策导向，完善自身合规建设。
The Antimonopoly Act (Amendment) presents a number of highlights in terms of the costs of illegal monopolistic conduct, specific rules in the area of platform economy, the “safe harbour” rules, centralized classification of operators and the bell system, and the public interest litigation system. In order to achieve better legal compliance, our enterprises should focus on legal updating and policy orientation in the area of antimonopoly and improve their own compliance.
关键词：反垄断? 企业合规? 垄断协议? 经营者集中? 反垄断法修正? 平台经济
Keywords: Antimonopoly? Enterprise compliance? Monopoly agreements? Operator concentration? Antimonopoly amendment? Platform economy
18.平台经营者反垄断法合规进阶
18. Progress in the implementation of the platform operator's antimonopoly law
作者：吴鹏（中伦律师事务所合伙人），马成豪（中伦律师事务所律师），张津剑（中伦律师事务所律师）
Author: Ng Peng (partner in the law firm of China), Ma Sung-hoon (lawyer in the law firm of China), Zhang Jin Sword (lawyer in the law firm of China)
内容摘要：互联网平台经济具有网络效应、锁定效应、协同效应、倾覆效应、跨界竞争、动态竞争等特点，经营者集中是否应当申报以及历史交易是否“抢跑”；是否实施了反垄断法规定的滥用市场支配地位行为，特别是忠诚折扣、自我优待、算法歧视和最惠国待遇；是否达成横向或纵向垄断协议，特别是轴辐协议等，成为平台企业在日常经营活动中需要重点关注的问题。基于近年来趋严的监管政策和最新施行的反垄断法(修正案)及其配套规定，平台经营者应在经营者集中申报、滥用市场支配地位、垄断协议等方面加以重视并做好合规工作。
EXECUTIVE SUMMARY: The Internet platform economy is characterized by network effects, lock-in effects, synergies, dumping effects, cross-border competition, dynamic competition, whether operator concentration should be declared and whether historical transactions are “run-off”; whether abuses of a dominant position of market power under antimonopoly laws have been committed, in particular loyalty discounts, self-advantages, arithmetic discrimination and most-favoured-nation treatment; whether horizontal or vertical monopolistic agreements, in particular axiomatic irradiation agreements, have emerged as issues that need to be highlighted by platform enterprises in their day-to-day operations. Based on stringent regulatory policies in recent years and the recently introduced Antimonopoly Law (Amendment) and its accompanying provisions, platform operators should focus on and comply with centralized declarations by operators, abuse of a dominant position of market power, monopolistic agreements, etc.
关键词：平台经济? 反垄断? 经营者集中? 申报滥用市场支配地位? 垄断协议? 平台经营者
Keywords: platform economy, antimonopoly, concentration of operators, declaration of abuse of dominant market position, monopolistic agreement, platform operator
19.负责任投资——论基金管理人ESG能力建设之ESG合规体系搭建
Responsible Investment - Building the ESG Compliance System for ESG Capacity Building by Fund Manager
作者：高俊（中伦律师事务所合伙人），周杨洁（中伦律师事务所律师）
Author: Ko Jun (Partner, Central Law Office), Yang Jieon Zhou (Lawyer, Central Law Office)
内容摘要：“ESG”逐渐成为投资领域的热词，“ESG合规”也成为投资机构和公司主动追求的目标，这是一个可喜的现象。企业关注的合规要点早已不再局限于反腐败贿赂、反垄断、反舞弊等消极的、重在风险防范的传统事项，而是延伸到了环保、社会责任、公司治理等更积极的、助力企业可持续发展的事项。可见，企业的合规理念已经从“消极被动型合规”升级为“主动赋能型合规”，企业采取的合规行动也呈现出从防范型到进取型的转变。从基金管理人ESG管理能力建设出发，分析ESG合规如何为投资与商业赋能。
The executive summary: “ESG” has gradually become a hot word for investment, and “ESG compliance” has become an active goal for investment agencies and companies, which is a welcome development. Corporate compliance concerns are no longer limited to negative, risk-based traditional matters such as anti-corruption bribery, anti-monopoly, anti-fraud, but extend to more active and supportive business sustainable development issues such as environmental protection, social responsibility, corporate governance.
关键词：ESG合规? 基金管理人? 主动赋能型合规? 负责任投资? ESG能力建设? 进取型合规
Keyword: ESG Compliance? Fund Manager? Active Enabling Compliance? Responsible Investment? ESG Capacity Building?
20.数据出境安全新规出台下的境外财富管理机构业务
20. Foreign wealth management agency operations under the new regulations on data exit security
作者：龚乐凡（中伦律师事务所律师），姜璐璐（中伦律师事务所律师）
Author: Gon Leifan (lawyer at the law firm in China), Kang-yuan (lawyer at the law firm in China)
内容摘要：境外的私人银行、资产管理公司、家族办公室，现在获取、保存、处理来自于中国的客户个人信息，由于该等数据来自于境内，必然遇到“数据跨境”的安全评估与法律合规问题。随着中国个人信息、数据出境方面陆续颁布新规，如何在实践中有效履行法定合规义务，存在没有先例可以参考的困境。境外的一些财富管理机构合规部已经关注到中国个人信息出境监管的立法和监管动向，但是不清楚作为境外主体究竟有哪些责任和义务，针对个人信息如何处理，由于难以高效决策而导致业务部门无法及时开户、无法推进业务。对此，可以通过协助境外财富管理机构配合境内风险评估尽调、规划高效合规数据出境路径、帮助境外机构梳理业务模式，寻找最佳合规路径化解相关问题。
As China's personal information and data exits are subject to new regulations, there are no precedents for effective compliance in practice. The Compliance Department of some offshore wealth management agencies has been concerned about legislative and regulatory developments in the regulation of personal information departures from China, but it is not clear what duties and obligations exist as subjects outside China to deal with personal information, making it impossible for the business sector to open accounts in a timely manner because of the difficulty of efficient decision-making. In this regard, best compliance paths can be found to resolve problems by assisting offshore wealth management agencies to coordinate their internal risk assessments, planning efficient compliance data exit routes, and helping offshore agencies to streamline business models.
