涉案企业合规第三方监督评估机制问题研究

On the Third-party Supervision and Evaluation Mechanism of Enterprise Compliance Involved in the Case

在企业合规建设过程中,第三方监督评估机制的作用毋庸置疑,不但是企业合规计划的重要推动者,也是刑事司法程序的重要参与者。根据相关文件,第三方监督评估机制的规定和适用还存在诸多问题,需要从法理层面展开讨论和研究,具体如第三方监督评估机制的启动要素、人员结构、规范运行、监督机制、激励措施及异地协作等,对前述问题进行教义学分析,并针对具体问题构建合理的应对举措。

In the process of enterprise compliance construction,there is no doubt about the role of the third-party supervision and evaluation mechanism,which is not only an important promoter of enterprise compliance plan,but also an important participant in the criminal justice process.According to the relevant documents,there are still many problems in the regulation and application of the third-party supervision and evaluation mechanism,which need to be discussed and studied from the legal level,such as the starting elements of the third-party supervision and evaluation mechanism,personnel structure,standardized operation,supervision mechanism,incentive measures and remote cooperation,carry on the doctrinal analysis of the above-mentioned problems and construct reasonable countermeasures for the specific problems.