从法律激励视角看企业合规

Corporate Compliance from the Perspective of Legal Incentives

企业合规治理是全球流行的一种治理方式,也是企业可持续发展的必由之路。当前,抓紧落实并完善合规治理机制是摆在中国公司企业、监管部门和司法机关面前的紧迫任务和重大课题。合规治理体系建设具有重大现实意义,不仅具有重要的司法意义、深刻的社会治理意义,更有长远的文化意义。在目前我国企业合规体系构建过程中,检察机关成了重要的推手。检察机关的介入,凸显了合规体系建设的司法作用和司法意义。在中国,通过行政监管部门、司法机关(特别是检察机关)的积极推动,尤其是通过合规法律激励机制的引导和驱动,使企业逐步建立合规计划、形成合规治理体系,并最终通向企业自治。完善的合规治理体系是企业自我监管、自我整改、自我治理的表现,带有明显的社会自治特色,在整个治理体系中发挥着基础性作用。

Corporate compliance governance is a global popular way of governance and the only way for sustainable development of enterprises. At present, it is an urgent task and a major task for Chinese companies, regulators and judicial authorities to implement and improve the compliance governance mechanism. The construction of the compliance governance system is of great practical significance, not only of important judicial significance,profound social governance significance, but also of long-term cultural significance. At present, in the process of building our corporate compliance system, the procuratorial organ has become an important driver. The involvement of the procuratorial organ highlights the judicial role and significance of the construction of the compliance system.In China, through the active promotion of administrative supervision departments, judicial organs(especially procuratorial organs), especially through the guidance and drive of the legal incentive mechanism for compliance,enterprises gradually establish compliance plans, form a compliance governance system, and finally lead to enterprise autonomy. The perfect compliance governance system is the performance of enterprise self-regulation, self rectification and self governance, with obvious social autonomy characteristics, and plays a fundamental role in the entire governance system.