关键词：数据出境安全? 境外财富管理机构? 数据合规? 个人信息保护? 企业合规? 法律责任
Keywords: data exit security, offshore wealth management agency, data compliance, personal information protection, corporate compliance, legal liability
21.《中央企业合规管理办法》对央企合规管理工作的影响及对策
21. Impact of and response to the central enterprise compliance management approach on compliance management at the firm level
作者：刘相文（中伦律师事务所合伙人），卢鹰旋（中伦律师事务所律师），董艺（中伦律师事务所律师）
Author: Liu Sang-wen (partner in the law firm of China), Lu Eagles (lawyer in the law firm of China), Dong-tao (lawyer in the law firm of China)
内容摘要：中国企业面临的国内外运营环境和风险挑战日趋复杂严峻，国际竞争越来越体现为规则之争、法律之争，中央企业只有谙熟规则，诚信合规，方能行稳致远，真正实现成为世界一流企业的目标。国务院国资委高度重视合规管理工作，正式以国资委令的形式印发了《中央企业合规管理办法》（以下简称《办法》），并于2022年10月1日正式施行。不同于作为政策引导类规范性文件的《中央企业合规管理指引(试行)》（以下简称《指引》），《办法》配套了监督问责机制，属于国资委对中央企业的刚性约束，并且内容更全、措施更实、力度更大。这标志着中央企业合规管理工作进入了新一轮的发展时期，但同时也对中央企业进一步深化合规管理提出了更高的要求。为帮助中央企业进一步建立健全合规管理体系、提升依法合规经营管理水平，因此，将从《办法》相对《指引》的变化入手，重点分析《办法》对央企合规管理工作的影响，并基于我们的实务经验，为央企后续开展合规管理工作提出应对策略和建议，以期为央企合规管理体系建设者与参与者提供参考。
The State Finance Committee of the State Council attaches great importance to compliance management, officially issuing the Central Enterprise Compliance Management Scheme (hereinafter referred to as the Scheme) in the form of a State Finance Committee order, and formally implementing it on 1 October 2022. Unlike the Central Enterprise Compliance Management Directive (the Pilot Scheme) (hereinafter referred to as the Guide) as a regulatory document for policy guidance, which is accompanied by a supervisory and accountability mechanism, which is part of the National Finance Commission’s proactive approach to central enterprises and which is more comprehensive, effective and robust, and which marks the beginning of a new round of development, the Central Enterprise Compliance Management System (hereinafter referred to as the Scheme) has placed greater demands on central enterprises to further deepen compliance management.
关键词：《中央企业合规管理办法》? 《中央企业合规管理指引(试行)》? 中央企业? 合规管理? 国资委? 企业合规
Key words: Central Enterprise Compliance Management Scheme? Central Enterprise Compliance Management Guidelines (pilot) Central Enterprise? Compliance Management? National Investment Commission? Enterprise Compliance
智慧法治
1.我国“大数据杀熟”的立法规制与法律实践
Legislative regulation and legal practice of our “big data”
作者：蒋蕙匡（中伦律师事务所合伙人），贾申（中伦律师事务所非权益合伙人），赵琳格（中伦律师事务所律师）
Author: Xu Quan (partner of the law firm of China), Jaishin (non-interest partner of the law firm of China), Zhao Ling (lawyer of the law firm of China)
内容摘要：目前对“大数据杀熟”进行规制的法律法规主要包括反垄断法、反不当竞争法、消费者权益保护法、价格法、个人信息保护法等。对“大数据杀熟”规制的趋势在于认定标准逐渐明确、监管体系逐步完善以及举证责任逐步降低。平台企业合规工作要充分关注正当理由、明确合理定价机制以及准确划定数据边界。
EXECUTIVE SUMMARY: The laws and regulations currently in place to regulate “big data cutting” include, inter alia, antimonopoly laws, anti-malarial competition laws, consumer rights protection laws, price laws, personal information protection laws, etc. The trend towards “big data cutting” regulation is to identify standards that are becoming clear, regulatory systems that are gradually improving, and the burden of proof is decreasing.
关键词：大数据杀熟? 平台规制? 平台企业合规? 大数据杀熟的监管体系? 差别待遇? 数据治理
Keywords: big data cutting? platform regulation? platform corporate compliance? big data cutting regulatory system? differential treatment? data governance
2.NFT开启数字资产市场新认知
2. New perception of NFT opening the digital asset market
作者：樊晓娟（中伦律师事务所合伙人），印磊（中伦律师事务所律师）
Author: Liu Xiaojun (partner of the law firm of Central London), Indo-kun (lawyer of the law firm of Central London)
内容摘要：在不同的法律适用和不同的应用场景下，NFT可能兼具作品、虚拟财产、艺术品、互联网视听节目、网络出版物等法律性质。根据当前法规和政策导向，相关主体应当把握NFT从生成至交易的全流程合规，注意NFT在增长背后的合规要点，方能塑造更多产生经济效益的商业模式。
Executive summary: Under different legal applications and different applications, NFTs may be of a legal nature, such as works, virtual property, works of art, Internet audio-visual programmes, web-based publications, etc. Under current regulatory and policy directions, the subject concerned should be able to capture the full flow of NFT compliance from generation to transactions, paying attention to the key points of NFT compliance behind growth, in order to create more business models that generate economic benefits.
关键词：NFT? 数字资产? 著作权法? 企业合规? 财产权利? 智能合约
Keywords: NFT? Digital Assets? Copyright Law? Business Compliance? Property Rights? Smart Contracts
3.从数据“三法”看企业数据泄露风险的预防和应对
Prevention of and response to the risk of disclosure of enterprise data from a data “triple approach”
作者：李瑞（中伦律师事务所合伙人），贾申（中伦律师事务所非权益合伙人），钟俊鹏（中伦律师事务所非权益合伙人），李梦涵（中伦律师事务所律师），许聿宁（中伦律师事务所律师）
Authors: Lee Ri (Participant, law firm) Jaishin (non-interest partner, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm, law firm.
内容摘要：在当前我国数据合规强监管的形势下，数据安全法、个人信息保护法和网络安全法等法律法规从不同视角出发为企业规定了不同的合规义务，预防数据泄露成为企业数据合规工作中的重点和难点。相关企业应当从组织架构、制度设计、技术防御、补救措施等方面加强合规建设，具体包括构筑数据安全组织三级体系，搭建企业内部信息安全制度，完善数据全生命周期保障措施，制定风险事件应对响应方案。
In the current context of strong data compliance control in the country, laws and regulations such as the Data Security Act, the Personal Information Protection Act and the Cyber Security Act impose different compliance obligations on enterprises from different perspectives, preventing data leaks from becoming a focus and difficulty in their data compliance efforts. The enterprises concerned should strengthen compliance in terms of organizational structure, institutional design, technical defence, remedial measures, including the construction of a three-tier system of data security organizations, the development of an internal information security system for enterprises, the improvement of data life-cycle safeguards, and the development of a risk incident response programme.
关键词：数据安全? 企业合规? 数据泄露? 数据全生命周期? 企业风险? 信息安全
Keywords: Data security? Enterprise compliance? Data disclosure? Data life cycle? Enterprise risk? Information security
4.机器学习作品的类型化及其著作权责任
4. Typologies of machine-learning works and their responsibilities for copyright
作者：王红燕（中伦律师事务所合伙人），陈茜（中伦律师事务所律师）
Author: Wang Hongyan (partner in the law firm of China), Chenxi (lawyer in the law firm of China)
内容摘要：以深度学习算法为核心的人工智能系统使传统视野下的著作权制度遭到了前所未有的挑战，人工智能训练团队对海量数据的获取以及输入，势必存在侵犯著作权的风险。因此，对于以输入海量作品作为训练数据的机器学习是否有侵权之嫌、是否可以适用合理使用制度提出侵权抗辩以及中国当前著作权体系是否能够对这种新的行为进行认定等问题值得被关注和探讨。
EXECUTIVE SUMMARY: An artificial intelligence system centred on in-depth learning algorithms has brought unprecedented challenges to copyright systems in traditional horizons, and there is an inherent risk of infringement of copyright in the acquisition and entry of big data by an artificial intelligence training team. Therefore, questions such as whether machine learning using large volumes of work as training data is likely to infringe, whether a rational use system can be applied to defend torts, and whether China’s current copyright system can identify such new behaviour deserve attention and discussion.
