2024反腐败指南之中国篇（英）.docx

CHAMBERSGLOBALPRACTICEGUIDESAnti-Corruption2024Definitivegloballawguidesofferingcomparativeanalysisfromtop-rankedlawyersChina:Law&PracticeAlanZhou,JackyLi,WeiweiGu5StevenZhuandJennyChenGlobalLawOfficeCHINA1.awandPracticeContributedby:AlanZhou,JackyLi,WeiweiG,StevenZhuandJennyChenGlobalLawOffice1. Contents2. 1.egalFrameworkforOffencesp.62.1 InternationalConventionsp.62.2 NationalLegislationp.62.3 GuidelinesfortheInterpretationandEnforcementofNationalLegislationp.72.4 RecentKeyAmendmentstoNationalLegislationp.73. ClassificationandConstituentElements.83.1 Briberyp.83.2 Influence-Peddlingp.93.3 FinancialRecord-Keepingp.93.4 PublicOfficialsp.103.5 Intermediariesp.113.6 Scopep.123.7 1.imitationPeriodp.123.8 GeographicalReachofApplicableLegislationp.123.9 CorporateLiabilityp.134. DefencesandExceptionsp.134.1 Defencesp.134.2 Exceptionsp.144.3 DeMinimisExceptionsp.144.4 ExemptSectorsZlndustriesp.144.5 SafeHarbourorAmnestyProgrammep.155. Penaltiesp.155.1 PenaltiesonConvictionp.155.2 GuidelinesApplicabletotheAssessmentofPenaltiesp.166. ComplianceandDisclosurep.176.1 NationalLegislationandDutiestoPreventCorruptionp.176.2 RegulationofLobbyingActivitiesp.176.3 DisclosureofViolationsofAnti-briberyandAnti-corruptionProvisionsp.176.4 ProtectionAffordedtoWhistle-Blowersp.186.5 IncentivesforWhistle-Blowersp.186.6 1.ocationofRelevantProvisionsRegardingWhistle-Blowingp.19CHINACONTENTS7. Enforcementp.197.1 EnforcementofAnti-briberyandAnti-rruptionLawsp.197.2 EnforcementBodyp.197.3 ProcessofApplicationforDocumentationp.197.4 DiscretionforMitigationp.197.5 JurisdictionalReachoftheBOdwBodieSp.207.6 RecentLandmarkInvestigationsorDecisionsInvolvingBriberyorCorruptionp.207.7 1.evelofSanctionsImposedp.218. Reviewp.218.1 AssessmentoftheApplicableEnforcedLegislationp.218.2 1.ikelyChangestotheApplicableLegislationoftheEnforcementBodyp.22GlobalLawOfficedatesbacktotheestablishmentoftheLegalConsultantOfficeoftheChinaCouncilforthePromotionofInternationalTradein1979,whenitbecamethefirstChineselawfirmeverapprovedbythePRCgovernment,andithasretainedtheprivilegeofclients'trustinvariousareasoverfourdecades.ThefirmhasofficesinShanghai,Beijing,ShenzhenandChengdu,with160partnersandover600lawyersacrossChina.Thefirmisexperiencedinmeetingallaspectsofpublicandprivateenter-prises,regulatorycomplianceneeds,includingriskassessment,compliancepolicy,reporting,trainingandinvestigation.Thefirmhasresolveddozensofgovernmentinvestigationcasesre-latingtoanti-corruption,antitrust,promotionandadvertising,insidertrading,andfoodanddrugsafetybytheChineseauthorities,aswellascross-borderinvestigationsinmultiplejuris-dictions.AuthorsAlanZhouisapartneratGlobalILawOfficebasedinShanghai.HispracticeisfocusedontheS4.areasofgeneralcorporate,Itransactions,complianceandriskcontrol.AsanexpertonlegalissuessurroundingcomplianceandM&AinChina,MrZhouhasextensiveexperienceinsolvingcomplexandchallengingissuesandadvisingoncreativeandstrategicsolutions.Hehasaparticularlystrongbackgroundinthelifesciencesandhealthcareindustries.Asaparticipantorasanexternalcounsel,MrZhouhasbeenengagedbylocalauthoritiesandindustrialassociationsforadviceonlegislationandindustrialstandardsrelatingtoonlinehospitals,digitalmarketing,medicalinsurancereform,medicalrepresentativemanagementandothercompliancematters.JackyLiisapartneratGlobalLawOfficebasedinShanghai,Rfocusinghispracticeonthe11areasofregulatorycompliance,internalandgovernmentinvestigations,riskcontrol,competitionlawanddisputeresolution.Heiswellversedinhandlingcomplexcomplianceinvestigations/projectsinconnectionwithanticorruption,antitrust,white-collarcrime,dataandcybersecurity,assistingmultinationalandChinesestate-ownedenterprisesinidentifyingpotentialwrongdoers,assessingparametersoflegalliability,andinteractingwithmultijurisdictiongovernmentauthorities.MrLiisacertifiedfraudexamineroftheUSACFE,acertifiedexpertoftheUKLawReviewsExpertPanel,andastandingmemberoftheShanghaiBarAssociationLawandComplianceCommittee.WeiweiGuisapartneratGlobalLawOfficebasedinShanghai.Hismainpracticeareasincludedisputeresolution,compliance,antitrustandemployment.MrGuhasdealtwithhundredsofcasesintheareaofcommercialdisputeresolution.HeassistsbothmultinationalenterprisesandmajorChineseenterprises,suchastheIFC1DeutscheBank,StandardChartered,BNP,UBSSandCDBCapital.MrGuhasrichexperienceingovernmentinvestigations,particularlyregardinganticorruptionandantitrustmatters.Healsoadviseshisclientsonregulatorymatterssuchasconductinginternalinvestigationsanddevelopingrisk-controlprocedures.Hehasparticularexperienceinlabourandemploymentlaw.StevenZhuisapartneratGlobalLawOfficebasedinBeijing.Hefocuseshispracticeoncross-borderM&A,complianceandregulatory,andmediaandentertainment.MrJennyChenisanofcounselat1GlobalLawOffice,basedinShanghai,mainlyfocusingherpracticeoncompliance,governmentinvestigations,internalinvestigationsanddatasecurity.MsCheniswellversedinconductinginv