论中国式现代化法治国家的企业合规改革模式  

On the Mode of Corporate Compliance Reform in a Chinese Path to Modernization under the Rule of Law

作　　者：陶朗逍 TAO Lang-xiao(School of Humanities and Social Science,University of Science and Technology Beijing,Beijing 100083,China)

机构地区：[1]北京科技大学文法学院,北京100083

出　　处：《上海对外经贸大学学报》2023年第2期48-61,72,共15页Journal of Shanghai University of International Business and Economics

基　　金：司法部法治建设与法学理论研究部级科研项目“企业合规出罪的路径与限度研究”(项目编号:22SFB4014);辽宁省社会科学规划基金项目“辽宁优化营商环境之司法路径研究”(项目编号:L21CFX007)的共同资助,阶段性成果。

摘　　要：在习近平法治思想指引下,我国多个法律领域出现了以推动企业合规为目标的改革探索。经济行政法领域采用合规强制模式实现国家治理现代化,刑事法领域采用合规激励模式完善中国特色司法制度,涉外法领域采用合规引导模式增强我国企业外向经营中的抗风险能力。推动企业建立合规管理制度,能助力形成公私合力的市场监管格局,在涉企案件处理中,以管理结构矫正补充财产处罚的预防功能不足,为协商性的执法机制建设提供保障。为实现党的二十大提出的“以中国式现代化推进中华民族伟大复兴”的使命任务,现阶段需要继续完善以合规激励为核心的法律制度建设,由行刑机关协同制定“证据型”有效合规评价标准,统筹开发合规科技以提升管理效率。Under the guidance of Xi Jinping’ thoughts on the rule of law, there have been reform practices and explorations aimed at promoting corporate compliance in many legal fields in China. The Compulsory Compliance Mode in administrative laws has contributed to the modernization of national governance. The Incentive Compliance Mode in criminal laws has been adopted to providing new ideas for perfecting Chinese justice system. The Guiding Compliance Mode in the field of foreign-related laws benefits in enhancing the external anti-risk ability of domestic corporations in their outward operations. Promoting enterprises to establish compliance management system could foster a public-private cooperated market supervision pattern, mitigate the preventative shortage of property punishment by correcting the management structure, and safeguard the formation of a negotiated law enforcement mechanism. In order to realize the mission of “advancing the rejuvenation of the Chinese nation on all fronts through a Chinese path to modernization” proposed at the 20th National Congress of the Communist Party, it is necessary to continue improving the legal system incentivizing compliance, create “evidence-oriented” effective compliance evaluation standards by administrative and criminal organs together, and develop regtech as a whole to improve management efficiency.

关 键 词：中国式现代化 习近平法治思想 合规激励 合力监管 合规科技 企业合规 

分 类 号：D915.3[政治法律—诉讼法学]