“回应型”公司合规的治理结构和发展路径

Governance Structure and Development Path of"Responsive"Corporate Compliance

我国公司合规制度在外源式、行政主导式的发展模式下产生了监管依赖、合规形式化与公司责任变相扩张等问题。合规的本质不是公司免责的形式工具,而是公司治理上的改革和实践,需要“外部行为规范的内生化建构+治理权的外部化转移”的双向作用。回应型规制理论能为合规制度的良性发展提供参考路径:在公司治理结构中,要有效配置合规职权并压实公司成员的合规义务;在合规监管立法与执法中,要秉持回应型法权关系的协商互信原则,合理运用规制升级策略与多元主体的规制授权措施;在政府监管、市场行业监督、公司治理自律三者的互动反馈与合力共治中,要促成合规监管与合规治理的内外结合。

Under the development model of exogenous and administrative leading,China's corporate compliance system is facing problems such as regulatory dependence,formalization and disguised expansion of corporate responsibility.The essence of compliance is not a formal tool for corporate exemption,but a reform and practice of corporate governance,which requires a two-way effect of"biochemical construction of external behavior norms+externalization transfer of governance right".Responsive regulation theory can provide a reference path for the benign development of the compliance system:in the corporate governance structure,compliance powers should be effectively allocated and the compliance obligations of company members should be compacted;in the legislation and law enforcement of compliance supervision,the principle of consultation and mutual trust of the responsive legal power relationship should be upheld,and the regulation upgrading strategy and the regulatory authorization measures of multiple subjects should be rationally applied;in the interactive feedback and joint governance of government supervision,market and industry supervision and corporate governance self-discipline,the internal and external combination of compliance supervision and compliance governance should be promoted.