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论企业合规的行政监管机制建构

On the Construction of Administrative Supervision Mechanism of Enterprise Compliance

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在中国经济由高速发展到高质量发展的转型期,促进企业高质量发展是服务国家发展战略目标要求,为避免企业"一罚就死"现象发生,企业违规治理方式也应转变.其中企业合规引入到行政监管中,以企业合规换取宽大处理实为一种激励制度.这一制度落实即通过"事前"指导企业建立合规机制预防风险、"事后"推动企业合规整改为企业"出罪".行政机关在推动企业完善合规体系过程中需要通过明确界定行为人责任、减免行政责任激励企业合规建设;通过健全行政指导、和解等执法方式使行政机关"执法有据";通过完善第三方监管机制加强对企业事后监管.
In China's economy from high-speed development to high-quality development of the transition period,to promote the high-quality development of enterprises is to serve the requirements of the national development strategy,in order to avoid the phenomenon of enterprise"a penalty for death",the enterprise violation of the governance should also change.The enterprise compliance introduced into the administrative supervision,enterprise compliance in exchange for leniency is a kind of incentive system.The implementation of this system is to guide enterprises to establish a compliance mechanism to prevent risks"in advance"and promote compliance rectification for enterprises"after the event".In the process of promoting enterprises to improve the compliance system,administrative organs need to clearly define the responsibility of the doer and reduce the administrative responsibility to encourage the compliance construction of enterprises.Through improving administrative guidance,reconciliation and other law enforcement methods to make administrative organs"law enforcement evidence";Strengthen the supervision of enterprises after the event by improving the third-party supervision mechanism.

enterprise complianceincentive systemprevent riskscompliance rectificationthird-party supervision mechanism

卢建城、王红建

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郑州大学,河南郑州 450001

企业合规 激励制度 预防风险 合规整改 第三方监管机制

国家社会科学基金后期资助项目

23FFXB005

2024

河南司法警官职业学院学报
河南司法警官职业学院

河南司法警官职业学院学报

影响因子:0.203
ISSN:1672-2663
年,卷(期):2024.22(1)
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