君合业绩丨多边开发银行合规业务再创佳绩！君合担任非洲开发银行合规监管人指导某科技上市公司成功解除制裁
某国际知名科技A股上市公司（“公司”），年收入高达70多亿元人民币、市场遍布全中国以及亚洲、欧洲、非洲和拉丁美洲等不同海外市场。经公司主动向非洲开发银行（“非开行”）披露其个别员工过失在非开行出资的某基建项目中存在不当行为，2020年6月非开行与公司达成《和解协议》，非开行对该公司及其某子公司实施制裁。
An internationally renowned A-share listed high-tech company (“Company”) has an annual revenue of more than 7 billion RMB, with its market spreading all over China as well as in the countries in Asia, Europe, Africa and Latin America. In June 2020, based on the Company’s voluntary disclosure to the African Development Bank (“AfDB”) of its individual employees’ misconduct in one infrastructure project funded by the AfDB, the AfDB and the Company entered into the Settlement Agreement, under which the AfDB imposed debarment with conditional release on the Company and one of the Company’s subsidiaries.
根据《和解协议》，该公司需要在集团范围内全面建立并实施符合非开行《诚信合规指南》标准的合规管理制度，并且需要和非开行的诚信和反腐败办公室（“PIAC.1”）共同选定具有丰富多边开发银行合规经验的人员担任独立诚信合规顾问（“IICC”或“合规监管人”），被选定的合规监管人将代表非开行指导并检查公司是否建立并有效实施符合非开行标准的合规管理制度体系。
According to the Settlement Agreement, the Company shall fully establish and implement an integrity compliance program (“ICP”) within its whole group in accordance with the Integrity Compliance Guidelines of the AfDB (“ICG”), and shall, jointly with the Integrity and Prevention Division (“PIAC.1”) of the AfDB, appoint an expert with abundant experiences in multilateral development banks compliance as the Independent Integrity and Compliance Consultant (“IICC” or the “Monitor”). The Monitor appointed will, on behalf of the AfDB, guide and assess whether the Company has established and effectively implemented the ICP in accordance with the compliance standards of the AfDB.
2020年8月，非开行和公司基于康乂律师在多边开发银行合规领域的良好声望及专业能力，共同选定康乂律师担任本项目的合规监管人，代表非开行对公司的合规整改工作进行指导和监督。自被任命以来，康乂律师带领君合团队，与公司及其外部律师紧密合作，对公司建立的各项合规管理制度进行审查和评估，为公司完善合规管理体系提供了细致详实的实操建议，推动公司有效推广和落地落实符合国际标准的合规管理制度。同时，在合规整改期间，君合团队与非开行、公司及其律师共同努力克服疫情带来的困难，审阅了上千份公司提交的有关其建立和实施合规管理制度的支持性文件，对公司进行了三次为期一周的线上或者现场考察，对包括公司董事长、各级高管、部门员工共计数十位人员进行访谈，起草并提交给非开行四份篇幅均近百页的英文合规报告。非开行、公司及其外部律师均对康乂律师以及合规监管人团队的工作给予高度认可和赞誉。2021年6月19日，非开行正式通知公司已满足了《和解协议》的各项解禁条件，并解除了对该公司的制裁。
In August 2020, based on her good reputation and professional expertise in the field of multilateral development banks compliance, the AfDB and the Company jointly appointed Ms. Christine Kang as the Monitor of the project, who will guide and assess the implementation of the ICP of the Company on behalf of the AfDB. Since her appointment, Ms. Kang has led the JunHe team to work closely with the Company and its external counsel to review and evaluate the ICP rules established by the Company, provided detailed pragmatic suggestions for the Company to improve its compliance management system, and promoted the Company to effectively implement its ICP in line with the international standards. At the same time, during the sanction period, the JunHe team, together with the AfDB, the Company and its counsel, has worked hard to overcome the difficulties caused by the pandemic, reviewed thousands of supporting documents submitted by the Company on the establishment and implementation of its ICP, conducted three one-week-long online or on-site site visits, interviewed dozens of personnel including the chairman of the board, senior executives at all levels and employees from various departments of the Company, and finally, drafted and submitted four Compliance Reports in English with nearly one hundred pages respectively to the PIAC.1. The AfDB, the Company and its counsel all highly recognized and praised the work of Ms. Kang and the Monitor’s team. On June 19, 2021, the AfDB officially notified that the Company has met the conditions of release under the Settlement Agreement, and is released from the AfDB debarment.