关键词：机器学习? 人工智能? 著作权? 合理使用? 知识产权? 民事责任
Keywords: machine learning, artificial intelligence, copyright, rational use, intellectual property rights, civil liability
5.开源技术在人工智能产业中的应用和知识产权风险
5. Application of open-source technologies in the artificial intelligence industry and intellectual property risk
作者：王红燕（中伦律师事务所合伙人），陈茜（中伦律师事务所律师）
Author: Wang Hongyan (partner in the law firm of China), Chenxi (lawyer in the law firm of China)
内容摘要：开源技术在人工智能产业中被越来越深入地应用，而在应用过程中，由于开源技术的“自由”属性与知识产权“独占性”天然地存在着冲突，可能存在著作权侵权、专利侵权和商标侵权的风险。企业要有效管控开源技术的知识产权风险，从多个方面展开系统性的长期工作，完善自身知识产权合规。
EXECUTIVE SUMMARY: Open-source technologies are increasingly being used in the artificial intelligence industry, where there is a risk of copyright infringement, patent infringement, and trademark infringement due to natural conflicts between the “free” attributes of open-source technologies and intellectual property “exclusiveity.” Enterprises need to effectively manage the intellectual property risks of open-source technologies, undertake systematic and long-term work on multiple fronts to improve their intellectual property compliance.
关键词：开源技术? 开源数据? 人工智能? 知识产权保护? 企业合规? 侵权责任
Keywords: Open source technology, open source data, artificial intelligence, intellectual property protection, corporate compliance, tort liability
6.算法的运用与反垄断合规风险
6. Application of algorithms and anti-monopoly compliance risks
作者：吴鹏（中伦律师事务所律师），龙睿（中伦律师事务所律师）
Author: Ng Peng (lawyer at the law firm of China), Yong-woo (lawyer at the law firm of China)
内容摘要：在数字经济和平台经济中，“算法”是个非常热门的话题，某种程度上，可以说数据、算法和算力是数字经济的核心驱动力之一。算法是指基于一定的计算模型，为执行特定任务而设计的指令序列。在商业经营活动中，算法有丰富的表现形式和应用场景。算法在为企业创造更多商业成就，为消费者提供更多服务便利的同时，也因其潜在的问题引发了监管的广泛关注。可以通过聚焦其中竞争企业之间的算法合谋问题，从算法类型本身出发，对可能产生反垄断违法风险的算法行为进行回顾和梳理。
In the digital economy and the platform economy, “arithmetic” is a very popular topic, and it can be said that data, algorithms, and arithmetic are, to some extent, one of the central drivers of the digital economy. Arithmetic is a sequence of instructions designed to perform specific tasks based on a certain model of calculation. In business operations, algorithms have a rich expression and application.
关键词：算法运用? 反垄断合规? 平台经济? 数字经济? 法律责任? 企业合规
Keywords: Algorithm application? Antimonopoly compliance? Platform economy? Digital economy? Legal liability? Business compliance
7.虚拟货币监管入刑化趋势解读
7. Interpretation of the trend towards the criminalization of virtual currency regulation
作者：葛燕（中伦律师事务所非权益合伙人）
Author: Gyan (non-equity partner at the law firm in China)
内容摘要：以比特币为代表的虚拟货币虽因其使用方便、交易快捷等特点已经融入到社会生活、娱乐中的各个方面，对方便、丰富人们的生活具有积极的促进作用。但是，由于立法滞后、监管制度不完善、交易秩序混乱等问题，虚拟货币亦可能成为非法集资、洗钱、传销等犯罪的中间媒介。通过对虚拟货币监管政策的全面解读，提示其可能带来的法律风险问题，并提出相关预防建议。对于投资者而言，应当妥善保管自己的身份证、银行卡、手机卡等，不要轻易出借、出售给他人；保管好自己银行卡账户、收款码等相关信息。对于企业投资者，应当提前进行账户风险监测，既要避免企业自身涉嫌洗钱行为，也要管好员工远离涉虚拟货币业务，在日常资金流转中建立合规监测机制，主动汇报异常交易信息，实现企业与风险之间的有效切割。
A virtual currency, represented by bitcoin, which, because of its ease of use, speed of transactions, has been integrated into all aspects of social life and recreation, has a positive impact on the convenience and enrichment of people. However, because of legislative delays, inadequate regulatory systems, and disorderly transactions, virtual money can also become an intermediary for crimes such as illegal collection of funds, money-laundering, distribution, etc. Through a comprehensive reading of virtual money regulation policies, it may pose legal risks and suggest preventive measures. For investors, it is important to keep their identity cards, bank cards, mobile phone cards, etc., in order not to easily lend to others, to keep their own bank card accounts, receipt codes, and so on. For business investors, account risk monitoring should be carried out in advance, both to avoid suspected money-laundering by the enterprise itself, and to keep employees away from virtual money-laundering operations and to establish compliance monitoring mechanisms in the day-to-day flow of funds, to report information about unusual transactions and to achieve an effective cut between business and risk.
关键词：虚拟货币? 货币政策? 行业监管? 刑事责任? 诈骗罪? 洗钱罪
Keywords: Virtual currency, monetary policy, industry regulation, criminal responsibility, fraud, money-laundering.
8.统一大市场下数据壁垒的破除
8. Harmonizing the dismantling of data barriers in large markets
作者：蔡鹏（中伦律师事务所律师合伙人），胡云浪（中伦律师事务所律师）
Author: Choi Peng (lawyer at the law firm in China), Hu Yunhua (lawyer at the law firm in China)
内容摘要：目前建设数据流转机制尚缺乏具体落地细则，实践中，数字平台的权益和收益的分配和归属、平衡平台的盈利目的与公益属性等问题阻碍着当前对建立数据流转制度的探索。欧盟数据治理法案从公共部门如何开放持有数据的重复利用、企业之间如何加强数据共享、个人怎样才能信赖公益机构处理其个人数据等角度切入，可以为我们为解决数据流转相关问题提供启发。我国应当落实总体国家安全观，打通政务数据的流转机制；基于保护个人隐私和个人信息权益下的流转规则；建立多方共赢机制；搭建多重体系下的数据共享机制。
EXECUTIVE SUMMARY: The current construction of the data flow mechanism lacks specific rules. In practice, issues such as the distribution and attribution of benefits and benefits of the digital platform, balancing the platform’s profit-making objectives with the public good are hampering the ongoing exploration of a data flow system. The EU data governance bill can provide an insight into how the public sector can open up the duplication of data held, how firms can enhance data sharing among themselves, and how individuals can rely on public interest agencies to process their personal data.
