全流程合规视域下第三方机制的实践反思与技术性进路

Practice Reflection and Technical Approach of Third Party Mechanism from the Perspective of Full Process Compliance

随着涉案企业合规改革进入“深水区”,有效合规整改和评估成为改革的关键问题之一。然而,由于第三方机制推行时间较短,在适用范围、经费来源、中立地位保障以及合规改革中侦查机关和审判机关缺位等方面存在改革瓶颈。为此,应当对自然人关联犯罪和中小微企业适用第三方机制作限缩解释;探索“政企合一”统筹分配的经费模式;明确第三方组织的中立地位及权限范围,完善第三方组织人员选任和内外部监督等配套制度;树立全流程合规的理念,推进合规启动端口向侦查阶段前移、后续程序延伸至法院把关。

With the compliance reform of the enterprises entering the"deep water area",effective compliance rectification and evaluation has become one of the key issues of reform.However,due to the short implementation time of the third-party mechanism,there are bottlenecks in the aspects like the scope of application,funding source,assurance of neutral status and the absence of investigative organs and judicial organs in compliance reform.Therefore,crimes related to natural persons and micro enterprises applicable to the mechanism of third party should be interpreted in a limited way.Finally,it is suggested to explore the funds mode of overall allocation under the"integration of government and enterprise",clarify the neutral status and scope of authority of third-party organizations,and improve supporting systems for selecting and appointing personnel of third-party organizations and for carrying out internal and external supervision;it is also presented to establish the concept of whole process compliance,promote the starting port of compliance to move forward to the investigation stage,and extend the follow-up procedures to the court.