在解禁通知中，非开行对公司的合规整改工作予以高度评价，认为公司所设计建立的的合规管理体系运行良好且在持续完善，该体系对于其他许多被制裁的中国企业具有重要的借鉴意义。非开行对该公司解除制裁，意味着该公司已建立并实施了符合国际标准并获得国际认可的合规管理体系，且重新恢复了继续投标多边开发银行融资项目的资格，为公司的合规致远、可持续发展提供了有效保障和有力促进。
In its notice of release, the AfDB highly praises the Company's compliance management work, and considers that the ICP designed and established by the Company has functioned well and continues to improve, which shall be a good example for many other Chinese enterprises who have been sanctioned. The AfDB’s release of the Company from debarment reflects that the Company has established and implemented the compliance management system with the international compliance standards, the Company is eligible to bid for projects financed by multilateral development banks, and that the Company has built strong foundation and solid guarantee for the Company’s sustainable development in line with compliance.
本项目是君合首次作为非开行任命的合规监管人指导被多边开发银行制裁的中国企业建立、完善和全方位实施合规整改并最终获得成功解禁的典范案例，也是国内法律市场少有的由中国律师代表多边开发银行担任合规监管人的开创性业绩（此前包括非洲开发银行在内的多边开发银行通常委派华盛顿律所的美国律师担任监管人）。非开行在项目结束后的视频总结会议中，高度赞扬康乂律师和君合团队在本项目中取得的成绩，认为君合团队“工作专业、高效、及时，特别是对合规管理制度的实施情况具备细致入微的洞察力，而且擅长在合规访谈中挖掘问题并提出有针对性的建议，是非开行遇到的工作水平最高的团队之一”。
This project is a typical case where JunHe, for the first time, was appointed as Monitor by the AfDB, guiding a Chinese enterprise sanctioned by multilateral development banks to establish, improve and implement the ICP to be successfully released from the debarment, and is also a pioneering work where Chinese lawyer sits as the Monitor appointed by multilateral development banks, which is rare circumstance in Chinese legal market as the multilateral development banks, including the African Development Bank, used to appoint western attorneys in law firms based in Washington to serve as Monitor. In the closing videoconference upon the completion of the project, the AfDB highly praised the Monitorship work of Ms. Kang and JunHe team in this project, stating that the JunHe team “works professionally, efficiently and punctually, especially has detail-oriented insight into the implementation of the ICP, and did good job in making in-depth questions during the compliance interviews and putting forward targeted suggestions, which have made the IICC team one of the highest professional levels that the AfDB has worked with.”
本项目的成功，再次展示了君合对包括非开行在内的多边开发银行规则的深入把握，以及运用国际规则、适应中国国情、无缝衔接落地实施国际标准合规制度的丰富经验，从另一视角展现了君合团队在处理多边开发银行制裁、调查以及合规业务的领先法律服务专业水平。
The success of this project, once again demonstrates JunHe's in-depth grasp of the rules of multilateral development banks including the AfDB, as well as its significant experiences in applying international rules, adapting to China's specific situations, and seamlessly combining the both into the ICP implementation, which shows from another perspective the outstanding legal expertise of JunHe team in dealing with the sanctions, investigation and compliance of the multilateral development banks.
本案牵头合伙人是康乂律师和周显峰律师。
The leading partners in this case are Ms. Christine Kang and Mr. Elvis Zhou.
康 乂 合伙人
kangy@junhe.com
业务领域：
争议解决 合规
周显峰 合伙人
zhouxf@junhe.com
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