民营企业合规制度体系构建

Integral Construction of Compliance System for Private Enterprises

企业合规制度的基点在于引导民营企业守法规范经营、促进民营经济高质量发展,效能实现的重点也在民营企业,构建体系化的民营企业合规制度具有重要价值。涉案企业合规改革为建立完整意义的民营企业合规制度体系提供了契机,但存在适用范围不清、制度成效不明、行刑衔接不畅等问题。应当推进民营企业合规制度的四个延伸,从中小民营企业合规向大型民营企业合规延伸,从治理性合规向预防性合规延伸,从行政司法外部合规治理向企业内部合规管理延伸,从刑事合规到行政与刑事一体化合规延伸,形成行刑一体、内外结合、治防兼及、覆盖大中小各类民营企业的民营企业合规制度体系。

The basis of enterprise compliance system is to guide private enterprises to operate in accordance with the law and promote the high-quality development of the private economy.The focus of achieving efficiency is also on private enterprises.Building a systematic compliance system for private enterprises has important value.The reform of corporate compliance in cases provides an opportunity to establish and improve the integral compliance system of private enterprises,but there are problems such as unclear scope of application,unclear system effectiveness,and unsmooth convergence of criminal and administrative enforcement.We should promote four expansions of private enterprise compliance system,from small and medium-sized private enterprise compliance to large private enterprise compliance,from governance compliance to preventive compliance,from external administrative and judicial compliance to internal management compliance,and from criminal compliance to administrative and criminal integrated compliance,to form an integral private enterprise compliance system that combines administration and punishment,internal and external integration,governance and prevention,and covers all kinds of private enterprises.