关键词：数据流转机制? 统一大市场? 数据要素市场? 数据治理法案? 数据共享? 个人信息保护
Keywords: data flow mechanisms, harmonization of large markets, data factor markets, data governance bill, data sharing, personal information protection
9.区块链与数字货币场景下的跨境反洗钱合规
9. Cross-border anti-money-laundering compliance in the context of block chains and digital currency
作者：龚乐凡（中伦律师事务所律师合伙人）
Author: Gon Leifan (lawyer at the law firm in China)
内容摘要：在日新月异的高科技都面临不断颠覆的今天，法律的迭代不可避免地滞后于现实。黑科技的不当运用，是否对法律和秩序带来巨大挑战，甚至会让有些法律变得形同虚设？在区块链科技和数字货币科技领域，传统金融体系的游戏规则发生了根本性改变，对于反洗钱监管而言，监管机构和金融机构都发现传统模式已经难以适应科技发展的要求。世界范围内许多国家已经开始针对加密虚拟货币的洗钱行为，加强监管和联合执法行动，针对该领域的监管和处罚案例也已经开始增多。对于金融机构而言，合规的要求只有变得更高，如果不能及时应对高科技带来的风险，按照新的监管要求应对潜在的问题，就会因此支付高昂的代价。
In the area of block-chain technology and digital-currency technology, there have been fundamental changes in the rules of the traditional financial system. For anti-money-laundering regulation, regulators and financial institutions have found it difficult to adapt traditional models to the requirements of scientific and technological development. Many countries around the world have begun to deal with money-laundering in encrypted virtual currencies, to strengthen regulation and joint enforcement, and to increase the number of regulatory and penal cases in this area.
关键词：区块链? 数字货币? 跨境反洗钱合规? 监管机构? 金融机构? 加密虚拟货币
Keywords: block chain, digital currency, cross-border anti-money-laundering compliance, regulatory body, financial institution, encrypted virtual currency
经济法治研究
1.基于司法个案视角再议商业秘密保护中的“相应程度”保密措施
Review of “appropriate” confidentiality measures in the protection of commercial secrets on the basis of a judicial case-by-case perspective
作者：赵刚（中伦律师事务所律师合伙人），高敏（中伦律师事务所律师）
Author: Zhao Gang (lawyer at the law firm in Central Lon), Kwang Min (lawyer at the law firm in Central Lun)
内容摘要：我国司法实践中对于商业秘密保护中“采取相应保密措施”的认定较为严格且具有一定个案性，根据最高法的观点，保密措施应体现权利人的保密意愿、能够被识别、与商业秘密对应、考虑商业秘密及其载体的性质，因此，权利人应当采取具体的、特定的、与主张的商业秘密及其载体相对应的保密措施。
Summary: In our judicial practice, the determination of “appropriate measures of confidentiality” in the protection of commercial secrets is more stringent and case-by-case in nature. According to the view of the supreme law, confidentiality measures should reflect the will of the entitled person to remain confidential, be capable of being identified, correspond to commercial secrets, take into account commercial secrets and the nature of their vehicles. Therefore, the entitled person should take specific and specific measures of confidentiality corresponding to the claimed business secrets and their carriers.
关键词：商业秘密保护? 相应保密措施? 反向工程抗辩? 侵权责任? 营商环境? 企业合规
Keywords: business secret protection? Corresponding confidentiality measures? Reverse engineering defences? Tort liability? business environment? business compliance
2.北京证券交易所公开发行上市制度解读
Interpretation of the publicly available listing system of the Beijing Stock Exchange
作者：郭克军（中伦律师事务所合伙人）、魏海涛（中伦律师事务所合伙人）、赵海洋（中伦律师事务所非权益合伙人）
Authors: Guo Keung Army (partner of the law firm in China), Wei Haitao (partner of the law firm in China), Zhao Hai (non-interest partner of the law firm in China)
内容摘要：北交所的设立是我国多层次资本市场改革的重大举措，北交所公开发行上市制度架构中，在组织形式、市场定位、发行上市条件、审核流程等方面尚有需要进一步探索和完善之处。回顾多层次资本市场建设的历程，我国注册制未来可以在转板机制和不同交易市场的互联互通、不同交易市场的制度优化、退市机制等方面进一步深化改革。
The establishment of the North Passage is a major initiative in the reform of the country’s multi-level capital markets. In the framework of the publicly available listing system, there is still room for further exploration and refinement in terms of organizational form, market positioning, market conditions for issuance, and the auditing process. Looking back at the history of the construction of the multi-layered capital market, our registration system can further reform in the future in terms of the turn-over mechanism and interconnectivity of different trading markets, system optimization of different trading markets, and de-market mechanisms.
关键词：北交所? 公开发行上市? 多层次资本市场? 注册制? 退市? 证券交易市场
Keywords: North Passage, publicly available, marketed, multi-level capital markets, registered, de-marketed, stock exchange markets.
3.新《虚假陈述若干规定》系列解读：证券虚假陈述纠纷的仲裁解决
3. New Set of Provisions on Counterfeiting Statements: Arbitration settlement of disputes over false statements of securities
作者：袁培皓（中伦律师事务所非权益合伙人）
Author: Yuan Pei-chung (non-interested partner in the law firm of China)
内容摘要：在我国目前的虚假陈述纠纷争端解决机制中，实行的仍然是较为单一的法院诉讼解决方式，已经无法满足新生的纠纷解决需求。在单一诉讼方式面临现实挑战的情况下，仲裁作为重要的替代性纠纷解决方式，具有快捷性、专业性、保密性等多方面的优势。结合美国证券仲裁机制对我国证券纠纷仲裁解决制度构建的启示，我国应出台相应立法为证券仲裁制度提供法律基础，联合证券业协会进行制度建设与加强证券仲裁的行业自律，加快推进证券仲裁制度在我国的实施与发展。
In the context of the current dispute resolution mechanism for false representations, which is still in place in our country, there is a more uniform approach to court litigation, which is no longer sufficient to meet the emerging demand for dispute resolution. In the face of the real challenge of a single system of litigation, arbitration, as an important alternative to dispute resolution, has the advantages of speed, professionalism, confidentiality, and so on. In the light of the inspiration given to our securities dispute settlement system by the United States Securities Arbitration Mechanism, we should introduce appropriate legislation to provide the legal basis for the securities arbitration system, and the Joint Securities Industry Association (UCA) should conduct a system-building and strengthening of industry self-regulation in securities arbitration, and accelerate the implementation and development of the securities arbitration system in our country.
