合规监管人的角色定位——以有效刑事合规整改为视角的分析

The Roles of Compliance Regulator:An Analysis from the Perspective of Effective Rectification of Corporate Criminal Compliance

合规监管人制度的良好实施,是企业合规改革顺利推进的基本保证。按照刑事合规整改的成功经验,有效合规整改可以包括合规计划的设计有效性、运行有效性和结果有效性等三个要素。为实现有效合规整改的基本目标,合规监管人可以具有三种角色:一是合规计划设计的监督者;二是合规计划运行的指导者;三是合规整改验收的评估者。在对涉案企业的刑事合规考察过程中,要确保合规监管人发挥不可替代的职能作用,既要科学地设定其合规整改督导方式,也应为其履行合规监管职能确立一系列的制度保障。

The implementation of a sound compliance regulator system can guarantee the successful reform of corporate compliance.As shown by the experience from the corporate criminal compliance,the compliance rectification shall be effective in its design,operation and outcome.To achieve such an effective rectification,the compliance regulator shall play the triple roles of a monitor,director and evaluator.In order to bring into full play,the regulator's irreplaceable function in the investigation into the corporation involved in a criminal case,it is necessary to establish a system that specifies scientific methods for supervising the rectification,and provides institutional foundation for the regulator to perform his duties.