南方财经全媒体记者 冯恋阁 广州报道
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六月过半，本周（06.12-06.18）合规领域有哪些新动态？?
In mid-June, what new developments have occurred in the area of compliance this week (06.12-06.18)?
数字经济及平台方面，市场监管总局宣布开展为期5个月的优化平台协议规则专项行动；市场监管总局发布《严重违法失信名单和行政处罚公示信息信用修复管理程序规定（试行）》，建立健全信用修复管理工作机制；《盲盒经营行为规范指引（试行）》发布，旨在规范盲盒经营行为，维护公平竞争的市场秩序。
With regard to the digital economy and platforms, the Directorate-General of Market Supervision has announced a special five-month exercise to optimize the rules of the Platform's agreement; the Directorate-General of Market Supervision has issued Regulations on Procedures for the Remediation of Credits for Serious Violations of Letters and Administrative Sanctions (on a trial basis) to establish sound mechanisms for the management of credit restoration; and the Code of Conduct for the Operation of Blind Boxes (on a trial basis) has been issued with a view to regulating blind box operations and maintaining a fair and competitive market order.
数据安全和个人信息保护方面，笔神作文指控学而思AI大模型盗取其网站数据；《浙江省个人信息出境标准合同备案指引》发布，规定了个人信息出境标准合同备案的适用范围、备案方式、备案流程等。?
In the area of data security and personal information protection, the Pen God's dictation doctrine and the think-AI model stole data from its website; the Zhejiang Province Standard Departure Contracts Guidelines were published, setting out the scope of application of the Standard Departure Contracts for Personal Information, the manner of filing, the filing process, etc.
知识产权保护方面，《万国觉醒》诉《指挥官》“换皮抄袭”一审胜诉；东莞中院二审宣判公司员工私自下载企业源代码构成侵犯商业秘密罪。
With regard to the protection of intellectual property rights, the Universal Awakening vs. Commanders “records” in the first instance, and the Second Chamber of the Eastern Central Court of Justice ruled that the private downloading of the business source code by the company's employees constituted a crime against commercial secrets.
目光转向海外，联合国秘书长宣布支持成立人工智能行业的“国际原子能机构”；欧盟通过人工智能法案的谈判立场；推特遭 17 家音乐公司起诉侵犯版权。?
Looking abroad, the Secretary-General of the United Nations announced his support for the establishment of the “International Atomic Energy Agency” for the artificial intelligence industry; the European Union's negotiating position on the adoption of the artificial intelligence bill; and Twitter, which was prosecuted for copyright infringement by 17 music companies?
数字经济及平台监管
市场监管总局开展优化平台协议规则专项行动
日前，市场监管总局部署开展为期5个月的优化平台协议规则专项行动（以下简称专项行动），督促平台企业严格落实法律法规规定，发挥示范引领作用，进一步优化平台协议规则，切实保障消费者、平台内经营者和平台企业合法权益，推动平台经济高质量发展。专项行动分为动员部署、平台自查、属地指导整改、总局评估四个阶段。行动统筹发展与安全，聚焦平台协议规则中存在的突出问题，形成“一查、二补、三评、四改”工作机制。
Today, the Directorate-General of Market Supervision has put in place a five-month initiative to optimize the rules of agreement for the Platform (hereinafter referred to as the special initiative), to urge the Platform's enterprises to comply strictly with the rules of law and order, to play a role as a model guide, and to further optimize the rules of agreement of the Platform in order to ensure that the legitimate rights and interests of consumers, platform operators and platform enterprises are safeguarded and to promote the high-quality development of the Platform's economy. The initiative is divided into mobilization, self-examination of the Platform, territorial guidance, and evaluation by the Directorate-General.
