中国企业合规管理政策的演进逻辑——基于间断均衡理论的分析

The Evolutionary Logic of Compliance Management Policies for Chinese Enterprises—An Analysis Based on Punctuated Equilibrium Theory

当前关于我国企业合规管理政策的讨论,主要集中在政策的梳理以及特点的提炼,在政策的演进逻辑上缺乏有力阐述。从间断均衡的理论视域分析,我国企业合规管理政策历经四个均衡期和三个间断期,政策图景历经“公有制建设—重建市场经济—行业合规—全面合规”的转变,政策场域由中央政府向多元参与转变,呈现出非线性变革的演变特征。在此过程中,中央政府注意力、地方政府响应策略、焦点事件和社会力量是影响政策变迁的主要因素,也使得我国企业合规管理政策面临高度依赖中央政府注意力推动、地方政府选择性应对和社会力量参与有限等问题。我国企业合规管理政策要进一步完善发展,应该凝聚央地政府共识,大力推动政策图景从监督问责转变为赋能发展,重视市场主体在政策变革中的声音。

The current discussion on compliance management policies for Chinese enterprises mainly focuses on the sorting out of policies and the refinement of their characteristics,and lacks a strong elabo-ration on the logic of the policy evolution.In the perspective of punctuated equilibrium theory,Chinese enterprise compliance management policies have gone through four equilibrium periods and three intermit-tent periods,with the policy landscape undergoing the transformation of"public ownership construction-reconstruction of the market economy-industry compliance-comprehensive compliance".The policy field has changed from the central government to diversified participation,showing the evolution of non-linear change.In this process,the central government attention,local government response strategies,focal events and social forces are the main factors influencing the policy change.These factors have also led to challenges for compliance management policies,such as a heavy reliance on central government at-tention,selective responses from local governments,and limited participation from social forces.To fur-ther improve the development of Chinese enterprise compliance management policies,it is necessary to build consensus between the central and local governments,vigorously promote the transformation of the policy landscape from supervision and accountability to empowerment and development,and emphasize the voices of market players in policy changes.