首页|企业合规制度的建构逻辑:内力、外力与引力

企业合规制度的建构逻辑:内力、外力与引力

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企业合规的制度建设,发轫于企业内部的合规自治理需求,与此同时,企业外部法律责任的威慑力和市场声誉机制的约束持续向内部传动,不断改善企业治理方式和结构,增进企业合规治理的能动性.为克制企业内部自治无力与外部规制失焦形成的双向盲打和制度真空,国家务应提供规范化的制度导引,将内部合规治理的 自治型制度融入国家对企业行为的规范制度体系,促成企业 自治和法律规制的持续性互动以融合共治,制度化引导企业行为合规.由是,合规制度的完善重点在于:一是实体法上持续优化企业法律责任体系,程序法上继续完善刑事诉讼法、行政处罚法等以提供强规范;二是正确认识公司法的企业合规引导功能,从而在公司法体系内对企业提供内生性、整体性的软指引.
The Construction Logic of Corporate Compliance System:Internal Motivation,External Pressure and Institutional Gravityn
The institutional construction of corporate compliance starts from the internal compliance self-governance needs of enterprises.At the same time,the deterrence of corporate external legal responsibility and the pressure of market mechanism continue to drive to the internal of enterprises,constantly improve the mode and structure of corporate governance,and enhance the initiative of corporate compliance governance.In order to restrain the two-way blind attack and institutional vacuum caused by the lack of internal autonomy of enterprises and the loss of focus of external regulations,the national household affairs should provide standardized and procedural institutional guidance,integrate the autonomous system of internal compliance governance of enterprises into the national standard system of corporate behavior,promote the continuous interaction of corporate autonomy and legal regulations to integrate and co-govern,and institutionalize the guidance of corporate behavior compliance.Therefore,the focus of improving the compliance system lies in:firstly,continuously optimizing the corporate legal liability system in substantive law,and continuously improving the criminal procedure law,administrative penalty law,etc.in procedural law to provide strong norms;The second is to have a correct understanding of the corporate compliance guidance function of the Company Law,in order to provide endogenous and holistic soft guidance for enterprises within the company law system.

corporate complianceconstruction logicinternal autonomy of corporateexternal regulation of corporateinstitutional guidance

山茂峰

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中国人民大学法学院

企业合规 建构逻辑 企业内部自治 企业外部规制 公司法

教育部人文社会科学重点研究基地重大项目国家资助博士后研究计划资助

22JJD820018GZC20233077

2024

兰州学刊
兰州市社会科学院 兰州市社会科学界联合会

兰州学刊

CHSSCD
影响因子:0.401
ISSN:1005-3492
年,卷(期):2024.(2)
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