企业合规第三方监管人制度问题探究——以《本茨考斯基备忘录》为范例

Research on the Third-Party Supervisor Systern for Corporate Compliance:Based on Bendzkowski Memo

企业合规第三方监管人制度的发展至今已有四十年的历史,随着各类法律规范及判例的公布,该制度在西方逐步走向成熟。我国在企业合规制度实践探索的基础上创立了第三方监督评估机制,随着企业合规案件数量的攀升,实践中开始出现适用第三方机制条件不清以及“纸面合规”等亟待解决的现实问题。《本茨考斯基备忘录》(Benczkowski Memo)中对第三方监管人的适用条件以及遴选程序作出了极为详细的规范,我国在考虑现实情况的前提下,可通过明确适用条件、严格选任程序以及细化异议救济途径为上述问题提供解决方案。

The development of the monitorship system of corporate compliance has a history of forty years,and with the publication of various legal norms and precedents,the system has gradually matured in the West.The third-party supervision and evaluation mechanism is established based on the practice exploration of corporate compliance system in China.With the rising number of corporate compliance cases,unclear conditions for the application of the third-party mechanism and"paper compliance"began to emerge in practice,and other practical problems needed to be solved.Benczkowski Memo provides extremely detailed regulations on the conditions of application and selection procedures of third-party supervisors.China can provide solutions to the above problems by clarifying the applicable conditions,strict selection procedures and refining the remedies for objections,while taking into account the realistic situation.