企业行政合规强制的反思与完善——以元规制为优化思路

Reflection and Improvement of Enterprise Administrative Compliance Compulsion:Take Meta-regulation as the Optimization Idea

行政合规强制作为推动企业合规管理最有力的方式,在证券监管、网络数据等领域已初步建立并适用,呈现出压力性、监管性等实践特征。但处于初建阶段的行政合规强制机制,具有碎片化、分散化的特点,存在重监管轻激励,合规与激励联系被切断的问题,违背了合规理念,有自我规制异化为行政监管之嫌。在引入与合规存在相同秩序理念的元规制作为优化思路后,可通过强化规范供给,构建外部合规规范架构,实现行政合规强制中监管与激励的再平衡。此外,通过元规制倡导的合作规制,减轻行政监管负担的同时保障行政合规强制中自我规制权的有效行使,在行政机关与企业的合作规制中实现规制目标。

As the most powerful way to promote enterprise compliance management,administrative compliance compulsion has been preliminarily established and applied in the fields of securities supervision and network data,and has shown the characteristics of pressure and supervision.However,as the administrative compliance enforcement mechanism is still in the initial stage of construction,it has the characteristics of fragmentation and decentralization,leading to the problems of emphasizing supervision over incentive,and cutting off the connection between compliance and incentive.And there is a violation of the concept of compliance,the alienation of self-regulation into administrative supervision.After the introduction of meta-regulation,which has the same order concept as compliance,as an optimization idea,an external compliance framework can be constructed by strengthening the supply of regulations to achieve the rebalancing of supervision and incentive in the enforcement of administrative compliance.In addition,through the cooperative regulation advocated by the meta-regulation,the burden of administrative supervision is reduced while the effective exercise of the right of self-regulation in the enforcement of administrative compliance is guaranteed,and the regulatory goals are achieved in the cooperative regulation between administrative organs and enterprises.