关键词：证券虚假陈述纠纷? 单一诉讼方式? 美国证券仲裁制度? 仲裁合意性? 行业监管? 证券仲裁
Keywords: Fake statement of securities dispute? Single litigation? United States securities arbitration system? Arbitration consensual? Industry regulation? Securities arbitration
4.证券虚假陈述下减免责抗辩
4. Derogations under false statements of securities
作者：刘洪蛟（中伦律师事务所合伙人），徐志豪（中伦律师事务所律师）
Author: Liu Hongjian (partner in the law firm of China), Xu Zhihou (lawyer in the law firm of China)
内容摘要：关于对系统性及非系统性风险纳入裁量范围，《关于审理证券市场虚假陈述侵权民事赔偿案件的若干规定》相比于旧司法解释的规定更加明确，但司法实践中，对系统性风险与非系统性风险减免责抗辩的认定仍受到多种因素影响，信息披露义务人应针对个案情况，聘请专业机构、尽可能地收集证据，以应对证券虚假陈述责任诉讼。
Summary: With regard to the inclusion of systemic and non-systematic risks in the scope of discretion, the provisions of the Certain Provisions on the Hearing of Counterfeit Civil Compensation Cases in the Securities Market are clearer than in the old judicial interpretations, but in judicial practice, the recognition of systemic risks as opposed to the defence of non-systematic risk relief is still influenced by a number of factors. The information disclosure dutyr should, on a case-by-case basis, engage professional bodies to gather evidence as far as possible in response to claims of responsibility for false statements of securities.
关键词：证券虚假陈述? 民事赔偿? 信息披露义务人? 系统性风险减免责抗辩? 非系统性风险减免责抗辩? 行业监管
Keywords: securities falsely stated; civil damages; information disclosure obligor; systemic risk relief defence; non-systematic risk relief defence; industry regulation
5.经典判例助力证券虚假陈述司法解释修改与完善
5. Revision and refinement of the judicial interpretation of false statements in classic cases of assistive securities
作者：张保生（中伦律师事务所合伙人），朱媛媛（中伦律师事务所律师），郭晓英（中伦律师事务所律师），金曼特（中伦律师事务所律师）
Author: Mr. Zhang Bao-sheng (partner of the law firm of China), Mr. Chu Xiao Ying (lawyer of the law firm of China), Mr. Guo Xiao Ying (lawyer of the law firm of China), Mr. Kim Mante (lawyer of the law firm of China)
内容摘要：《关于审理证券市场虚假陈述侵权民事赔偿案件的若干规定》吸纳司法实践经典案例的有益探索，全面重构证券虚假陈述民事赔偿案件的司法认定规范，为资本市场的规范发展提供有利的法律保障。交易因果关系的认定一直是此类案件中的重点与难点，司法解释的完善与实践经验的充实为这一问题不断提供新的思路与指引。
EXECUTIVE SUMMARY: Some of the provisions governing the consideration of tort civil compensation cases in securities markets incorporate a useful exploration of classic cases of judicial practice, fully reformulating the legal recognition of civil compensation cases in which securities are falsely stated, and providing favourable legal safeguards for the development of capital market regulation. The determination of the causality of transactions has been the focus and difficulty in such cases, and the refinement of judicial interpretation and practice constantly provides new thinking and guidance on this issue.
关键词：证券虚假陈述? 证券侵权民事诉讼? 交易因果关系? 民事赔偿? 资本市场? 证券交易
Keywords: securities falsely stated; securities tort civil action; trading causality; civil compensation; capital markets; securities trading
6.平台经济领域经营者集中申报标准再解读
6. Re-reading of the criteria for centralized declarations by operators in the economic sphere of the Platform
作者：蒋蕙匡（中伦律师事务所合伙人），贾申（中伦律师事务所非权益合伙人），赵琳格（中伦律师事务所律师），李梦涵（中伦律师事务所律师），姚远（中伦律师事务所律师）
Authors: Jia Sheng (Participant of Central Lwin Law Office), Jaishin (Non-Participating Partner of Central Lwin Law Office), Zhao Ling (Lawyer of Central Lwin Law Office), Lee Mon-heung (Lawyer of Central Lwin Law Office), Yao Wan (Lawyer of Central Lwin Law Office)
内容摘要：就经营者集中申报的标准而言，我国采取的是法定营业额标准为主加自由裁量例外的申报标准模式。在平台经济领域，作为判断是否达到经营者集中申报门槛的“硬”标准，营业额及其计算方法对于参与交易的平台企业至关重要。营业额并非经营者集中反垄断申报的唯一标准，企业即便营业额未达到前述申报门槛，也不能全然排除交易不受到反垄断执法机构主动调查的可能。通过结合反垄断相关法律法规，围绕营业额计算和未达申报门槛时的“扼杀式并购”两个方面，探讨平台经济领域经营者集中申报的准线，为企业开展合规工作的提供新的思路与方向。
In the area of the platform's economy, as a “hard” criterion for determining whether to meet the operator's threshold for centralized declarations, turnover and how it is calculated are essential for the platform's enterprises involved in the transaction. The turnover is not the only criterion for the operator's centralization of antimonopoly declarations, and an enterprise's failure to meet the above-mentioned reporting threshold does not entirely exclude the possibility of transactions not being actively investigated by antimonopoly law enforcement agencies. By combining antimonopoly-related laws and regulations, a new line of thought and direction for the platform's operators' centralization of declarations in the economic sphere is being explored in terms of both the calculation of turnover and “strangulation and purchase” when the threshold for declarations is not met.
关键词：平台经济? 经营者集中? 营业额? 扼杀式并购? 监管例外? 行业监管
Keywords: platform economy? operator concentration? turnover? stifling M & As? exception to regulation?
7.单一经济实体原则对反垄断处罚影响的评述
7. Review of the impact of the principle of a single economic entity on antimonopoly penalties
作者：薛熠（中伦律师事务所合伙人），俞炜（中伦律师事务所律师）
Author: Xue Xue (partner in the law firm of China), Xiao (lawyer in the law firm of China)
内容摘要：单一经济实体原则从最初源起于欧盟竞争法到今日受到不同反垄断司法辖区的普遍关注，历经半个世纪的发展，亦仍未见形成一个清晰、明确、普适的概念。尽管单一经济实体原则并未在我国反垄断法及相关法律规定中有明确体现，但是类似的原则显然已经在我国反垄断执法实践中得以适用且不断发展。通过讨论单一经济实体原则在反垄断处罚语境下的适用性和适用规则对企业评估相应的反垄断法风险的重大意义，分析评估企业母公司是否可能因子公司的垄断行为而被连坐的风险。
While the principle of a single economic entity is not explicitly reflected in our antimonopoly law and related legal provisions, it is clear that similar principles have been applied and developed in our antimonopoly enforcement practice. By discussing the relevance of the application of the principle of a single economic entity in the context of antimonopoly penalties and the application of rules to the assessment of the corresponding antimonopoly law risks by enterprises, an analysis of the risk that a parent company may be caught up in a corporation’s monopoly behaviour is possible.
