法治化营商环境建设的合规机制——以刑事合规为中心

Compliance Approach for Building a Law-based Business Environment

法治化营商环境建设与组织体合规具有相同的价值追求,即行为的合规性。合规计划兼具高效、节约公共资源、国际化等优势,可以成为营商环境建设的法治工具。公共机构、企业是最主要的商业环境参与者、营造者;公共机构依法行政、提供公共服务,企业合法经营,则法治化营商环境水到渠成。借助公权合规计划,可以更好地实现公共机构合法运行的目的。公共机构不仅要通过合规计划实现自身合规,还要通过外部激励机制促进企业合规。作为公共机构与企业之间的桥梁,行业自治组织可以通过行业监督、共建失信信息系统、促进联合调查等方式促进企业守法。未来可以通过在组织体内构建自上而下的责任链条与自下而上的信息流、强化外部正反向激励机制、淡化行业自治组织的行政色彩等方式,促进公共机构、企业以及行业自治组织的合规参与。

A law-based business environment and organization compliance have the same value pursuit,that is,the compliance of their performance.Since compliance programs have the advantages of efficiency,saving public resources,and internationalization,thus could become legal tools for creating a sound business environment.Public institutions and companies are the primary participants in the business environment.As the main builders of business environment,public institutions must exercise administrative power and provide public services strictly in accordance with law,and companies must also operate their business in accordance with law.In this way,building a law-based business environment would become an act of following the natural course.The purpose of legal operation of public institutions could be better achieved with public power compliance programs.Public institutions not only rely on compliance programs to achieve their own compliance,but also promote corporate compliance through an external incentive mechanism.The role of self-regulating industry organizations,as a communication bridge between public institutions and corporations,has also been underlined.In business practice,they have indeed promoted corporate compliance by carrying out industry supervision,co-constructing information systems of untrustworthy organizations,facilitating joint investigation,and so on.China should further promote the participation in compliance by public institutions,companies,and self-regulating industry organizations and maximize their role in building a law-based business environment through such measures as building a"top-down"responsibility chain and a"down-top"information flow within the organizations,strengthening external incentives,and toning down the administrative color of self-regulating industry organizations.