刑事合规视阈下美国独立合规监督人的主要挑战及发展趋向

The Main Challenges and Development Trends of Independent Compliance Supervisors in the United States from the Perspective of Criminal Compliance

美国独立合规监督人是根据政府与涉案企业达成的协议授权,监督企业履行合规义务的第三方合规监管机制。监督人具有身份独立性、目标预防性、内容标准性和评价合规性等特征。当代美国监督机制存在成本高昂、监督人与被监督企业关系严重失衡、政府机构权限缺乏约束和司法审查形式化等问题。美国司法部采取限缩适用范围、引入替代措施、强化自我监督和推进社会监督等措施,监督人的适用空间被进一步压缩,成为例外性的矫治手段。

The independent compliance supervisor in the United States is a third-party compliance supervision mechanism authorized by government and enterprises involved to supervises enterprises to fulfill compliance obligations. Supervisors have the characteristics of identity independence, target prevention, content standardization and evaluation compliance. The contemporary American supervision mechanism has problems such as high cost, serious imbalance between supervisors and supervised companies, lack of constraints on the authority of government agencies, and formalized judicial review. The U.S. Department of Justice has taken measures such as limiting the scope of application, introducing alternative measures,strengthening self-supervision and promoting social supervision. The application space of supervisors has been further compressed and has become an exceptional means of correction.