关键词：反垄断法? 单一经济实体原则? 反垄断执法? 垄断协议? 母子公司? 企业合规
Keywords: Antimonopoly Act? Single economic entity principle? Antimonopoly enforcement? Monopoly agreement? parent subsidiary? enterprise compliance
8.合规风险下“互不挖角协议”的反垄断探析
Anti-monopolistic exploration of “non-drawling agreements” under the risk of compliance
作者：张白沙（中伦律师事务所合伙人），刘晓（中伦律师事务所律师），谢培堰（中伦律师事务所律师）
Author: Zhang Bai Sha (partner of the law firm of China), Liu Xiao (lawyer of the law firm of China), Chei Beong (lawyer of the law firm of China)
内容摘要：从反垄断法的角度审视，“不竞争条款”，尤其是用人单位之间订立的“互不挖角协议”并不当然合法，需要从直接相关性、必要性与合理性三个方面进行考量。域外的执法经验提出了“附属限制原则”测试，当且仅当某“互不挖角协议”促进了一项商业交易，且对于该交易来说是必要且合理的情况下，才可以被认为是通过该测试。在反垄断执法收紧的今天，用人单位应依据境内外的反垄断执法及司法理论与实践，结合个案情况进行反垄断风险评估，审慎签署各类不竞争条款。
From the perspective of antimonopoly law, the “non-competitive clause” and, in particular, the “non-competition agreement” concluded between employers is not of course legal and requires consideration in terms of direct relevance, necessity and reasonableness. Extraterritorial enforcement experience suggests the “subsidiary limitation principle” test, which can be considered to be passed only if and to the extent that a “non-competition agreement” promotes a commercial transaction and is necessary and reasonable for the transaction. Today, when anti-monopoly enforcement is tightened, the employer should carefully sign various non-competition clauses based on anti-monopoly enforcement and judicial theory and practice, both within and outside the country, taking into account individual cases.
关键词：不竞争条款? 互不挖角协议? 附属限制原则? 反垄断执法? 风险评估? 企业合规
Keywords: non-competition clauses, non-competition agreements, subsidiary limitation principles, anti-monopoly enforcement, risk assessment, corporate compliance
实务研究
practical research
1.新能源项目招投标及工程承包的法律风险
1. Legal risks associated with bidding for new energy projects and engineering contracting
作者：郝利（中伦律师事务所合伙人），夏煜鑫（中伦律师事务所非权益合伙人），吕澄（中伦律师事务所律师）
Author: Holly (Participant, Central L.A.), Shao Ying (Non-Participant, Central L.A.), Lu Jian (Lawyer, Central L.A.)
内容摘要：新能源项目属于依法必须招标项目范围，但实务中易因未依法进行招标、招标程序不规范、招标人报价基础资料不准确等原因导致法律风险。在合同签约管理过程中，发包人应充分关注是否存在承包人不具备资质条件、合同无效等情形，并在合同履行过程中及时办理项目合规手续，强化对项目工期的管理及对工程分包商的管控，加强对工程款结算及支付的管理，避免或减少损失的发生。
New energy projects fall within the scope of projects for which bidding is required by law, but in practice they may be exposed to legal risks due to non-compliance with the law, irregularities in the bidding process, inaccuracies in the basis of bids from bidders.
关键词：新能源项目? 招投标? 工程承包? 合同履行? 法律风险? 违约责任
Keywords: New Energy Projects, Bids, Engineering Contracting, Contract Implementation, Legal Risks, Liability for default
2.《数据出境安全评估办法》十四个焦点问题的理解
2. Understanding of the 14 focus issues of the Data Exit Security Assessment
作者：陈际红（中伦律师事务所合伙人），吴佳蔚（中伦律师事务所律师），于楚佳（中伦律师事务所律师）
Author: Chen Yeung Hong (partner in the law firm of China), U Jiawe (lawyer in the law firm of China), Chua (lawyer in the law firm of China)
内容摘要：自网络安全法于2017年生效以来，其所确立的数据出境安全评估制度就广受关注。《数据出境安全评估办法》体现了监管机构兼顾维护数据流动安全和促进数字经济发展的价值取向，为企业跨境数据合规义务的落地实施提供了更为确定的指引。本文选取企业视角中所关注的十四个焦点问题进行讨论。我国有关企业应当密切关注数据安全领域立法动态，对《数据出境安全评估办法》中的焦点问题深入理解，并基于此开展数据跨境合规工作。
The data exit security assessment system, established by the Cybersecurity Act since its entry into force in 2017, has received wide attention. The Data Exit Security Assessment reflects the value orientation of regulators in maintaining data flow security and promoting digital economic development, and provides more definitive guidance for the implementation of cross-border data compliance obligations of enterprises. Fourteen issues of focus are selected from the business perspective for discussion. Businesses concerned in our country should pay close attention to legislative developments in the area of data security, understand the issues of focus in the Data Exit Security Assessment Scheme and conduct cross-border data compliance work on the basis thereof.
关键词：网络安全法? 数据流动安全? 数据合规? 数据出境安全评估? 数字经济? 企业合规
Keywords: Cybersecurity Law? Data flow security? Data compliance? Data exit security assessment? Digital economy? Business compliance
3.《人类遗传资源管理条例实施细则（征求意见稿）》修改要点及行业影响分析
3. Elements for revision of the Rules for the Implementation of Regulations Governing Human Genetic Resources (for comments) and industry impact analysis
作者：傅长煜（中伦律师事务所合伙人），左玉茹（中伦律师事务所合伙人）
Author: Fu Chang-jung (partner of the law firm of China), Yu Yu Zao (partner of the law firm of China)
内容摘要：《人类遗传资源管理条例实施细则(征求意见稿)》明确人类遗传资源信息和外方单位的认定，对人类遗传资源的许可和备案、安全审查等作出细化和调整，同时对行政监管规则具体化，并对企业合规提出新要求。从监管者的角度来说，要建立监管部门指导、引导企业履行合规义务的机制；从人类遗传资源活动主体的角度来说，要切实履行合规义务，压实责任主体自我监督的责任。
EXECUTIVE SUMMARY: The Rules for the Implementation of Regulations for the Management of Human Genetic Resources (Consultative Draft) specify information on human genetic resources and the determination of foreign entities, refine and adjust the licensing and filing of human genetic resources, safety reviews, etc., while concretizing administrative regulatory rules and introducing new requirements for corporate compliance. From the regulatory point of view, a regulatory authority should be established to guide enterprises in meeting compliance obligations; from the point of view of the subject of human genetic resources activities, compliance obligations should be effectively fulfilled and responsibility for self-monitoring should be put in place.
关键词：人类遗传? 资源信息? 行政监管? 安全审查? 生命健康? 合规征求意见稿? 实施细则
Keywords: human genetics, resource information, administrative regulation, security review, health of life, compliance with comments?
