涉案企业合规第三方监督评估机制关键问题研究

Research on the Major Issues of the Third-party Supervision and Evaluation Mechanism for the Enterprise Compliance Involved in Cases

涉案企业合规第三方监督评估机制作为中国的合规监管人制度,创设了兼容独立监控人和行政机关的混合合规监管模式,取得了阶段性的机制建设成果。该机制在实践中被作为一般性合规监管方式大规模适用,存在形式化和纸面化监管之虞。以实效化运行为基本目标,第三方监督评估机制应被定位为特殊性合规监管方式,发挥监督评估、矫治修复、实质制裁等三重制度功能。在机制启动阶段,需要引入必要性和经济性判断,对其适用范围进行比例限缩;在机制运行过程中,应当强化对选任合规监管人、制定合规整改方案、验收合规整改效果等关键节点的控制,优化合规监管人职能和机制运行流程。

China's compliance monitor system,the third-party supervision and evaluation mechanism for enterprise compliance involved in cases has created a hybrid compliance supervision model compatible with independent monitor and administrative agencies.It has achieved results and values to some extent.The large-scale application of the third-party mechanism in practice shows that it is used as a general compliance supervision method,illustrating a danger of formalized and paper-based supervision.With substantive operation as the basic goal,the third-party mechanism should be repositioned as a special compliance supervision method,uniting triple functions of supervision and evaluation,correction and restoration,and substantive sanctions.At the start-up stage of the mechanism,it is necessary to introduce necessity and economic standards,combining a system to proportional limit the application scope of the third-party mechanism.In the operation period of the mechanism,the control of key procedures on the selection and appointment of compliance super visors,the formulation of compliance rectifi cation plans,and the evaluation of compliance rectifi cation eff ects should be strengthened.The functions of compliance supervisors and the operational process of the third-party mechanism should be optimized.