规训、惩罚与权力——福柯视阈下的合规

Discipline,Punish and Power:Compliance in the Perspective of Foucault

华为事件对现有的合规理论提出了严峻的挑战,认为合规制度具有道德上的优越性的观点存在明显的缺陷。在福柯提出的理论体系中,合规制度可以被视为规训和惩罚发展到新阶段的产物。从规训的角度看,合规使被规训者由自然人扩展至法人,规训手段有了新的发展,并构建了新时代的全景敞视监狱。从惩罚的角度看,现实考量优于伦理言辞是以合规为名实施惩罚的基本逻辑,而合规制度在继承了监狱所产生的五种效果的同时更适应社会的发展。对于中国的企业来说,应该建立内部合规制度,明确成本与收益并在必要时做出权衡。对于中国政府来说,应该积极推动合规以维护包括经济利益、政治利益在内的国家利益。

The Huawei incident poses a serious challenge to the existing compliance theory,in that there is a clear flaw in the view that the compliance system has moral superiority.Within the theoretical framework proposed by Foucault,the compliance system can be regarded as the result of the development of discipline and punishment to a new stage.From the perspective of discipline,compliance has expanded the trainees from natural persons to legal persons.New developments have been made in the methods of discipline,and a panoramic open-sight prison of the new era has been constructed.From the perspective of punishment,realistic considerations come first before ethical rhetoric.This is the basic logic of punishment in the name of compliance.The compliance system inherits the five effects produced by the prison and is more adapted to the development of society.For Chinese companies,an internal compliance system should be established to identify costs and benefits and compromise when necessary.For the Chinese government,compliance should be actively promoted to safeguard national interests,which includes economic and political ones.