Author(s)

Jingyi Ye

Corresponding Author

Jingyi Ye

ABSTRACT

the Enterprise Risk Prevention and Control Mechanism is in the Stage of Gradual Improvement, and the Compliance Construction is Relatively Weak, Which is Incompatible with the Rapid Development Trend of Business and the Fierce Competition in the Financial Market. Therefore, It is Imperative to Strengthen the Compliance Construction. Compliance Management Refers to the Company's Establishment of a Series of System Processes to Ensure That All Decisions, Operations and Management Behaviors of the Company Conform to the Norms of Laws and Regulations and Do Not Violate Basic Social Ethics. Compliance Risk is the Cause of Legal Risk, Market Risk, Credit Risk, Liquidity Risk, Especially the Existence and Performance of Operational Risk. in Terms of Incentive Mechanism, the Distribution of Business Performance and Rewards is Obviously Unbalanced, Which Leads to a Certain Degree of Reduction in the Enthusiasm of the Grassroots in Implementing the System. Based on the Perspective of Social Theory, This Paper Has Carried on the Philosophical Thinking and Analysis of Ways to Strengthen Corporate Compliance Management.

KEYWORDS

Compliance Management, Enterprises, Social Theory, Philosophical Thinking