合规监管能改进企业合规吗?  

Can Corporate Monitorships Improve Corporate Compliance?

作　　者：  李勇(译) 张英姿(译) Cristie Ford;David Hess;LI Yong;ZHANG Yingzi

机构地区：[1]英属哥伦比亚大学法学院 [2]密歇根大学斯蒂芬·M.罗斯商学院 [3]南京市人民检察院法律政策研究室 [4]南京市人民检察院第六检察部

出　　处：《上海政法学院学报（法治论丛）》2024年第1期133-160,共28页Journal of Shanghai University of Political Science & Law(The Rule of Law Forum)

摘　　要：合规监管员作为企业合规暂缓起诉协议(DPA)的一部分,其功能在于确保合规计划得到有效实施。基于对合规监管员的访谈和调查,结果表明现有的合规监管员机制远没有官方声明的那么卓有成效。为此,对合规监管员制度进行改革,应当将监管员纳入暂缓起诉协议中,对其职责等进行具体规定;监管员的选任应更加注重经验、能力和可信度,政府必须参与甄选过程。企业合规监管存在的问题与其说是不负责任的监管员对公司的肆意妄为,倒不如说是监管员没有深入了解公司的文化。合规监管不能仅仅监管技术性合规,而是要注重改造企业文化。为了确保持久的合规,监管的目标应当瞄准将合规计划融入公司的运营结构和企业文化之中,以此为基础建构更加雄心勃勃、更加持续成功的合规监管。As part of the Deferred Prosecution Agreement(DPA),the compliance monitor's function is to ensure the effective implementation of the compliance program.Interviews and surveys with compliance monitors reveal that the current compliance monitoring mechanism is far less effective than official claims.Therefore,the compliance monitor system should be reformed.The monitor should be included in the DPA and its responsibilities should be specified.The selection of the monitor should pay more attention to experience,ability and credibility,and the government must participate in the selection process.The problem of compliance monitoring is not so much the wanton behavior of irresponsible monitors towards companies,but rather the failure of the monitor to deeply understand the company's culture.Compliance monitoring should not only monitor technical compliance,but also focus on transforming the corporate culture.To ensure enduring compliance,the goal of monitoring should be to integrate the compliance program into the company's operational structure and corporate culture,and to build a more ambitious and consistently successful compliance program.

关 键 词：合规监管员 企业合规 企业文化 

分 类 号：D915.3[政治法律—诉讼法学]