2022 年全球 ESG 合规与风险报告（英文）.docx

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2、UJ-JNINNWHIJJKd XOlNLUS Nxo-DIJJe DNlDNDI8 DNOMNUJNNWXWNH aN4 HOlMga DNlDN-IWSSnoxUJdasd0DMQ410yN.10yN IAlouDKeowLKlAIVlOddOUIAlOH0ZNWHoTINLLN).IAlomgHWHOIVNqlHLUNlxd Qz XOIMHIa DNlDNII10?NSoUlNHLUNlxd XolNWS Qzou DNlDNII XnoddoU 0lxJ4IIHWNIXd Qz HOlMHIa ozuz INlINB ONZSOJ任NIXd Qz Xo-DLue DNSN缶Kd 0z

3、HolMa 5NIDN 工 1XUJCDIUJS OfNqHII On win f. HgLlJD HwNIHd Qz q01mxsDNIDnii ax4H8lxJD 4nf xaHWNlHd HOINWS aN XOlMHIa dn5nii VHHUJD axHNdUJCQYaXWNH aN HOIMea DNIDNII4N41 IUJXINTRODUCTIONThe global regulatory environment has grown increasingly complex, and now spans a far broader range of issues than in

4、 the past. Compliance functions have been heavily affected as a consequence. They must deal with multiple growing challenges, such as sanctions and trade compliance and supply chain risks, as well as a general rise in regulation and regulatory enforcement, especially in the environmental, social and

5、 governance (ESG) area. To compound matters further, the pace of change will only accelerate in a highly networked and digitized world.However, this new world should not only be seen as a challenge to overcome, but also as an opportunity to create value for the company and forge ahead of rivals. As

6、regulators raise the bar for all kinds of risks, the compliance function is set to play a pivotal role in managing these regulatory developments successfully and steering organizations through crises. For example, the proliferation of sanctions over the past year has shone a new light on the crucial

7、 role of compliance departments in all industries. Similarly, headlines exposing greenwashing clearly demonstrate how important compliance departments are in guiding implementation of the relevant requirements.In these demanding conditions, companies need to define the terms of their compliance mand

8、ate for their relevant risks, determine the role of their compliance function for these risks, and then optimize the function so that it lives up to the mandate. To create value, the compliance function needs to fulfill different roles, according to the particular topic and specific risk. Companies

9、that succeed in this endeavor will gain sustainable competitive advantage, boost customer loyalty and trust, attract and retain talent, and enhance their reputation for acting responsibly in a testing business environment.But exactly how are companies reacting to the changing compliance landscape in

10、 order to gain an advantage and get closer to their Target Operating Model (TOM)? Following our first RISK AND COMPLIANCE SURVEY FROM 2021, we repeated the exercise in May and June 2022, this time with the goal of identifying and then analyzing the core issues relating to risk and compliance. We int

11、erviewed 250 compliance professionals from companies across various industries around the world, and asked them to name the foremost issues and challenges faced by compliance organizations, and how are they fulfilling their compliance mandates. In asking these questions, we wanted to build a complet

12、e picture of the risk and compliance function, and how companies in general are coping with various types of risk and the myriad growing uncertainties in the global landscape.In a more complex world, simply writing policy guidelines and instructing employees to follow the rules W川 not be enough to s

13、tay ahead of the game. Every company needs a strategy not just to manage current risks but also to adapt quickly as circumstances, rules, regulations, and expectations develop. The goal of th is study is to provide companies with the perspective and tools they need to develop their compliance strate

14、gy, and then implement it successfully in the face of diverse and evolving compliance risks.Our analysis revealed the following seven core topics and conclusions:1. COMPLIANCE MANDATEThe clearer the mandate of the compliance function, the more it can create value for the company.2. GEOPOLITICSIfa co

15、mpany is equipped with crisis response plans, and with procedures for swift action in response to volatile developments in supply chains and sanctions, the company will prove more resilient during times of geopolitical tension.3. ESG COMPLIANCETaking concerted action to mitigate risk of ESG regulation enforcement only works if the gaps between ESG expectations and the reality are significantly narrowed.4. DIGIT