论企业行政合规激励中的信用监管

Credit Supervision as a Basic Means of Motivating Enterprise Administrative Compliance

目前有关企业行政合规的讨论与实践尚处于起步阶段。从市场秩序的根本任务视角看,企业行政合规的内容和逻辑均致力于回应市场主体遵法守纪这一根本性市场治理任务,它是市场秩序的基础性存在。因此,激励企业产生合规自律就是企业合规治理的终极目标。在信用工具被作为市场治理基础性着力点的大市场监管背景下,企业行政合规把为企业减负作为逻辑出发点,将市场信用监管镶入企业行政合规激励便不仅必要而且可行。信用经济的本质,以及信用工具的监管资源整合力和统制力,决定了市场信用监管成为企业行政合规激励的基础性手段。从企业行政合规清单制和合规承诺制入手,以企业行政合规信用评价为控制机制,建立起以行政处罚减免和“其他信用激励”措施为支撑的企业行政合规信用激励机制,可以成为一种基本的机制建构模式与进路。

At present,the discussion and practice of enterprise administrative compliance is still in its infancy.From the perspective of the fundamental task of market order,the content and logic of enterprise administrative compliance are committed to responding to the fundamental task of market governance,which is the basic existence of market order.Therefore,the ultimate goal of corporate compliance governance is to motivate enterprises to generate compliance self-discipline.Under the background of large market regulation where credit instruments are regarded as the basic focus of market governance,it is not only necessary and feasible to insert market credit regulation into the incentive of enterprise administrative compliance based on the logic of reducing the burden of enterprises.The essence of credit economy,as well as the integration of supervisory resources and controlling power of credit tools,determines that the market credit supervision becomes the basic means of motivating enterprise administrative compliance.Starting from the enterprise administrative compliance declaration system and compliance commitment system,and taking the enterprise administrative compliance credit evaluation as the control mechanism,we can establish an enterprise administrative compliance credit incentive mechanism supported by administrative penalty remission and"other credit incentive"measures,which will become a basic mechanism construction mode and approach.