数据交易动态合规:理论框架、范式创新与实践探索  

Dynamic Compliance in Data Exchange:Theoretical Framework,Paradigm Innovation,and Practical Exploration

作　　者：王青兰 王喆[2] WANG Qing-lan;WANG Zhe

机构地区：[1]深圳数据交易所合规部 [2]国家发展和改革委员会经济体制与管理研究所研究室

出　　处：《改革》2023年第8期42-53,共12页Reform

基　　金：国家发展和改革委员会体制改革综合司专项项目“要素市场交易平台建设研究”。

摘　　要：当前,我国数据交易市场面临场内交易合规成本高的入场难、场外黑灰产盛行的监管难以及国际数据合规话语权缺失的作为难等痛点。基于此,提出一个数据交易动态合规理论模型,在严守合规底线和不降低合规要求的前提下,通过“标准”“合规师”“信用”“人工智能”等要素进行范式创新,可以实现对变量“合规灵活程度”的调节,从而满足动态合规的要求,获得合规体系建设的最优解。通过深圳数据交易所的改革探索与前沿实践,将理论模型应用于现实世界,进一步论证了该模型的合理性与有效性。Currently,China's data trading market faces several challenges,including the high compliance costs for exchange-traded data transactions,difficulties in regulating data transactions that occur outside of state-run data exchange centers,and limited international influence in shaping data compliance standards.In light of these challenges,this paper puts forth a theoretical model for dynamic compliance in data trading.We believe that by strictly adhering to compliance requirements and innovating using standards,compliance officers,credit,and AI,it is possible to adjust the degree of compliance flexibility and achieve dynamic compliance.This approach can lead to an optimal solution for constructing a compliance system that meets evolving requirements.Through comprehensive reform and cutting-edge practices at Shenzhen Data Exchange,we have applied our theoretical model to real-world scenarios,further demonstrating its rationality and effectiveness.This successful application highlights the significance of our research and its potential to influence practical implementations of compliance systems in the broader industry.

关 键 词：数据交易 动态合规 数据合规师 信用机制 人工智能 

分 类 号：F49[经济管理—产业经济]