南财点评：市场监管总局在该专项行动工作方案中强调“统筹发展与安全”“支持平台企业在引领发展、创造就业、国际竞争中大显身手”，释放出稳定市场预期、提升市场主体信心的信号。行动将通过优化平台协议规则，优化资源要素配置，进一步促进平台经济提质增效，增加生产者和消费者福利，最终惠及所有平台经济的参与者。
值得注意的是，在技术上，平台协议规则与数据和算法紧密相关，在监管层面，应督促平台进一步优化算法，构建事前、事中、事后的全过程、多维度算法治理体系。 It is noteworthy that, technically, the Platform's protocol rules are closely related to data and algorithms, and at the regulatory level, the Platform should be urged to further optimize algorithms and to build a system of pre-, inter- and post-process, multi-dimensional algorithm governance. 6月16日，据市场监管总局官网消息，为鼓励支持经营主体自我纠错、重塑信用，营造良好营商环境，市场监管总局近日印发《严重违法失信名单和行政处罚公示信息信用修复管理程序规定（试行）》（以下简称《规定》）。 On 16 June, the Directorate-General of Market Supervision published the Regulations on Procedures for the Restoration of Information Credits for Serious Violations of Letters and Administrative Sanctions (the " Rules " ) recently issued by the Directorate-General of Market Supervision in order to encourage support operators to correct their own mistakes and restore credit and create a favourable business environment. 《规定》从三个方面建立健全信用修复管理工作机制：一是坚持依法依规，严格按照有关标准、程序、时限等开展信用修复管理工作。二是按照“谁认定、谁修复”的原则，明确总局有关司局职责分工，健全工作机制。三是通过印发工作指引、加强信息化建设等措施，为经营主体申请信用修复提供高效便捷的服务。 The Regulations establish sound mechanisms for the management of credit restoration in three areas: first, by adhering to the rules of the law and strictly respecting the standards, procedures, time limits, etc., and second, by clarifying the division of responsibilities and working mechanisms of the relevant directorates of the Directorate-General, in accordance with the principle of “Who determines, who fixes” and, third, by means of such measures as issuing guidelines for work and strengthening information-based construction, by providing efficient and easy services for business owners to apply for credit restoration. 信用监管是社会信用体系建设的重要组成部分，也是新型监管机制的基础。早在2021年7月30日，市场监管总局就发布了《市场监督管理严重违法失信名单管理办法》《市场监督管理行政处罚信息公示规定》《市场监督管理信用修复管理办法》等3个部门规章和规范性文件，并于同年9月1日起施行。? Credit regulation is an important part of the construction of the social credit system and the basis for new regulatory mechanisms. As early as 30 July 2021, the Directorate-General of Market Supervision issued three sectoral regulations and regulatory documents, such as the Measures for Management of Market Supervision and Management of Serious Infringements of Untrust Lists, the Regulations on Administrative Sanctions for Market Supervision and Regulation, and the Measures for Management of Credit Repairs for Market Supervision and Management, which became effective on 1 September of the same year. 6月15日，市场监管总局印发《盲盒经营行为规范指引（试行）》（以下简称《指引》），旨在规范盲盒经营行为，维护公平竞争的市场秩序，保护消费者合法权益，维护社会公共利益。《指引》还从制定负面销售清单、完善未成年人保护机制等方面对盲盒经营活动提出具体规定。 On 15 June, the Directorate-General of Market Supervision issued the Code of Conduct for the Operation of Blind Boxes (the " Guide " ), which aims to regulate the operation of blind box operations, maintain a fair and competitive market order, protect the legitimate rights and interests of consumers and safeguard the public interest. The Guide also specifies the operation of blind box operations in terms of the establishment of negative marketing lists and the improvement of mechanisms for the protection of minors. 《指引》发布后，多家国内相关厂商均对其进行了回应，指出《指引》对行业来说是长期利好，对于促进企业规范经营及助力行业有序、健康发展等有积极影响，未来企业将继续履行行业责任，积极配合监管部门落实相关细则。 Following the issuance of the Guidelines, a number of relevant domestic manufacturers responded, noting that the Guidelines were of long-term benefit to the industry and had a positive impact on the promotion of business regulation and the orderly and healthy development of the enabling industry, and that enterprises would continue to fulfil their responsibilities in the future by actively cooperating with the regulatory authorities in the implementation of the relevant regulations. 