论作为监管激励机制的企业合规

On Enterprise Compliance as a Supervisory Incentive Mechanism

企业合规是公司治理的重要方式,对于企业履行社会责任及其可持续发展,尤其是对于中国企业“走出去”具有重要作用。由此,企业合规可以成为政府监管的一种重要激励机制,通过合规制度的建立来换取行政监管部门或者司法机关的宽大处理:其一,从轻减轻处罚依据的合规,即对于本应处以行政处罚的行为,要求其建立起完善的合规制度,进而予以从轻或者减轻处罚;其二,与监管部门达成和解协议条件的合规,即企业以建立和完善合规制度作为条件,与监管部门达成和解协议;其三,避免移送起诉的合规,即要求企业建立起合规制度,在特定情形下免于移送起诉。

Corporate compliance is a means of corporate governance,which plays an important role in Chinese companies going global,fulfilling their social responsibilities and sustainable development.As a result,corporate compliance can become an important incentive mechanism for government supervision.The establishment of a compliance system in exchange for the leniency of the administrative supervision department or the judiciary is specifically reflected in three aspects:First,the basis for reducing the penalty regulations,that is,for acts that should be subject to administrative punishment,require them to establish a comprehensive compliance system,and then reduce punishment;Second,the compliance with the regulatory agreement settlement conditions.Enterprises should establish and improve the compliance system in order to reach a settlement agreement with the supervisory authority.Third,compliance to avoid transfer prosecution,this requires companies to establish a compliance system that is exempt from transfer prosecution under certain circumstances.