4.探析历史交易未依法申报风险的处理和应对
4. Explore the handling of and response to risks of historical transactions not declared in accordance with the law
作者：薛熠（中伦律师事务所合伙人），谷田（中伦律师事务所律师）
Author: Xue Xue (Participant, Central Law Office), Taneda (lawyer, Central Law Office)
内容摘要：在中央强化反垄断和防止资本无序扩张的决策部署下，反垄断执法对未依法申报案件查处力度空前强化。面向未来，加强对交易的事前评估尚属可控；而回顾过去，对于涉嫌未依法申报的历史交易应如何处理，企业不免疑虑重重、进退两难。本文将从企业对未依法申报问题可能关心的重要方面提供分析和指引，以期帮助企业找到解决历史交易未依法申报风险的恰当路径。反垄断执法机构旨在通过密集执法有效督促企业提升合规意识和能力的意图，同时也释放了其鼓励和认可企业主动报告未依法申报经营者集中的信号。可以合理地预计，在违法实施经营者集中调查效率进一步提升的背景下，企业如能够专业地应对调查，其通过主动报告解决历史交易未依法申报合规问题的成本将进一步降低。
This paper will provide analysis and guidance on important aspects of enterprises' potential interest in non-reporting, with a view to helping enterprises find appropriate ways to address the risks of non-reporting of historical transactions. The anti-monopoly enforcement agencies aim to effectively promote compliance awareness and capacity-building through intensive law enforcement, while also releasing signals that encourage and endorse enterprises to report voluntarily on failure to declare a concentration of operators in accordance with the law. It can reasonably be expected that, in the context of further improvements in the efficiency of centralized investigations by operators, enterprises will be able to respond professionally to investigations, with a view to helping them find appropriate ways to address the risks of non-reporting of historical transactions by means of proactive reporting.
关键词：反垄断法? 经营者集中? 依法申报? 查处力度? 申报合规问题? 历史交易
Keywords: Antimonopoly Act? Operators concentrated? Legally declared? Strength of investigations? Declaration of compliance issues? Historical transactions
5.金融数据的分类分级与全生命周期保护
5. Classification and life-cycle protection of financial data
作者：李瑞（中伦律师事务所合伙人），贾申（中伦律师事务所非权益合伙人），钟俊鹏（中伦律师事务所非权益合伙人），姚远（中伦律师事务所律师）
Authors: Lee Ri (partner of the law firm of China), Jaishin (non-interest partner of the law firm of China), Jun-Peng Chung (non-interest partner of the law firm of China), Yao Wan (lawyer of the law firm of China)
内容摘要：作为宏观经济平稳运行的重要一环，金融行业的重要性毋庸置疑。在对复杂多样的金融数据资产进行识别、梳理、管理与保护时，基础性的分类分级是金融业机构建立完善的金融数据生命周期保护框架的基础，也是有的放矢地实施数据安全管理的前提。数据分类分级的意义在于实现更好的数据安全保护，金融业有关机构应基于金融数据分级指南等规范规则，搭建覆盖金融数据全生命周期的安全保护框架，进一步细化了安全保护的颗粒度，推进自身系统化的建设。为呼应金融行业在网络和数据方面日渐增长的合规要求，结合法律要求和实践经验，从澄清金融数据合规的义务主体及数据对象出发，讨论如何搭建金融数据的分类分级框架，并在此基础上梳理对金融数据进行全生命周期保护的要点。
In identifying, collating, managing and protecting complex and diverse financial data assets, the basic classification hierarchy is the basis for a well-developed framework for the protection of financial data throughout their life cycle, and is a prerequisite for targeted data security management. Data classification hierarchies are important for achieving better data security, and financial industry institutions should build a safety protection framework that covers the entire life cycle of financial data, based on normative rules such as financial data hierarchy guidelines, further refines the level of safety protection and promotes their own systematization.
关键词：金融数据? 企业合规? 生命周期? 分级分类? 数据保护? 行业监管
Keywords: financial data, business compliance, life cycle, classification, data protection, industry regulation
6.初创企业ESG基因的培养
6. Development of ESG genes in start-up firms
作者：熊川（中伦律师事务所合伙人）
Author: Kumakawa (partner of the law firm of Nakaron)
内容摘要：从现有国内企业的ESG实践情况来看，现有披露ESG表现的企业更多为已经形成相对规模的投资及金融机构、大中型企业集团以及上市公司等。这些企业经过了生存期，经过了市场甚至是资本市场的考核与历练，基本形成了较为稳定的营收、相对规范的治理结构及风险应对能力。对于有关企业来说，建立系统性的ESG规则体系及信息披露规范是亟待解决的问题。初创企业是否有必要关注ESG表现，应当从哪些方面入手提升ESG表现，以及有哪些切实可行的措施可提升ESG表现。
Summary: Based on the ESG practice of existing domestic enterprises, the ESGs are more widely disclosed by firms that have developed relatively large investment and financial institutions, large and medium-sized enterprise groups, and listed companies. These firms have survived, through the examination and practice of markets and even capital markets, leading to a more stable collection, relatively regulated governance structure, and risk-response capacity. For the enterprises concerned, the establishment of a systematic ESG system of rules and disclosure norms is an issue that needs to be addressed.
关键词：ESG? 信息披露? 初创企业? 可持续发展? 企业合规? 法律责任
Keyword: ESG, disclosure of information, start-up business, sustainable development, corporate compliance, legal liability
7.环境企业IPO上市的监管重点及其应对
7. Regulatory priorities and responses to listing of environmental IPOs
作者：唐周俊（中伦律师事务所合伙人），慕景丽（中伦律师事务所合伙人），曹美璇（中伦律师事务所律师）
Author: Tang Zhou Jun (partner of the law firm of China), Mu Kyung-yi (partner of the law firm of China), Cao Mei-Jung (lawyer of the law firm of China)
内容摘要：环境保护是社会可持续发展的基础，环境企业上市可以充分利用资本市场的优势改变当前环保行业相关企业规模较小的现状，为其提供发展壮大所需的资金。环境企业应不断提高自身的规范运作水平，健全并完善公司治理结构，以满足上市的要求并顺利实现企业融资的需求，在特许经营权项目、环保处理过程、招投标程序履行等重点监管方面加强合规建设。随着注册制的逐步落实以及环保行业的政策红利，环境企业上市亦将持续保持向好态势，实现稳步发展与提升。
Environmental enterprises should continue to improve their regulatory performance, improve their governance structures to meet listing requirements and successfully achieve business finance, and strengthen compliance with priority regulations such as franchising projects, environmental processing processes, and bidding procedures. With the gradual implementation of the registration system and the policy dividends of the environmental industry, environmental enterprises will continue to grow and grow.
