民营企业刑事合规管理体系构建研究

Research on the Construction of a Criminal Compliance Management System for Private Enterprises

企业合规管理制度起源于美国,其本质上是“规则+管理”的活动,属于企业管理活动的范畴,已逐渐呈现出全球化趋势。中国对企业合规问题也日益重视尤其是刑事合规,但民营企业刑事合规管理制度建构与否,如何建设仍然存在很大争议。与其他类型企业相比,民营企业具有整体规范性差、脆弱性强,企业家与企业意志与财产混同等特点。民营企业刑事合规管理的建构需结合这些特点,从企业管理现状诊断、合规风险识别与预警、合规管理制度和机制设计、合规问题整改、合规管理手册制作等路径着力构建合规管理体系,并在在此基础上形成民营企业合规文化。

The corporate compliance management system,which originated in the United States,is essentially a"rules+management"activity and belongs to the scope of corporate management activities,which has gradually shown a global trend.China is also paying increasing attention to corporate compliance issues,especially criminal compliance,but there is still a great deal of controversy over whether and how to build a criminal compliance management system for private enterprises.Compared to other types of enterprises,private enterprises are characterized by poor overall regulation,high vulnerability and the mixing of entrepreneurial and corporate will and property.The construction of criminal compliance management in private enterprises needs to be combined with these characteristics,from the diagnosis of the current situation of enterprise management,compliance risk identification and early warning,compliance management system and mechanism design,compliance issues rectification,compliance management manual production and other paths to build a compliance management system,and on this basis to form a compliance culture in private enterprises.