合规在中国的引入与理论调适--企业合规研究述评

Introduction of Compliance in China and Its Theoretical Adjustment--Review of Corporate Compliance Research

企业合规作为一项重大法学前沿交叉课题,得到我国刑事法、公司法、行政法等多个领域学者的广泛关注,以合规在中国的引入和理论调适为主题,我国学者主要从企业合规的性质与功能、公司合规治理的理念与结构、企业合规与行政监管模式、企业合规与单位刑事责任、企业合规引入公诉的方式等五大板块展开学术研究和争鸣,业已产生一批重要理论成果。在未来,企业合规研究需要一次法学方法论上的转型,以比较法研究为主线的介述性研究和以提出制度改革建议为目标的对策法学研究可告一段落,从本土合规改革经验中提炼中国化的原创性合规理论,将成为企业合规研究的主要学术增长点。

As a major frontier intersecting subject of law,corporate compliance has received growing attention from scholars in the fields of criminal law,company law and administrative law.Focusing on the introduction and theoretical adjustment of compliance in China,Chinese scholars mainly conduct academic research in five areas,namely,the nature and function of corporate compliance,the concept and structure of corporate compliance governance,corporate compliance and administrative supervision mode,corporate compliance and unit criminal liability,and the way of introducing public prosecution into corporate compliance,and they have produced several important theoretical results.In the future,the research of enterprise compliance needs a transformation of legal methodology.The introduction research with comparative law as the main line and the countermeasure law research with system reform suggestions as the goal will come to a break.Refining the original Chinese compliance theory from the local compliance reform experience will become the main academic focus of enterprise compliance research.