论企业合规第三方监管机制下检察机关的角色定位——以第三方监督评估机制的试行为切入点

Role of Procuratorate under Third-party Supervision Mechanism of Corporate Compliance:The Entry Point of Trial Operation of Third-party Supervision and Evaluation Mechanism

在企业合规第三方监管机制下,检察机关的角色定位是破解理论上各主体间关系难题及改进实践中合规监管困境的重要研究对象。在实践中,检察监督呈现出直接监督、间接监督、综合监督模式并存的现状。而在规范性文件指引下,检察机关应作为第三方监督评估机制的主导角色,具有顶层设计领导与具体办案中的监督、指导作用。反思角色定位,检察机关在综合监督模式的实践场域中进行角色转化,综合监督模式妥善处理了第三方机制下各主体间关系问题,充分立足于检察机关合规监督中的双重监督功效,因而符合检察机关规范性文件指引下的角色定位。在明确第三方组织履职正当性及检察主导必要性的基础上,检察机关应有效构建与第三方组织间的工作协同、沟通及审查监督机制,同时加大对涉案企业的回归监督及保障力度。

Under the third-party supervision mechanism of corporate compliance, the role of procuratorate is an important research object to crack the new internal relationship dilemma in theory as well as to improve the compliance supervision dilemma in practice. In practice, procuratorial supervision presents the status quo of direct supervision, indirect supervision, and comprehensive supervision models. And under the guidance of normative documents,the procuratorate should act as the leading role of the third-party supervision and evaluation mechanism, with top-level design leadership and the supervision and guidance in specific case handling.Rethinking the role, the role of the procuratorate is transformed in the practice field of the comprehensive supervision model and the comprehensive supervision model properly handles the relationship between the subjects under the third-party mechanism, fully bases on the dual supervision function in the compliance supervision of the procuratorate, and conforms to the role positioning of the procuratorate under the guidance of normative documents. On the basis of clarifying the legitimacy of the performance of third-party organizations and the necessity of the prosecutorial dominance, the procuratorate should effectively build the work coordination, communication mechanism and review and supervision mechanisms with the third-party, and at the same time strengthen the return of supervision and protection of the enterprises involved in the case.