Стратегія впровадження системи комплаєнс у діяльність підприємств морського транспорту

Abstract

The article considers foreign experience of implementation of compliance programs for maritime transport enterprises. The important role of analysis is explained by the ability to evaluate the results and develop a strategy and tactics for the development of the enterprise, anticipate risks and prevent eventual bankruptcy. Strategy is a complex and powerful weapon with which a modern firm can withstand the conditions of a changing environment; this is a tool that can provide a serious help to an enterprise caught in conditions of instability. Therefore, strategy deserves the most serious attention as a management tool. Compliance control ensures the protection of the economic interests of the enterprise from potential risks in the early stages, which simplifies the neutralization of such risks. The compliance program of a stevedoring company includes a code of conduct, anti-corruption policies, as well as other documents and procedures necessary for the company to achieve its compliance goal (compliance documents). The company’s compliance program (Compliance System) is a universal recognized international system of threats counteraction and risk management, which ensures compliance of the company’s activities with the requirements of the State bodies, self-regulatory public and other organizations, compliance with the rules, recommendations and standards governing the company’s activities. The compliance program includes many compliance measures to ensure the achievement of the goals of the compliance program. Compliance measures represent a management and control system in an organization related to ensuring that the organization’s activities and personnel comply with the requirements of legislation, normative regulations, rules and standards of supervisory authorities, industry associations and self-regulatory organizations (codes of conduct, etc.). Work on creating a compliance program for maritime transport enterprises must necessarily lead to an understanding of the company’s own development strategy and to success, as it forces to answer strategically important questions, such as: identification of external and internal factors affecting risks; legal restrictions and regulations; court decisions; voluntary verification of compliance with relevant industry standards. The main requirements of compliance – business transparency, adherence to the legal and ethical norms and regulations – must be implemented by a management system (compliance program) that can be built and implemented in practice.