论非强制性行政手段在企业合规管理中的应用  

Application of Non-mandatory Administrative Means in Enterprise Compliance Management

作　　者：周超 Chao Zhou(Law School,Guizhou University,Guiyang,China)

机构地区：[1]贵州大学法学院,贵阳550025

出　　处：《管理科学与研究（中英文版）》2022年第2期5-10,共6页Management Science and Research

摘　　要：合规并不是简单地要求企业依法依规经营,而是通过建立合规管理体系以应对监管,防范公法上的风险。企业合规管理作为一种替代政府监管的自我监管方式,能够有效弥补行政资源的不足,并充分调动企业自我纠错的积极性。在合规监管的过程中,行政指导、行政和解,行政协议等非强制性行政手段的运用,其灵活性,协商性,多元性的特点能够弥补传统监管中的单方强制性行为的不足。但由于缺乏相应的实施细则和配套措施,目前所产生的作用并未彰显,有待进一步完善和发展。Compliance is not simply to require enterprises to operate in accordance with the law,but through the establishment of a compliance management system to deal with supervision,to prevent risks in public law.As an alternative to government supervision,enterprise compliance management can effectively make up for the shortage of administrative resources and fully mobilize the enthusiasm of enterprises to correct their mistakes.In the process of compliance supervision,the use of non-mandatory administrative means such as administrative guidance,administrative settlement and administrative agreement can make up for the lack of unilateral mandatory behavior in traditional supervision.However,due to the lack of corresponding supporting measures,its system is not complete enough,the current role has not been highlighted,to be further improved and developed.

关 键 词：企业合规管理 监管 法律风险 行政行为 非强制性 

分 类 号：D92[政治法律—法学]