合规制度发展的中国范式及其与商法关系探析

An Exploration of the Chinese Paradigm of Compliance System Development and Its Relationship with Commercial Law

合规制度在美国源起发展及其走向全球的历程总体上可归为一种“公力协助型合规”促进模式。合规制度在中国的发展历程大致可以分为三个阶段,具有外生与内生两个层面的动力,但总体上是由公力主导推动。因此,合规制度发展的中国范式则属于“公力主导型”促进模式。规范性文件中关于合规相关概念及其内涵的界定不断演化,企业合规的性质也可以被解读为治理机制、法律激励和法律业务。公力主导型合规难以完全内嵌于调整平等主体之间关系的商法之中。但合规制度对于商法具有补强功能,主要表现在合规管理可以重塑商法下的分权治理结构,合规义务可以更新商法下的企业人员义务,合规文化可以补强商法下的企业社会责任。

The development of the compliance system in the United States and its globalization can be generally classified as a"public assistance compliance"promotion model.The development of compliance system in China can be roughly divided into three stages,with both exogenous and endogenous dynamics,but generally driven by public power,therefore,the Chinese paradigm of compliance system development belongs to the"public power-led"promotion model.The definition of compliance-related concepts and their connotations in normative documents are constantly evolving,and the nature of corporate compliance can be interpreted as governance mechanisms,legal incentives,and legal operations.It is difficult for the public-driven compliance to be fully embedded in the commercial law,which regulates the relationship between equal subjects.However,the compliance system has a complementary function for commercial law,mainly in that compliance management can pierce the decentralized governance structure under commercial law,compliance obligation can update the obligations of corporate personnel under commercial law,and compliance culture can complement the corporate social responsibility under commercial law.