合规科技在企业整改中的价值与实现路径  

The Value and Realization Path of Compliance Technology in Enterprise Rectification

作　　者：马明亮[1] MA Ming-liang(School of Investigation,People's Public Security University of China,Beijing 100038,China)

机构地区：[1]中国人民公安大学侦查学院,北京100038

出　　处：《苏州大学学报（哲学社会科学版）》2022年第4期60-70,共11页Journal of Soochow University(Philosophy & Social Science Edition)

基　　金：国家社会科学基金项目“认罪认罚从宽制度中的协议破裂与程序反转研究”(项目编号:18BFX074)的阶段性成果。

摘　　要：以数据为驱动力,以数字技术为依托,以提高合规和监管效率为价值导向,以标准化、数字化、智能化为特征的解决方案都可以称为合规科技。目前,合规科技在大中型企业与科技类企业的日常管理中已经普遍适用,但在合规整改中鲜有提及。这有悖于数字经济时代的需求,也是影响整改质效的重要因素。在企业数字化转型的背景下,合规整改面临诸多新的挑战:企业合规整改成本的攀升;监管部门与合规人员获取企业数据与信息的困难加剧,并因此影响风险评估的科学性与有效性;执法机关在跨地域、跨部门的企业整改中难以实现信息共享与监管协同;合规监管公开性与商业秘密、个人隐私、数据安全保护之间的矛盾升级。合规科技融入企业整改可以有效地缓解上述压力。当然,企业整改中的合规科技应用不能一刀切式的武断推进,应当设定科学的目标、合理的推进思路与方案,同时考虑到科技风险,必须同步构建技术规则治理体系。如此,“通过设计实现合规”的蓝图才能实现,不至于在追求合规的道路上埋下不合规的隐患。Data-driven,digital technology-based and value-driven solutions that improve compliance and regulatory efficiency and are characterized by standardization,digitization and intelligence can all be called compliance technology.At present,compliance technology has been widely used in the daily management of large and medium-sized enterprises and technology enterprises,but it is rarely mentioned in compliance rectification.This is contrary to the needs of the digital economy era,and is also an important factor affecting the quality and efficiency of rectification.From a practical point of view,in the context of digital transformation of enterprises,compliance rectification faces many new challenges:the rising cost of corporate compliance rectification,the intensified difficulties for regulators,and compliance personnel to obtain corporate data and information,which affects risk assessment.It is scientific and effective for law enforcement agencies to achieve information sharing and supervision coordination in cross-regional and cross-departmental corporate rectification;the contradiction between the openness of compliance supervision and the protection of business secrets,personal privacy,and data security has escalated.The integration of compliance technology into enterprise rectification can effectively alleviate the above pressure.Of course,the application of compliant technology in corporate rectification cannot be promoted arbitrarily across the board.Scientific goals,reasonable promotion ideas and plans should be set,and at the same time,considering technological risks,a technical rule governance system must be built simultaneously.In this way,the blueprint of“compliance by design”can be realized,and the potential for non-compliance will not be sown on the road to compliance.

关 键 词：企业合规整改 无效合规 合规科技 人力驱动 数据驱动 

分 类 号：D925[政治法律—诉讼法学]