涉案企业合规第三方机制的规范化研究——以激活和发掘管委会职能为视角

Normalized Research on the Third-Party Mechanism for the Corporations Involved in the Case——From the Perspective of Activating and Exploring the Functions of the Third-Party Organization Management Committee

在解决合规监管难题方面,我国检察机关探索与行政机关、团体组织等多方力量合作,建立了涉案企业合规第三方机制。作为一项本土化的制度安排,第三方机制虽对弥补检察机关自身监督和指导企业实现有效合规经验上的不足,防止“虚假整改”“纸面合规”,进而提升改革的权威性和透明度等发挥了积极作用,但其在运行中也出现了诸如第三方组织的选任、履职等需要进一步规范的问题。这些问题的发生,与作为议事协调机构的第三方机制管委会的职能作用发挥不到位有着直接的关系。为实现第三方机制的规范化运行,确保改革取得更好的治理效果,不仅需要激活和发掘第三方机制管委会在选任管理、履职监督、腐败防范、刑行衔接等方面的职能作用,也需要为第三方机制管委会履职提供必需的人力、财力、物力等条件保障。

In terms of solving compliance supervision problems,Chinese procuratorial organ have explored cooperation with administrative agencies,groups and other parties,and established a third-party mechanism for the corporations involved in the case.As a localized institutional arrangement,the thirdparty mechanism can make up for the procuratorial organs'own lack of experience in supervising and guiding corporations to achieve effective compliance,prevent“false rectification”and“compliance on paper only”,and thereby enhance the authority and transparency of the corporate compliance reform.But issues such as the selection and performance of third-party organizations have also arisen during the implement of the corporate compliance reform which require further regulation.The occurrence of these problems is directly related to the failure of the Third-party Organization Management committee,as the deliberative and coordinating body,to fulfll its functions.In order to realize the normalized operation of the third-party mechanism and ensure that the reform achieves better governance results,it is not only necessary to activate and explore the functional role of the third-party organization management committee in terms of selection management,duty performance supervision,corruption prevention,and criminal execution connection,but also it is necessary to provide indispensable manpower resource,financial,material and other conditions for the third-party organization management committee to perform its duties.