企业合规中的若干疑难问题  

Some Difficult Problems in the Compliance of Enterprise

作　　者：朱孝清[1] ZHU Xiaoqing

机构地区：[1]中国法学会学术委员会

出　　处：《法治研究》2021年第5期3-17,共15页Research on Rule of Law

摘　　要：企业合规对于促进企业治理和社会治理,促进经济高质量发展和更高水平对外开放,对于全面推进依法治国,都具有重要价值。企业刑事合规与认罪认罚从宽制度是两个既相联系又存在诸多区别的制度。为防止现行办案体制影响企业合规,有关各方应强化系统思维、明确各自职责、建立特别程序、慎用强制性措施。企业合规宜由第三方监督评估,但应规范第三方人员产生的条件和程序,加强对其监管,规范经费来源和流转渠道。企业刑事合规要慎重把握政策,它可适用于各类企业,应贯彻宽严相济政策,既宽大处理企业,又落实从严措施;既依法处理责任人,又对民营企业主要负责人有所区别。Enterprise compliance is of great value for promoting enterprise governance and social governance,promoting high-quality economic development and higher-level opening to the outside world,and comprehensively advancing law-based governance.Enterprise criminal compliance and leniency system of guilty plea and punishment are two systems that are related and have many differences.In order to prevent the current case handling system from affecting enterprise compliance,all parties concerned should strengthen systematic thinking,clarify their respective responsibilities,establish special procedures and carefully use mandatory measures.Enterprise compliance had better be supervised and evaluated by a third party,but the conditions and procedures for the generation of third-party personnel should be standardized,their supervision should be strengthened,and the source of funds and circulation channels should be standardized.The criminal compliance of enterprises should carefully grasp the policy,which can be applied to all kinds of enterprises.The policy of combining leniency with severity should be implemented,both lenient treatment of enterprises and strict measures should be implemented;It not only deals with the responsible persons according to law,but also distinguishes the main responsible persons of private enterprises.

关 键 词：企业合规 特别程序 监督评估人 政策 

分 类 号：D925.2[政治法律—诉讼法学]