준법지원인제도의 안정적이고 효율적인 운용을 위한 법적 과제 = The Legal Issues for Effective and Stable Operating of Compliance System on 2011 Revised Commercial Law

다국어 초록 (Multilingual Abstract)

On April 2011, compliance system for listed company was enacted by a legislature on revised version of commercial law. Compliance is a system of policies and controls that corporation adopt to deter violation of law and to assure external authorities that they are taking steps to deter violations of appliable laws, regulations, internal rules and codes of conduct. The components of an effective corporate compliance plan are: i) a general standard of conduct, and specific standards of conduct tailored to employees and their duties; ii) involvement by high-level personnel in corporate compliance issues; iii) an emphasis on corporate compliance when hiring,compensating and disciplining employees; iv) training directors, officers and employees about the laws and rules that apply to them; v) establishing reporting mechanisms for instances of non-compliance; vi) protocols for updating a corporate compliance program; and vii) identifying and responding to instances of non-compliance. A compliance system is a part of Internal Control System, for internal control system is a enterprise risk management process that enables management to effectively deal with uncertainty and associated risk and opportunity, providing assurance regarding the achievement of business objectives.
A listed company's board of directors must play a critical role in approving and operating an effective compliance system, according to 2011Revised Version of Commercial Law. 2011 version requires listed company to assign compliance officer(one or more) and establish the compliance standards. Also, we can understand that a board of directors is responsible for monitoring of compliance activities and evaluating the effectiveness of compliance system.
The Ministry of Justice is preparing an enforcement ordinance of 2011revised commercial law. An enforcement ordinance of 2011 revised commercial law should be contained the qualification of compliance officers,the compliance standards, the scale limit of listed company that revised version applies to.
I thought that compliance provisions had to apply only to listed company that the total assets was a five hundred billion won and over, and the compliance standards that contained essential points were sufficient. And I emphasized that it was very important to ensure business independence to compliance officers. So I said that compliance officer should be a high-level personnel and a company should keep the hot line from compliance officer to Board for reporting and discussing and it was necessary for them to have direct access to the Board.

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