有效企业合规计划之构建研究

Research on Construction of Effective Corporate Compliance Program

有效企业合规计划的实施,可以推动对企业违法犯罪的规制视角从事后规制转向事前预防和事中监督;其规制模式亦从外部规制转向内部自我管束。同时,在预防和规制策略上,更加依赖通过外部激励威慑与内部自警自监并重的思路,而非单纯依靠严厉制裁手段。我国在构建有效合规计划制度时,在吸收借鉴国外经验教训的基础上,可以由最高人民检察院主导制定统一的有效合规计划指南,行政监管部门则负责制定具体的行业合规构建标准,鼓励引导企业建立合规组织体系和内部合规制度,强化行政合规与刑事合规的衔接,从而构建起中国特色有效企业合规计划制度。

The implementation of an effective corporate compliance programme can facilitate a shift in the perspective of regulation of corporate crime from ex-post regulation to prevention and monitoring,and a shift in the mode of regulation from external regulation to internal self-regulation.At the same time,the prevention and control strategy relies more on external incentives and deterrence and internal self-monitoring,rather than relying on severe sanctions.In building an effective compliance program system in China,on the basis of lessons learned from overseas,the Supreme People’s Procuratorate can take the lead in formulating unified guidelines for effective compliance programs,while the administrative and regulatory authorities are responsible for formulating specific standards for industry compliance,encouraging and guiding enterprises to establish corporate compliance systems,and strengthening the interface between administrative compliance and criminal compliance,so as to build an effective corporate compliance program with Chinese characteristics.This will lead to the establishment of an effective corporate compliance program with Chinese characteristics.