优化法治化营商环境研究——以企业合规第三方机制完善为视角

Research on Optimizing the Law-based Business Environment——From the Perspective of Improving the Third-party Mechanism of Corporate Compliance

企业合规是优化法治化营商环境的重要一环,第三方监督评估机制的全流程设计与全场景运行,事关涉案企业合规改革效果。经过三年多的司法实践与经验转化,对于企业合规第三方监督评估机制,各地检察机关在监管模式与经费来源等方面进行了有益探索。随着改革向纵深推进,如何准确把握涉案企业合规第三方监督评估机制的“启动关”“有效关”“协作关”,成为阻碍该项机制顺利推进的掣肘困境。结合我国经济社会发展实际,完善涉案企业合规第三方监督评估机制的因应之路,应当围绕规范性、公正性、有效性等特性,有序推进立法完善、细化“人”“财”制度规定、加强配套措施设计。

Corporate compliance is an important part of optimizing the business environment based on the rule of law,and the full-process design and full-scenario operation of the third-party supervision and evaluation mechanism are related to the compliance reform effect of the enterprises involved.After more than three years of judicial practice and experience transformation,local procuratorial organs have made useful explorations in terms of supervision models and funding sources for third-party supervision and assessment mechanisms for enterprise compliance.With the deepening of the reform,how to accurately grasp the“initiation”,“effectiveness”and“collaboration”of the third-party supervision and assessment mechanism for compliance of the enterprises involved in the case has become a constraint hindering the smooth progress of the mechanism.Combined with the actual conditions of China’s economic and social development,the way to improve the third-party supervision and assessment mechanism for compliance of enterprises involved in the case should focus on the characteristics of standardization,fairness,and effectiveness,and orderly promote the improvement of legislation,refine the provisions of the“human”and“financial”systems,and strengthen the design of supporting measures.