比较法视野下企业合规第三方监管体系构建

Systemic Construction of Third-Party Cooperate-Compliance Supervision from the Perspective of Comparative Law

我国企业刑事合规不起诉试点过程中,企业合规计划的审查及第三方监管机构的监管行为和评估,是企业合规制度的组成部分。检察机关联合其他行政机关和社会组织组成的第三方机制管委会委托的企业合规第三方监管机构对涉案企业合规计划的执行开展监管并出具评估报告,是企业合规试点中重要的机制改进措施。但是,实践中也存在值得关注的问题。域外第三方监管制度在监管人资格设定、监管机构监管运行程序、监管人独立性、监管机构政策和经费保障、监管评估意见对政府决策的影响等成熟的做法,对完善我国企业合规第三方监管制度具有借鉴意义。我国企业合规第三方监管制度的完善路径应包括法律上明确第三方监管机构的法律地位、第三方监管机构人员组成、成员资格、成员专业能力以及其他道德素质等要求,法律上保障监管人员监管行为的独立性,认真对待监管评估意见的法律效果,立法应对监管机构的监管考察期限作出柔性延长规定。

In the pilot process of non-prosecution of corporate compliance in China,the review of corporate compliance plans and the regulatory behavior and evaluation of third-party regulatory authorities are an integral part of the corporate compliance system.The third-party regulatory authority for enterprise compliance entrusted by the third-party mechanism committee composed of procuratorial organs,other administrative organs,and non-governmental organizations to supervise the implementation of the compliance plan of the enterprise involved in the case and issue an assessment report is an important mechanism improvement measure in the enterprise compliance pilot.However,there are also problems worthy of attention in practice.The extraterritorial third-party supervision system has reference significance for improving the third-party supervision system for enterprise compliance in China,in terms of the setting of supervisor qualifications,the regulatory authority's supervision operation procedures,the regulator's independence,the regulatory regulator's policies and funding guarantees,and the impact of regulatory assessment opinions on government decision-making.The path for improving the third-party regulatory system for enterprise compliance in China should include legally clarifying the legal status of third-party regulatory authorities,the composition,membership,professional ability of members,and other moral qualities of third-party regulatory bodies,legally protecting the independence of regulatory personnel's regulatory conduct,serious treatment of the legal effect of regulatory assessment opinions.Additionally,legislation should flexibly extend the regulatory inspection period of regulatory authorities.