关键词：环境企业? 环境保护合规? IPO上市? 注册制? 企业监管? 法律责任
Keywords: Environmental enterprise, environmental protection compliance, IPO listing, registration, corporate regulation, legal liability
8.从美国原产地规则之“实质性转变”标准看“301关税”加征的对策
Response to the “301 tariff” increase in terms of the “substantive shift” standard of United States rules of origin
作者：徐珊珊（中伦律师事务所合伙人）
Author: Xu Sanshan (Partner, Central London Law Office)
内容摘要：WTO2010年达成的《协调非优惠原产地规则》(草案)推荐了依税号具体列名的原产地规则，但目前仍未生效。美国的非优惠原产地规则体系异常复杂，企业改变产品“装配地”是否可以被认作“实质性改变”，美国既往判例和改变是否支持，并不统一。美国预裁定制度可帮助我国企业利用原产地规则重新布局生产和供应链，维护企业合法权益。
EXECUTIVE SUMMARY: The draft Harmonized Non-Preferential Rules of Origin agreed in 2010 by the WTO, which recommends tax-specific rules of origin, is still not in force. The United States non-preferential rules of origin system is exceptionally complex, whether a change in the “package” of a product by an enterprise can be regarded as a “substantive change” and whether past jurisprudence and changes by the United States are not uniform.
关键词：原产地规则? 实质性改变? 改变装配地? 预裁定? 企业合规? 国际合作
Keywords: Rules of origin? Substantive changes? Change of assembly grounds? Pre-judgment? Corporate compliance? International cooperation
9.从行业监管案例看生物医药公司如何选择与管理CSO公司
9. The industry regulatory case shows how biopharmaceutical companies choose and manage CSOs.
作者：李长虹（中伦律师事务所合伙人），苏恒瑶（中伦律师事务所律师），李政霖（中伦律师事务所律师）
Author: Li Changyung (partner of the law firm of Central Lwin), Su Heung Goo (lawyer of the law firm of Central Lwin), Lee Jung Yong (lawyer of the law firm of Central Lwin)
内容摘要：生物医药公司在选择市场推广服务商CSO公司时，应当从承接服务能力要求、合规性要求、非关联性要求、资质要求、注册资金要求几方面明确选择标准，并规范选择程序。在此之后，生物医药公司应对CSO公司进行学术推广服务提供环节、发票及工作底稿提供环节、市场推广费支付环节的合规风险管理，做到委托方与受托方权义划分明晰、费用核算清楚。
EXECUTIVE SUMMARY: In selecting the market extension service provider, CSO, biopharmaceutical companies should clearly select criteria and regulate the selection process in terms of capacity requirements, compliance requirements, non-relevance requirements, qualification requirements, registration funding requirements. Thereafter, biopharmaceutical companies should undertake academic extension service delivery, invoice and working paper delivery, and compliance risk management in the market extension fee payment chain, with clear division between the client and the trustee, and clear accounting for costs.
关键词：CSO公司? 生物医药行业? 医药合规? 委托合同? 合同义务? 行业监管
Keywords: CSO Company Biopharmaceuticals Industry Medical Compliance Commission Contract Obligations Industry Regulation
10.知识产权强国建设引领下的国有企业知识产权管理体系建设要点
Elements of an intellectual property management system for State-owned enterprises led by a strong intellectual property State
作者：张鹏（中伦律师事务所合伙人）
Author: Zhang Peng (partner of the law firm in China)
内容摘要：《知识产权强国建设纲要（2021－2035年）》和《“十四五”国家知识产权保护和运用规划》对国有企业知识产权管理体系建设进行了新部署，在国家政策导向下，加强国有企业知识产权管理体系建设成为高质量发展的迫切需要，应当厘清国有企业知识产权管理体系建设的新意义、新要求，围绕“一个目标、两个支撑、三个关系、四大机制、五大保障”形成国有企业知识产权管理体系建设的新思路。
Executive summary: The framework for the building of a strong state of intellectual property (2021-2035) and the 14th National Plan for the Protection and Application of Intellectual Property Rights have led to the development of a new intellectual property management system for State-owned enterprises. The strengthening of the intellectual property management system for State-owned enterprises has become an urgent need for high-quality development, guided by national policies. The new meaning and requirements of the intellectual property management system for State-owned enterprises should be clarified and a new approach to the construction of the intellectual property system for State-owned enterprises built around “One objective, two pillars, three relationships, four mechanisms and five guarantees”.
关键词：知识产权强国? 国有企业? 知识产权管理体系? 国企改革知识产权保护? 企业合规? 企业责任
Keywords: Intellectual property powers, State-owned enterprises, intellectual property management systems, State-owned enterprises reform intellectual property protection, corporate compliance, corporate responsibility
11.高校科技成果转化中的技术合同争议研究——以某技术合同纠纷仲裁案为例
Study on disputes over technical contracts in the context of the transfer of technological results from universities - for example, arbitration in disputes over a technical contract
作者：何丹（中伦律师事务所合伙人），张琦（中伦律师事务所律师），陈露（中伦律师事务所律师）
Author: Hodang (partner in the law firm of China), Zhang Qi (lawyer in the law firm of China), Chen Lu (lawyer in the law firm of China)
内容摘要：促进科技成果转化法第2条规定“本法所称科技成果转化，是指为提高生产力水平而对科技成果所进行的后续试验、开发、应用、推广直至形成新技术、新工艺、新材料、新产品，发展新产业等活动。”高等院校等科研单位是科研成果的重要供给主体，推动高校科技成果转化有利于激励我国高校的创新能力，推动校企联合是高校科技成果转化和产业化的重要模式，也是推动产学研合作的体现。根据民法典第843条的规定，“技术合同是当事人就技术开发、转让、许可、咨询或者服务订立的确立相互之间权利和义务的合同。”校企联合进行高校科技成果转化中，技术合同必不可少，签订科学完备的技术合同是高校科技成果实现转化的法律保障。但在校企合作实践中，由于双方对于技术合同的法律性质定位不准，相关条款的约定不清晰，合同条款履行不全面等问题，高校科技成果转化存在潜在风险。以近期成功代理的某高校科技成果技术合同纠纷仲裁案件为切入点，分析高校科技成果转化中签订和履行技术合同的相关法律问题，并对规避此类风险提出建议。
Article 2 of the Act on the Promotion of the Transformation of Scientific and Technological Results states: “The transformation of scientific and technological achievements referred to in this Act is a follow-up experiment, development, application, promotion of scientific and technological achievements until the formation of new technologies, new technologies, new materials, new products, and the development of new industries, etc., in order to increase productivity.” Scientific and technological institutions such as higher education institutions are important providers of scientific and technological research results, facilitating the transformation of scientific and technological achievements in order to stimulate innovation in higher education institutions in the country. However, in the course of school cooperation, there is a lack of clarity as to the legal nature of technical contracts, the relevant provisions are not fully implemented, and there is a potential risk of the transformation of scientific and technological achievements in higher education, in accordance with article 843 of the Civil Code. “Technology contracts are contracts that establish mutual rights and obligations for technology development, transfer, licensing, consultancy or service.
关键词：科技成果? 促进科技成果转化法? 技术合同? 科研单位? 校企联合? 合同义务
Keywords: Science and Technology Outcomes; Law for the Conversion of Science and Technology Results; Technology Contracts; Scientific Research Units; Union of Schools; Contractual Obligations
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