南财点评：《指引》发布的主要期望之一是引导规范经营者减少交易中的信息不对称，切实保障消费者的知情权和选择权。由于盲盒不可退还的销售模式，其售卖中若有不合理的射幸属性可能会导致销售者购买到和付出成本极不匹配，或是价值极低的产品。若不对其进行规制，可能助长商家以“盲盒”形式清除库存、多余的低价值商品，以此盈利甚至是欺诈的行为，扰乱市场秩序。消费者也会因购买到价值极低的“盲盒”商品但无法维权，产生消费中的不安全感，进而导致《消费者权益保护法》在“盲盒”领域的失灵。 One of the main expectations of the publication of the Guide is to guide operators in reducing information asymmetry in transactions and effectively safeguard consumers' right to know and choose. As a result of the non-refundable sales model of the blind box, the sale of an unreasonable puncture attribute may result in the seller buying and paying very unmatched or low-valued product. Failure to regulate it may encourage traders to remove stocks, excess low-value goods in the form of “blind boxes” and thereby disrupt market order for profit or even fraud. Consumers may also be unable to defend themselves by purchasing “blind boxes” of very low value, creating a sense of insecurity in consumption, which may lead to the failure of the Consumer Protection Act in the field of “blind boxes”. 6月13日，笔神作文发布“关于‘学而思’ AI大模型侵权事件的声明”。声明称，4月13日至17日，学而思通过“爬虫”技术非法访问、缓存笔神作文APP服务器数据多达258万次。严重侵犯了笔神作文APP的数据权益。 On 13 June, the pen god's essay issued a “Statement on the violation of the `Study for A' AI model.” The statement stated that, from 13 to 17 April, as many as 2.58 million times, the data from the APP server of the pen god's essay had been illegally accessed through the “crawling” technology. 对此，学而思官方微博发文回应其旗下AI模型MathGPT是专注于数学领域的自研大模型，没有任何作文相关数据；且“作文AI助手”目前处于开发状态，尚未发布，该服务并未使用笔神作文的任何数据。 In response to this, it learned that official tweets responded that the AI model MathGPT was a self-research model focused on mathematics, and that there were no essay-related data; and that the “Speech Assistant” was currently in development and had not yet been released, and that the service did not use any data from the pen Gods. 6月14日，笔神作文再度发文，表示“我们认为学而思方所述并非事实”，并列出了相关证据。 On 14 June, the handwriting of the pen god was retransmitted, stating that “we believe that what was said is not true” and setting out the relevant evidence. 南财点评：本次学而思和笔神作文的“AI大模型数据窃取”风波，实质是授权合同违约纠纷，涉及到对于合同授权范围条款的解释。AIGC产品获得训练模型数据授权是合规的根基，授权的内容和范围、使用的形式等一般会在签订授权合同时予以明晰。但鉴于AIGC作为新生产物，怎样进行约定还要再进行探索，也会是未来AIGC产品纠纷产生的主要原因之一。 近日，浙江省互联网信息办公室发布《浙江省个人信息出境标准合同备案指引》（以下简称“《指引》”）。《指引》规定了个人信息出境标准合同备案的适用范围、备案方式、备案流程等。 In recent days, the Zhejiang Internet Information Office has issued the Guidelines for the Recording of Standard Contracts for the Departure of Personal Information from Zhejiang Province (hereinafter referred to as the Guidelines). 官网通知显示，《指引》根据6月1日施行的《个人信息出境标准合同办法》和国家互联网信息办公室发布的《个人信息出境标准合同备案指南（第一版）》制定，以期指导和帮助个人信息处理者规范、有序备案个人信息出境标准合同。 The circular of the Network indicates that the Guidance is based on the Standard Scheme for Contracts for the Exit of Personal Information, which was introduced on 1 June, and the Guidelines for the Recording of Standard Contracts for the Departure of Personal Information (first edition), issued by the National Internet Information Office, with a view to guiding and assisting the personal information processor in the regulation and orderly filing of standard contracts for the departure of personal information. 近日，深圳市中级人民法院对《万国觉醒》诉《指挥官》侵害著作权及不正当竞争纠纷一案作出一审判决：被告九九公司旗下运营的《指挥官》构成对于《万国觉醒》的“换皮抄袭”侵权行为，须向原告莉莉丝与乐狗公司赔偿经济损失1000万元以及为制止侵权行为而支出的合理费用50万元，并公开道歉。 