合规概念的泛化及新范畴的确立:组织合规

Generalization of Compliance Concept and Establishment of New Category:Organizational Compliance

“合规”已经是一个泛化了的概念,其基本范畴主要有企业合规、行政合规、廉政合规、刑事合规和银行合规等,或许其相互之间还存在交叉、冲突、矛盾或竞合。甚至出现合规和法律执行与遵守,合规部门与法务部门、内控部门、风管部门等的混同,以及合规与职业道德的关系等。本文提出了“组织合规”的新范畴,“组织”包括一切国内国外组织、企业和单位,“规”是指国际公约、条约,国家立法,市场惯例、规则和准则,以及行业规范、组织章程、职业道德等,并重点分析了组织合规与企业合规、行政合规、刑事合规等的关系。特别强调大合规的理念,甚至触及国际合规、国际社会合规,以及国内合规、国家整体合规、政府合规或行政合规的特殊意义,当然其核心或重点还是刑事合规。

"Compliance"is already a generalized concept,and its basic scope mainly includes enterprise compliance,administrative compliance,clean government compliance,criminal compliance and bank compliance.Perhaps there are also intersection,conflict,contradiction or concurrence between them.There may even be a confusion between compliance and legal enforcement and compliance,between compliance department and legal department,internal control department and risk management department,as well as the relationship between compliance and professional ethics.This paper puts forward a new category of"organizational compliance","organization"includes all domestic and foreign organizations,enterprises and units,"regulations"refers to international conventions,treaties,national legislation,market practices,rules and guidelines,as well as industry norms,organization charters,professional ethics,etc.,and focuses on the relationship between organizational compliance and corporate compliance,administrative compliance,criminal compliance.Special emphasis is placed on the concept of large compliance,and even touches on the special significance of international compliance,international community compliance,and domestic compliance,national overall compliance,government compliance or administrative compliance.Of course,the core or focus is criminal compliance.