涉证券犯罪上市公司合规监管制度的探讨

Probe into Regulation-Abiding Supervision System of Listed Companies Involved in Securities-Related Crimes

涉证券犯罪上市公司犯罪风险集中、内部合规制度薄弱、认罪认罚适用空间较大。对涉证券犯罪上市公司实施企业合规监督评估是有效预防证券犯罪、改进公司治理、优化企业营商环境和保障企业合法权益的创新举措。完善上市公司企业合规制度多措并举,包括制定适用于企业合规的量刑标准,建立适应上市公司需要的第三方监督评估机制和第三方组织,明确披露信息管理和内幕信息管理作为合规监督评估重点内容,强化举报和追责,建立合规监管的保障机制,对违反义务的第三方组织成员设定制裁措施等。

The listed companies involved in securities-related crime have a high risk of crime commission,vulnerabilities of internal systems,and large room for confession and punishment.It is an innovative measure to effectively prevent securities-related crimes,improve corporate governance,better the enterprise business environment and protect their legal rights and interests by conducting regulation-abiding supervision and evaluation of listed companies involved in securities crimes.To improve listed companies’ regulation-abiding system it is necessary to take multiple measures,including the formulation of sentencing standards applicable to enterprises,establishment of a third-party supervision and evaluation mechanism and a third-party organization that meets the needs of listed companies,to render the disclosed information and inside information management the key content of supervision and evaluation,to strengthen reporting and responsibility bearing,to establish a supervision guaranteeing mechanism,and to impose sanctions on members of third-party organizations who violate their obligations.