从双重管理到合规性监管——全面深化改革时代行业协会商会监管体制的重构  

From the Dual Management to the Rule-based Regulation:The Rebuilding of the Regulation System for Business Associations during the Era of Comprehensively Deepening Reform in China

作　　者：郁建兴[1] 沈永东[1] 周俊[2] 

机构地区：[1]浙江大学公共管理学院,浙江杭州310058 [2]华东师范大学公共管理学院,上海200062

出　　处：《浙江大学学报（人文社会科学版）》2014年第4期107-116,共10页Journal of Zhejiang University:Humanities and Social Sciences

基　　金：国家社会科学基金重大招标项目(13&ZD040);国家自然科学基金项目(70673089)

摘　　要：在双重管理体制时代,行业协会商会监管体制以事前监管为重心,行业协会商会需要通过民政部门和业务主管单位双重审核方能建立,但较为忽视事中、事后监管。双重管理体制的突破为行业协会商会发展提供了契机,但"破"并不等于"立",行业协会商会的监管面临着前所未有的挑战。基于当前我国全面深化改革的新形势与国外行业协会商会的监管经验,我国行业协会商会监管的基本思路是建立合规性监管体制。通过建立合理的监管法律法规与制度规范,实现监管重心由事前监管向事中监管和事后监管转移;重视税收、财务审计、互益性资产保护、非市场行为约束等监管;发挥行业协会商会自我监管和社会监管的作用,实现监管主体的多元化和监管方式的多样化。The Third Plenary Session of 18th CCP Central Committee restarts the reform agenda, which indicates that China enters the era of comprehensively deepening reform. It is the market that will dominate the resource allocation in China. As the third sector, business associations play a significant role of market-supporting and mar the regulation system of business associations will be reform in China. The business associations＇ regulation system has ket-complementing. Therefore, rebuilding the key issue of comprehensively deepening been featured in the dual management for a long time in China. During the era of the dual management system, the regulation system of business associations mainly focuses on ex-ante regulation, however process regulation and post-regulation has been ignored. The government sets a high standard for business associations＇ registration with dual check from both the Civil Affairs Department and affiliated departments. The development of business associations meets opportunities with the dissolution of dual management system, while facing unprecedented challenges as well. Based on the experience of business associations＇ regulation abroad and the advancement of comprehensively deepening reform in China, the regulation system of business associations should be rebuilt. This paper develops a concept of ＂rule-based regulation,＂ which means both business associations and regulatory body should behave under the framework of laws and regulations. The core dimensions of ＂rule-based regulation＂ include laws and regulations which are the premise of ＂rule-based regulation,＂ regulatory body consisting of the government and other individuals/ organizations, regulatory process focusing more on the process regulation and post-regulation, and regulatory content. ＂Rule-based regulation＂ overcomes the disadvantages of the dual management, such as administration intervention and monitoring control. Compared with the dual management, ＂rule-based regulation＂ has more diverse regulatory

关 键 词：全面深化改革 行业协会商会 监管体制 双重管理 合规性监管 

分 类 号：F203[经济管理—国民经济] D922.181[政治法律—宪法学与行政法学]