winner
刘昉女士(左)登台领奖
颁奖人为天达共和律师事务所合伙人纪超一律师(右)
Ms. Liu Fang (left) accepting her award from Mr. Ji Chaoyi (right), partner at East & Concord

在2021年5月20日的SSQ 2021 ALB中国法律大奖颁奖典礼上,蔚来汽车法务部赢得“澄明则正年度新兴公司法务组大奖”,蔚来汽车总法务顾问兼首席合规官刘昉女士荣获“天达共和年度公司女性法务大奖”。在由衷祝贺蔚来汽车双喜临门的同时,ALB与刘昉女士聊了聊她对中国智能汽车行业的观察与感悟。

ALB:近年来,智能汽车行业监管体现出哪些特点和趋势?

刘昉:智能网联汽车作为未来智能交通、智慧城市的重要单元,是全球汽车产业发展的战略要地,目前正处于技术快速演进、产业加速布局的关键阶段。同世界主要国家地区一样,我国正在这一领域持续加大法规建设和政策支持力度,呈现出市场快速发展、监管框架初现、法律规则有待细化的特点。

过去两年,智能汽车发展战略、产业发展十五年规划等行业宏观政策陆续出台,有关发展路线图将进一步推动智能汽车的技术升级并在更大范围应用。同时,关于智能网联汽车生产企业及产品准入和数据安全的两部法规也于近期公开征求意见,从发展原则、基础设施体系、行业准入、数据安全等各个方面将智能汽车行业纳入监管轨道。上述法规一经落地,将实质性地完善智能汽车监管框架。我们相信,监管还将持续完善,但相关监管不会成为智能汽车行业发展的掣肘,相反,将使得行业有更具体的适用法律可以依循,为车企发展明确标准,为消费者权益保驾护航。

ALB:这些特点和趋势给企业合规与风控带来了哪些挑战?您和团队是如何克服挑战的?

刘昉:蔚来始终致力于通过提供高性能的智能电动汽车与极致用户体验,为用户创造愉悦的生活方式。为实现这一目标,包括法务部在内的各个部门一直在努力将蔚来打造得更好,例如,通过赴美上市拓宽国际融资渠道,通过合作制造实现量产,通过直销+线上销售革新销售模式、提升服务体验,并在全国布局并更新充换电站网络方便用户。

智能汽车行业监管的新发展,考验着我们合规与风控方面的及时反应能力。一方面,我们持续学习消化的各项新政策法规,做好前期的风险筛查和预防。另一方面,我们也在根据智能汽车行业监管规定与趋势,拟定、更新或修改公司政策,合规制度,以及与合作方的相关协议,防患于未然。

ALB:目前的合规体系有哪些创新之处?是如何满足企业合规与商业发展需求的?

刘昉:从蔚来准备并成功上市以来,我们建立并不断完善公司合规体系。蔚来的合规体系有以下创新之处:第一,建立了公司内部的有机的合规举报系统和案件调查反馈结案机制;第二,与数字部门合作,建立了包含法律文档储存库、合规审查流程等综合功能的线上办公系统,将合规流程嵌套入公司整体审批流程中,便利了法务部与各业务部门的沟通与合作;第三,正在计划将员工的合规培训转移到手机端,方便员工依据自己的时间接受培训,力争将公司的合规文化根植在每个员工平时的行动中。

ALB:未来,您在工作方面还将有着哪些规划?

刘昉:根据公司发展需要,法务部可能为细分业务和新增市场增设相关组别,招揽更多具有全球视野、创新意识的专业人员,共同协助公司开拓全球智能汽车市场。同时,计划邀请智能汽车行业的政策制定者与专家为公司、法务团队成员开展培训,夯实法务部对新兴行业监管政策出台背景与实践应用的了解,也能分享我们对行业法规政策的一些思考。


SSQ 2021 ALB China Law Awards Winner Interview: Liu Fang, the General Counsel of NIO

On the SSQ 2021 ALB China Law Awards ceremony held on May 20, 2021, NIO Legal Department was announced the winner of "CM Award Emerging Company In-House Team of the Year", with Ms. Liu Fang, the General Counsel and Chief Compliance Officer of NIO, winning "East & Concord Award Female In-House Lawyer of the Year". ALB congratulates NIO for their double win and talked to Liu Fang about her experience in intelligent vehicle industry in China.

ALB:What are the characteristics and trends in the regulation of the intelligent vehicle industry in recent years?

Liu Fang (Liu): As an important unit of future intelligent transportation and smart city in the future, intelligent connected vehicles (ICVs) play a strategic role in the development of global automobile industry, and it is currently at the key stage of rapid technological evolution and accelerated industrial layout. China is continuously enacting new regulations and policies in this area, which shows features of the rapid development of the market, the emergence of the regulatory framework, and the needs of more detailed implementation rules.

The state’s macro strategy and 15-year industry plan have been recently issued, which will further promote the technology upgrading and the extensive use of ICVs. Meanwhile, the government is currently seeking public opinion on the new special regulations on ICV production enterprises, product access and data security, which provides general legal framework on the development principles of infrastructure systems, industry entry, data security and other aspects of the ICV industry. Once the above regulations have been enacted and implemented, the regulatory framework for ICVs will be substantially improved. We believe that the regulations will continue to improve and more specific applicable laws and standards will be promulgated to fit and cope with the quick development of the industry.

ALB:What are the challenges in terms of compliance and risks control? How do you and your team find solutions?

Liu: NIO is always committed to shaping a joyful lifestyle by offering premium smart electric vehicles and being the best user enterprise. To achieve such mission, the legal department together with other departments have made our best effort to make NIO better, through attracting more investment through listing on the NYSE and other financing channels, realizing mass production through cooperative manufacturing, innovation of direct sale and online sale model and deploying and updating the network of charging and swapping stations nationwide for the convenience of users. We aim to provide the best user experiences to our users.

New developments in the regulation of the ICV industry test our capability of timely response of compliance and risk control. On one hand, we continue to learn and digest the various new policies and regulations, for the purpose of early risk assessment and prevention. On the other hand, we also prepare, update or modify some current existing company policies, compliance rules, and relevant agreements with partners in accordance with the regulations and trends in the ICV industry.

ALB:What is innovative about NIO’s current compliance system? Why is it a match with compliance requirements and business development?

Liu: NIO’s compliance system has the following innovations: first, we have established an integral internal compliance reporting and case investigation and closing mechanism; second, in cooperation with the digital department, we have established a comprehensive online workflow embedding the legal compliance process into the company’s overall approval process; third, we are planning to move all online training courses to mobile phone to provide easy access to employee and assure them to bear in mind the compliance requirements in their daily work.

ALB:Looking to the future, what expectations do you have?

Liu: In order to cope with NIO’s business development needs, the legal department will consider setting up additional teams for new business lines and activities, attracting more professionals of a global perspective and a sense of innovation to help NIO develop the global smart car market. Meanwhile, we plan to invite ICV industry policymakers and experts to give lectures to the company and legal team members, to deepen our understanding of the rationale and implementation of the emerging industry regulations and policies, and also to share our thinking on such regulations and policies.