企业境外上市数据安全风险的预防性治理  

On the Preventive Governance of Data Security Risk of Overseas Listing of Enterprises

作　　者：曹泮天 袁瑞璟[1] CAO Pan-tian;YUAN Rui-jing(China Financial Rule of Law Research Center,Southwest University of Political Science&Law,Chongqing 401120,China;Economic Law School,Southwest University of Political Science&Law,Chongqing 401120,China)

机构地区：[1]西南政法大学中国金融法治研究中心,重庆401120 [2]西南政法大学经济法学院,重庆401120

出　　处：《河北学刊》2023年第3期203-210,共8页Hebei Academic Journal

基　　金：2020年度科技部国家重点研发计划项目“多元矛盾纠纷调解关键技术及应用示范研究”(2020YFC0833404)。

摘　　要：企业境外上市场域中存在国家权力与企业权力、一国主权与他国主权、经济私益与社会公益之间的三重非传统利益冲突,也产生了跨境数据安全风险。而现行治理则面临着依据有失科学、体系尚不健全、层次结构失衡的困境。中国急需摆脱对“违法—规制”的救济性监管模式的路径依赖,以“守法—激励”的预防性治理作为风险应对新路。通过明确数据分类和风险分级制度,构建内部协调和外部协同的多元治理体系,塑造政府高效监测预警、企业规范自我管理的合作博弈生态,强化正当和差异的包容性事前审查,变单向度提高违法成本的惩罚机制为降低企业守法成本、提高企业守法收益的双向激励机制,实现数据安全风险的预防性治理,为企业境外上市提供有力保障。The three unconventional conflicts of interests between state power and enterprise power,sovereignty of one country and others,and personal profit and social welfare during the companies’overseas listing produce cross-border data security risks.However,the current governance is faced with the difficulties of unscientific basis,imperfect system,and unbalanced hierarchy structure.China urgently needs to get rid of the path dependence on the supervision mode of“law-breaking-regulation”and take the preventive governance of“law-abiding-incentive”as a new way to deal with risks.By defining data classification and risk rating system,building internal coordination and external synergy of multiple governance system,shaping the ecosystem of cooperative game between the effective monitoring and early warning government and the normative self-management enterprise,strengthening the legitimacy and differentiation of inclusive prior review,to change uniaxially raising the cost of illegal punishment mechanism into bilateral incentive mechanism of reducing compliance costs of enterprises improving business law-abiding earnings.Then finally realize the preventive management of data security risks and provide a strong guarantee for the overseas listing of enterprises.

关 键 词：境外上市 数据出境 跨境数据安全风险 风险预防性治理 

分 类 号：D922.29[政治法律—经济法学]