Recently, the Shenzhen City Intermediate People's Court handed down a first-instance judgement in the case of "Hong Kong Awakening " v. " Commander ", in the case of copyright infringement and unfair competition dispute: the "Commander" of the accused, who operated under the banner of the 99th Company, constituted a violation of the "change of the skin" of the "Hong Kong Awakening", and was required to compensate the plaintiff, Lilith and Lotte, for the economic loss of 10 million yuan and for the reasonable cost of stopping the violation, and publicly apologized. 南财点评：本案中，深圳中级人民法院对游戏“换皮抄袭”行为进行了明确的定义：“换皮抄袭”通常指在后游戏使用了在先游戏不同的美术形象，但游戏机制的特定设计上，如体系结构、数值设定、操作界面、玩法规则等方面，与在先游戏完全相同或实质性相似。? In this case, the Shenzhen Intermediate People's Court clearly defined the game's “change-of-skin” behaviour: “change-of-script” usually means that the later game uses different artistic images of the first game, but the specific design of the game mechanism, such as the structure of the system, numerical setting, operating interfaces, playing rules, etc., is exactly the same or the same as the first game. 值得注意的是，本案中，法院还指出同一智力成果依观察角度不同，可同时归属于两种作品类型而受到著作权法保护。法院既认定《万国觉醒》整体游戏画面构成著作权法第三条第六项规定的视听作品，也将《万国觉醒》游戏结构、系统体系、数值策划及对应关系等玩法规则的特定表达认定为符合作品特征的其他智力成果（兜底作品类型）。 It is worth noting that in the present case, the Court also noted that the same intellectual result, depending on the view, can be attributed to both types of work and protected by copyright law. The Court found that the Universal Awakening picture as a whole constituted an audio-visual work under article 3, paragraph 6, of the Copyright Act, and also identified the specific expression of the rules of play such as the structure of the Universal Awakening game, the system, numerical planning and correspondence as other intellectual results (types of works) that fit the characteristics of the work. 近日，东莞中院二审宣判一起侵犯商业秘密罪案。 In the recent past, the Second Chamber of the Dongjung Central Court sentenced one case of violation of commercial secrets. 某芯片公司与某科技公司为合作关系，共享服务器内的研发数据。程某是该芯片公司原技术工程师，负责芯片硬件开发编程工作，配有公司服务器的登录账户，并具有查看、使用服务器内研发数据的权限。 A chip company works in partnership with a technology company to share research and development data in the server. 在供职期间，程某先后通过上述方式盗窃某芯片公司及某科技公司研发数据378个，其中包括了系统源代码。2022年5月，某科技公司发现了程某盗窃公司源代码的情况，便向公安机关报案，民警随后将其抓获。案发时，未发现程某披露、使用或允许他人使用其窃取的技术资料。 In May 2022, a technology company discovered the theft of the company’s source code and then reported it to the public security authorities and the civilian police arrested it. At the time of the incident, no technical information was disclosed, used or allowed to be used by others. 程某在公司仅负责编程工作，其在无公司合法授权的情况下复制、下载、传输公司技术秘密的行为，构成侵犯商业秘密罪，情节特别严重，故判处有期徒刑三年六个月，并处罚金20万元。后因权利人二审出具了谅解书，故从轻判处将程某刑期减至有期徒刑三年二个月。 The company was only responsible for programming, and the reproduction, downloading and transmission of the company's technical secrets without the company's lawful authorization constituted an offence against commercial secrets, in particularly serious circumstances, and was sentenced to three years'and six months'imprisonment and a fine of 200,000 yuan. The second judge issued a letter of understanding, which reduced the sentence from a light sentence to three years'and two months'imprisonment. 当地时间6月12日，据媒体报道，联合国秘书长古特雷斯公开表示，支持建立人工智能领域的“国际原子能机构（IAEA）”，对人工智能技术进行监管。? On 12 June, local time, according to media reports, the Secretary-General of the United Nations, Guterres, publicly expressed support for the establishment of the International Atomic Energy Agency (IAEA) in the area of artificial intelligence to regulate artificial intelligence technology? 古特雷斯同时宣布，将在未来几天组建一个由人工智能专家和联合国机构首席科学家组成的科学顾问委员会。此外，在今年年底前，联合国还将启动一个高级人工智能咨询机构，定期审查人工智能治理安排，并就治理安排如何与人权、法治和共同利益保持一致提出建议。 