第三方机制专业人员查阅权的边界探讨与规范建构  

Discussion on the Boundaries and System Construction of Third-party Mechanism Professionals'Inspection Rights

作　　者：胡裕岭[1] 穆书绎 Hu Yuling;Mu Shuyi(East China University of Political Science and Law,Shanghai 201620)

机构地区：[1]华东政法大学,上海201620

出　　处：《安徽警官职业学院学报》2023年第5期14-20,共7页Journal of Anhui Vocational College of Police Officers

基　　金：国家社科基金重大项目“网络时代的社会治理与刑法体系的理论创新”(项目编号:20&ZD199);华东政法大学科学研究项目“科学证据技术标准与采信规则的规范统一研究”(项目编号:202107)。

摘　　要：查阅相关文件资料是第三方机制专业人员开展合规有效性评价的重要基础,但现行法规和规范性文件对查阅权的规定有较大差异,既未厘清其性质,又没有阐明获取文件资料的方式,还存在查阅范围过于宽泛、查阅的时间和地点未作规定等问题。因此,从企业合规规范性探索视角出发,应当明确第三方机制专业人员享有通过查阅、摘抄、复制、调查、审计等方式获取相关文件资料的权利;应当细化查阅规定,划定查阅权的边界,以充分发挥第三方机制的监督评估作用,实现涉案企业合规整改的有效性评价;行使查阅权的范围、时间与地点应遵循相称性原则,促成第三方机制专业人员的职权行使和企业权益保护之间的平衡。Reviewing relevant documents and materials is a paramount foundation for third-party mechanism professionals to conduct the evaluations of compliance effectiveness.However,there are significant differences in the provisions of current regulations and normative documents in regard to inspection rights,which have not defined its nature or clarified methods of accessing to documents and materials.Not only that,they are faced with issues that overly expanding the object scope of inspection rights and lacking regulations of the time and location for review.Hence,from the perspective of empirical research on company compliance,it is recommended to pinpoint that the third-party mechanism professionals shall be entitled to access relevant documents and materials through reviewing,excerpting,duplicating,investigating,auditing and other means.It is also supposed to refine existing systems of inspection rights and delimit the boundaries to bring into full play the supervisory and evaluative role of third-party mechanism,and achieve the effectiveness evaluation of compliance rectification.Besides,the scope,time and location of exercising inspection rights should adhere to the principle of proportionality to promote a balance between the exercise of thirdparty mechanism professionals’authority and the protection for enterprise rights and interests.

关 键 词：企业合规 第三方机制 查阅权 相称性原则 

分 类 号：D922.291.91[政治法律—经济法学]