合规情报的基本问题研究

Basic Theoretical Questions Concerning Compliance Intelligence

使用透过“名”与“实”分离表象的真实情报行为识别、参加合规管理专题会议调研、案例研究、文献资料研究、专家咨询访谈等方法,围绕合规管理的情报属性、合规管理情报行为与现有情报学分支领域的关系、合规情报的概念与学科发展前景、当前合规情报研究与服务的优先推进领域等问题进行研究。本文认为合规管理属于典型的“情报(intelligence)”行为,合规情报是不同于已有情报学分支领域的新的分支领域和学科方向;提出了合规情报的概念并凝练其含义要点,指出培育合规情报学科方向既有可行性也有必要性,具有重要意义和良好发展前景;指出当前合规情报研究与服务的四个优先推进领域:①合规情报基础理论方法;②合规情报专业人才培养;③合规情报技术工具开发应用;④合规情报的宣传推介。

This study examined the intelligent attributes of compliance management,relationship between the information behavior of compliance management and existing branches of information science,the concept and discipline development prospect of compliance intelligence,and the priority promotion areas of current compliance intelligence research and service.Multi-combination methods including identifying the real information behavior through the separation of“name”and“reality,”participating in special conferences on compliance management,case study,literature research,and expert consultation and interviews were employed.The results indicate that compliance management is a typical“intelligence study”behavior and that compliance intelligence is a new branch of research,different from the existing branch of information science.The concept and key aspects of compliance intelligence were investigated.Notably,cultivating the discipline of compliance intelligence,which is of considerable significance and has good development prospect,is not only feasible but also necessary.Furthermore,the four priority areas of current compliance intelligence research and service are(1)research on basic theoretical methods of compliance intelligence,(2)training of compliance intelligence professionals,(3)development and application of compliance intelligence technology tools,and(4)publicity and promotion of compliance intelligence.