企业合规的本土化演变——从企业刑事合规到企业“大合规”体系  

The Localized Evolution of Corporate Compliance——From “Corporate Criminal Compliance Program” to “Corporate Grand Compliance System”

作　　者：毛玲玲[1] MAO Lingling

机构地区：[1]华东政法大学刑事法学院

出　　处：《上海政法学院学报（法治论丛）》2023年第2期86-102,共17页Journal of Shanghai University of Political Science & Law(The Rule of Law Forum)

基　　金：华东政法大学、浙江省温岭市人民检察院2022年度联合课题“刑事合规研究”项目的阶段性成果,项目编号:D-6901-21-207

摘　　要：企业刑事合规制度从理论层面发端于移植或借鉴美国“企业守法计划”等域外经验,早期以“合规不起诉”为内容,但从制度理念和目标的角度来看,作为新时期社会治理创新的内容,显然并不能止步于此,而是演变为对建构符合本国国情的企业“大合规”体系的探索。企业“大合规”体系的价值包括:从新型社会治理角度,是出于预判式防范法律风险和预防犯罪的目的;从企业营商环境的角度,是以回应式治理,整合多方共治优化营商环境;从企业经营发展角度,是企业以管理风险的方式主动有效地防控法律风险。从刑事合规到企业“大合规”体系本土化演变的探索包括以下内容:适用范围从以大型企业为范本到我国以中小微企业为主的实践转向;适用机制从刑案处置的“轻罪不起诉”或“认罪认罚”到构建全程回应型规制和执法机制;适用主体的作用从牵头、负责合规工作到组织、协调合规各方力量;适用目标从“形式”合规到“有效”合规。The corporate criminal compliance program originated from the theoretical level of transplanting or borrowing from the“corporate compliance”in the United States and other country,but from the perspective of institutional concepts and goals,as the content of social governance innovation in the new era,it is more than that for the corporate criminal compliance program to evolve into an exploration of building a“grand compliance system”for enterprises that suits our national conditions.The value of the enterprise’s“grand compliance”system includes:from the perspective of new social governance,to prevent legal risks and crimes in a predictive manner;from the perspective of the business environment of enterprises,to integrate multi-party governance and optimize business environment by responsive governance;from the perspective of enterprise operation and development,to actively and effectively prevent and control legal risks by enterprises through risks management.The exploration of the evolution from“criminal compliance”to the localization of the enterprise’s“grand compliance”system includes the following contents:the scope of application shifting from taking large-scale enterprises as a model to focus on the practice of small,medium and micro enterprises in China;the applicable mechanism changing from criminal cases disposed as“no prosecution for misdemeanors”or“confession of guilt and punishment”to construction of a whole-process responsive regulation and law enforcement mechanism;the role of the applicable subject ranging from taking the lead and being responsible for compliance work to organizing and coordinating the forces of all parties involved in compliance;and applicable objectives from“formative”compliance to“effective”compliance.

关 键 词：企业刑事合规 企业大合规体系 社会治理创新 

分 类 号：DF613[政治法律—刑法学]