互联网企业刑事合规义务识别:分层、复合与技数赋能

Identification of Criminal Compliance Obligations of Internet Enterprises:Layering,Compounding and Digital Technology Empowerment

涉案企业合规改革,本质上是为了鼓励更多企业建立健全的“事前”自主合规体系。企业事前自主合规体系建设的前提,在于有效识别刑事合规义务,这也是建构企业刑事合规管理体系的基础。互联网企业根据自身特点,在具体合规义务识别的过程中,应当坚持“分层”与“复合”的识别路径,确保“强制合规义务层级”与“优先合规义务层级”的分层识别,以及在此基础之上,行政合规义务与刑事合规义务、各类刑事合规义务来源的复合识别。互联网企业自主刑事合规体系需要“技数赋能”加以辅助,借助底层技术和数字建模相结合,探索生成式人工智能的介入,形成一套技术化、数字化、可视化的立体识别系统,将合规义务和风险评估嵌入企业日常业务流程,确保合规义务识别更加高效和准确。

The compliance reform of enterprises involved in legal cases essentially encourages more enterprises to establish and improve the independent compliance system in advance.The premise of constructing independent compliance system of enterprises in advance is to effectively identify the criminal compliance obligations,which is also the basis for establishing criminal compliance management system of enterprises.According to their own characteristics,Internet enterprises should adhere to “layering” and “compounding”identification path in the process of identifying specific compliance obligations,ensure the hierarchical identification of mandatory compliance obligation level and priority compliance obligation level,and on this basis,the composite identification of administrative compliance obligations and criminal compliance obligations,as well as the sources of various criminal compliance obligations.The independent criminal compliance system of Internet enterprises needs the assistance of digital technology empowerment.With the combination of underlying technology and digital modeling,a set of technical,digital and visual three-dimensional identification system is formed.The compliance obligations and risk assessment are embedded in the daily business processes of enterprises to ensure that the identification of compliance obligations is more efficient and accurate.