强制与选择:涉案企业合规整改边界之厘定——公私法规范融贯的视角  

Determining the Boundaries between Obligatory and Optional Compliance Modifications in Enterprises Involved in Litigation-An Integrated View of Public and Private Law Interplay

作　　者：张斌[1] 张楠 ZHANG Bin;ZHANG Nan(Law School,Sichuan University,Chengdu,Sichuan,610207)

机构地区：[1]四川大学法学院,四川成都610207

出　　处：《成都大学学报（社会科学版）》2024年第3期92-104,共13页Journal of Chengdu University (Social Sciences)

摘　　要：专项合规与全面合规适用模糊、司法监督与企业自治边界冲突,二者均反映出涉案企业合规整改的边界具有模糊性。平衡企业合规与企业自治需要从公私法规范融贯的视角出发,划定涉案企业合规整改的边界。厘定边界的法理依据在于涉案企业合规的理论涵摄范围与企业自治规范的法定框架限定。明确企业事务控制权的配置、企业经营业务的范围、企业自治规范的制定应当属于涉案企业合规整改选择性事项,赋予企业就该类事项提出异议的权利。The indeterminacy of the application between specific and comprehensive compliance,along with the conflicts between judicial oversight and corporate self-governance,both exemplify the inherent ambiguity of the boundaries in the compliance modifications for companies implicated in legal cases.To strike a balance between corporate compliance and autonomy,it is necessary to take an integrated perspective of public and private legal norms to demarcate these boundaries.The jurisprudential basis for defining these boundaries lies in the theoretical domain of implicated corporate compliance and the legally-defined framework of corporate self-governance.It should be clarified that the allocation of corporate governance,the scope of business operations,and the establishment of corporate self-governance norms should be considered as optional elements in the compliance modification process for companies involved in legal cases.This affords these companies the right to contest these matters.

关 键 词：企业合规 公司自治 边界厘定 选择性事项 

分 类 号：D925.2[政治法律—诉讼法学]