企业行政合规的制度定位及其构建路径

The Institution of Corporate Administrative Compliance:Positioning and Approach

随着我国涉案企业合规改革的推进,企业合规逐渐渗入到行政监管领域而成为一种不依附于刑事合规或行政处罚的新型行政监管模式。相对于传统高权行政监管模式而言,经由自主建构的企业行政合规能够有效提升规制效能、填补规范疏失空白和应对全新规制挑战。为更好发挥企业行政合规的制度功能,应以激励机制为核心,在激励制约相融、保障企业自主、差异区分建构等要点的指引下构建企业行政合规的多层次协同激励结构。结合这种层次性激励结构,在企业行政合规的制度构建上则应遵循从柔性激励到刚性激励的路径稳步推进,并通过健全裁量基准重点实现事前合规激励和事后合规从宽制度的构建。

As corporate compliance reform in China progresses,compliance is increasingly becom-ing intertwined with administrative oversight,giving rise to a new regulatory model that is independent of criminal compliance or administrative penalties.Through self-initiated efforts,corporate administrative compliance can address the shortcomings of traditional high-powered administrative supervision,boost regulatory effectiveness,address regulatory gaps,and tackle emerging regulatory challenges.To fully har-ness the institutional capabilities of corporate administrative compliance,a multi-tiered coordinated in-centive system should be established,with incentives at its core,guided by key principles such as align-ing incentives with constraints,preserving corporate autonomy,and tailoring differences to the system.Regarding institutional development,corporate administrative compliance should adopt a tiered incentive framework,transitioning from flexible incentives to more stringent ones,with a focus on promoting pre-ventive compliance and remedial compliance through the establishment of robust discretionary standards.