大合规体系下企业合规文化的功用及其本土化培育

The Function of Compliances Culture and its Localization under Compliance System

舶来于美国的企业合规理念在本土演化为行政机关主导的行政合规和刑事诉讼中的涉案企业合规的区隔发展格局,并且美国《联邦量刑指南》中对合规文化的青睐并未在本土合规实践中得到应有重视。以价值观念为核心的文化因素,是诱发企业违法犯罪的深层次因素。随着制度移植的深入,实践遭遇“纸面合规”难题,学界越来越呼唤行政合规与刑事合规的耦合发展,在行刑一体的大合规体系中发挥合规文化的濡化作用。合规文化在价值功用上体现为个案中企业有效合规的实质标准,以及宏观上风险社会的一般预防、合作式司法趋势的时代因应、中华优秀传统法律思想的当代表达。

The from the U.S.imported idea,corporate compliance,has been localized as the administrative compliance dominated by administrative authorities,and the compliance of enterprises involved in cases in criminal litigation.In addition,the culture of compliance favoured in U.S.Federal Sentencing Guidelines did not get enough attention which it deserves in local practice.Cultural factors,with values as their core,are the deep-seated factors that induce corporate delinquency.With the deepening of the transplant,the problem of being nominal arises.The cooperative development of administrative compliance and criminal compliance which may has the function of acculturation in the compliance system of the combination of administration and criminal,attracts more and more desires.In terms of value and function,compliance culture is the substantive standard for effective compliance,reflected as the general prevention of risk society,the temporal response to the trend of cooperative justice,and the contemporary expression of excellent traditional Chinese legal thought.