美国企业合规制度的构建:国家监管、强制性自我监管与刑事激励  

The Development of Corporate Compliance System of America:National Regulation,Enforced Self-regulation and Criminal Incentive

作　　者：梁涛 LIANG Tao

机构地区：[1]北京师范大学刑事法律科学研究院,北京100875

出　　处：《政治与法律》2022年第7期83-98,共16页Political Science and Law

摘　　要：企业合规制度发轫于美国,并很快成为全球法律现象。近年来,我国也开启了企业合规的本土化探索。对于刚刚起步的我国企业合规制度建设而言,学习和借鉴美国已经相对成熟的制度很有必要,但从学术界目前的关注点来看,对美国企业合规的规范本身解读比较多,鲜有学者从国家治理逻辑的层面探究美国企业合规制度是如何构建以及如何由个别行业向全行业扩展的。事实上,美国在推进企业合规制度建设过程中同时发挥了国家监管、强制性自我监管与刑事激励三种方式的作用,且每种方式都有其重点关切的对象与行业,三种方式互相配合、互为补充。美国的经验对我国以多种方式推动不同类型企业构建本土化企业合规制度具有重要的借鉴意义。The Corporate compliance system was originated in the United States and has soon become a global legal phenomenon.In recent years,the Chinese government has also started the localization exploration of corporate compliance.For the construction of corporate compliance system of China that has just started,it is necessary to learn and draw lessons from the relatively mature system of the United States.However,it is found from the current focus of Chinese academia that a majority of research is related to explanation and exposition of norms of American corporate compliance and few scholars explore how American corporate compliance system has been established and expanded from individual industries to all industries from the logic of national governance.In fact,the corporate compliance system during its construction in America has played roles of national regulation,enforced self-regulation and criminal incentive,which are respectively targeted at concern objects and industries,and cooperate and supplement each other.The experiences of America are of important reference significance for China to promote different types of enterprises to construct the localized corporate compliance system in a variety of ways.

关 键 词：美国 企业合规 国家监管 强制性自我监管 刑事激励 

分 类 号：D971.2[政治法律—法学] D914