At the same time, Guterres announced that a scientific advisory committee of artificial intelligence experts and chief scientists from United Nations agencies would be formed in the coming days. In addition, by the end of the year, the United Nations would launch a high-level artificial intelligence advisory body to regularly review artificial intelligence governance arrangements and make recommendations on how governance arrangements could be aligned with human rights, the rule of law and the common good. 南财点评：当前成立一个这样的国际组织有其必要性。一方面，科技治理领域已有先例，如国际互联网名称和地址分配组织（ICAAN）就曾协助维护全球互联网秩序。另一方面，GPT-4及类似“巨型”人工智能模型展现出能力让人们意识到人工智能技术将可能超过未来人类控制的范围和界限。 On the one hand, there are precedents in the field of science and technology governance, such as the International Organization for the Distribution of Internet Names and Addresses (ICAAN), which has helped to maintain the global Internet order. On the other hand, GPT-4 and similar “massive” artificial intelligence models have shown the ability to make people aware that artificial intelligence technologies may exceed the scope and limits of future human control. 但与原子能不同，人工智能大模型与商业生态有非常深入的嵌入关系，公司、开发者等无论体量大小，都会希望能使用和调用相关服务。因此，即使设立了类似机构，在多大程度上能够发挥作用，做到AI领域的“核不扩散”是一个还需思考和关注的问题。? But unlike atomic energy, large models of artificial intelligence have a very deep embedding relationship with commercial ecology, and companies, developers, etc., regardless of their size, would like to use and call on the relevant services. So, to what extent, even when similar institutions are in place, “nuclear non-proliferation” in the AI field is a matter of reflection and concern. 当地时间6月14日，欧洲议会以 499 票赞成、28 票反对和 93 票弃权通过了关于人工智能法案的谈判立场。? On 14 June, local time, the European Parliament adopted a negotiating position on the artificial intelligence bill by 499 votes in favour, 28 against and 93 abstentions. 最新的人工智能法案再次强调，将全面禁止对人类安全造成不可接受风险的人工智能系统的侵扰性和歧视性使用。违反相关义务将被处以最高 4000 万欧元或上一财年全球年营业额的 7%的罚款。? The latest artificial intelligence bill once again emphasizes that the intrusive and discriminatory use of artificial intelligence systems that pose unacceptable risks to human security will be completely prohibited. 法案还提出了一系列人工智能基础模型提供者需要遵守的义务。针对ChatGPT等生成式人工智能系统的提供者，法案指出如果用以训练的数据受版权保护，提供者必须公开相关详细摘要；针对生成的内容，法案则要求其遵守透明度要求，对人工智能生成内容进行标注和披露。相关模型在欧盟市场上发布前，基础模型的提供者还需要在欧盟数据库中注册。 The Act also sets out a range of obligations to be met by providers of basic artificial intelligence models. For providers of generating artificial intelligence systems such as ChatGPT, the Act states that if the data used for training is protected by copyright, the provider must disclose the relevant detailed summaries; for the content generated, the Act requires that it comply with transparency requirements and mark and disclose the content of artificial intelligence generation. 具体媒体报道，近日，17家音乐公司联合起诉推特公司，指控该公司未经许可在其平台上使用音乐，侵犯了近1700首音乐的版权，并要求推特赔偿2.5亿美元，约合18亿元人民币。 Specific media reports indicate that in recent days, 17 music companies have jointly sued Twitter for unauthorized use of music on their platforms, violating the copyright of nearly 1,700 music pieces, and demanding that Twitter pay $250 million, or approximately 1.8 billion yuan. 由索尼音乐、环球音乐等17家音乐出版公司组成的团体——美国音乐出版商协会，在田纳西州纳什维尔联邦法院对推特提起诉讼。诉讼指控仅2021年12月以来，就有约30万条推文使用了侵权音乐。与TikTok、脸书、优兔等正常支付版权费用的竞争对手相比，这种行为让推特在吸引用户方面获得了“不公平的优势”。? The Association of American Music Publishers, a group of 17 music publishers such as Sony, Global, and others, filed a lawsuit against Twitter in the Nashville Federal Court of Tennessee. Since December 2021 alone, the lawsuit has involved some 300,000 tweets using tort music.《严重违法失信名单和行政处罚公示信息信用修复管理程序规定（试行）》发布
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