民营企业合规激励的方式、困境与出路

The Paths,Challenges,and Solutions of Compliance Incentives for Private Enterprises

近年来,企业合规改革在全国如火如荼地展开,但相关研究对其中的民营企业合规治理这一专门问题缺乏必要的关注。民营企业从事合规经营有利于企业实现治理法治化和国际化,也有助于政府实现有效监管,还能够帮助建设清廉法治营商环境。为激励民营企业参与合规,目前实践中主要采用给予涉案企业合规宽宥、为部分企业设置合规义务、对积极落实合规的企业给予奖励、引导其余企业防范风险四种方式。但是,当前激励民营企业参与合规仍然存在相关部门之间未形成合力、相关法律法规缺失、相关配套机制不成熟等问题,未来应当通过建立多元激励体系、完善相关法律法规和配套制度等方式进行应对。

In recent years,corporate compliance reforms have been fully launched in China,but relevant research lacks the necessary concerns about the specific issues of private enterprises.Private enterprises engage in compliance operations,which is conducive to enterprises to achieve legalization and internationalization,but also help the government to effectively carry out supervision responsibilities,and help build an integrity to rule business environment.In order to motivate private enterprises to participate in compliance,the current practice is mainly used to give relevant corporate compliance forgiveness,set compliance obligations for some enterprises,give a reward for active implementation of compliance,and guide the rest of the enterprise to prevent risks.However,there are still a lot of problems in the current incentive private enterprises,such as insufficient cooperation between relevant departments,the lack of relevant laws and regulations,the relevant support mechanism is not mature.In the future,in the field of private enterprise compliance,a multi-energistic system should be established,improve relevant laws,regulations and support systems.