行政合规整改嵌入监管体系的路径及制度保障

Nested Path and Institutional Guarantee of Administrative Compliance Rectification and Administrative Supervision System

近年来,合规治理的理念深刻影响着我国行政监管的改革,行政合规整改是我国行政监管的一次重要制度调整与尝试。实践中,行政合规整改制度嵌入传统监管体系,可以概括为合规义务转化为约定义务、法定义务以及倡导性义务三条规范路径。从制度保障的视角看,一方面,行政合规整改应当引入法治保障机制,坚持制裁与教育相结合原则、依法行政原则、比例原则以及正当程序原则;另一方面,行政合规整改应当建立实效保障机制,从界定适格对象、确立合规基准、建立义务履行机制以及设置激励措施四个方面提供制度保障。

In recent years,the concept of extraterritorial compliance governance has deeply influenced the reform direction of China’s administrative supervision.Administrative compliance rectification is another institutional adjustment and attempt at China’s administrative supervision.In practice,the administrative compliance rectification system is embedded in the traditional administrative supervision system,which can refine three normative paths for transforming compliance obligations into contractual obligations,statutory obligations,and advocacy obligations.From the perspective of institutional guarantee,on the one hand,administrative compliance rectification should introduce a legal guarantee mechanism,subject to the constraints and norms of the principle of combining sanctions with education,the principle of administration according to law,the principle of proportionality,and the principle of due process;On the other hand,administrative compliance rectification should establish an effectiveness guarantee mechanism,building a system from four aspects:defining qualified objects,establishing compliance benchmarks,establishing a mechanism for fulfilling obligations,and establishing incentive measures.