论企业合规在行政监管机制中的地位  

The Position of the Enterprise Compliance in the Administrative Supervision Mechanism

作　　者：陈瑞华[1] Chen Ruihua

机构地区：[1]北京大学法学院

出　　处：《上海政法学院学报（法治论丛）》2021年第6期1-20,共20页Journal of Shanghai University of Political Science & Law(The Rule of Law Forum)

摘　　要：我国行政机关在行政监管过程中引入了企业合规机制,通过发布合规指引、推行行政指导、实施强制合规、确立预防性监管方式、建立合规宽大处理机制以及试行行政和解制度等方式,来推动行政监管合规机制的实施。目前,行政监管部门对于监管合规机制的探索还在进行之中。如何发挥现有行政监管合规机制的积极作用,强化企业的合规管理义务和责任,加强企业合规的行政激励效果,将是行政法律发展面临的重大课题。The administrative organs in our country have introduced the enterprise compliance mechanism into the proceedings of administrative supervision to improve the implement of the administrative supervision compliance mechanism, through issuing the compliance guidance, carrying out the administrative instruction, implementing the mandatory compliance, establishing the preventive supervision manner,constructing the compliance leniency mechanism, and testing the system of administrative reconciliation. So far, the explore of the supervision compliance mechanism by the administrative organs is still under way,and how to play a positive role of the current administrative supervision compliance mechanism, how to strengthen the compliance supervision duty and responsibility of the enterprises, and how to reinforce the administrative incentive effects of the enterprise compliance, are the important projects in the development of the administrative law.

关 键 词：企业合规 行政指导 强制合规 预防性监管方式 行政和解 

分 类 号：D411.91[政治法律—政治学]