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论通用人工智能时代的企业合规

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通用人工智能是新型的社会治理主体,其凭借对数据更强力的汲取与计算能力,建构与真实世界平行的"数据世界",令企业实现从"粗放式"合规到"精细化"合规、从"框架型"合规到"精准型"合规的转型.在通用人工智能时代,人工智能代替了传统合规人工操作方式,通过智能处理能够直接"穿透"企业的违规风险,为企业生成具有差异化导向的合规计划,使企业实现了有效合规.企业合规发生了从义务识别到风险导向、从行为合规到全生态合规、从人工治理到技术治理的转向,事前合规的形式成为企业合规主导.然而,通用人工智能也带来了合规技术标准、数据安全、人机关系的新问题.在"智能合规"的中国图景中,应当对通用人工智能算法可解释性、新型涉及国家安全数据进行深入研究,并始终让人类对决策负有最终责任,以维护人机关系和谐.
Corporate Compliance in the Era of Artificial General Intelligence
Artificial General Intelligence(AGI)is emerging as a new force in social governance.By means of its advanced data extraction and computational capabilities,AGI creates a"data world"that mirrors the real world.This facilitates a shift from broad,extensive compliance to precise,refined compliance.In the AGI era,artificial intelligence replaces traditional manual compliance approaches,using intelligent processing to directly identify and mitigate corporate risks.This results in a customized compliance scheme that enhances its overall effectiveness.Corporate compliance has evolved from simply identifying obligations to focusing on risk management,from behavior-based to ecosystem-wide compliance,and from manual to technological governance,whilst proactive compliance dominates the whole process.However,the integration of AGI also brings new challenges,such as establishing technical standards for AGI compliance,ensuring data security,and managing human-machine relationships.In China's context of"intelligent compliance",it is crucial to research the interpretability of AGI algorithms and address new types of data involving national security.It is essential to ensure accountability for human decision-making for the sake of harmonious human-machine interactions.

印波、张笑宇

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中国政法大学刑事司法学院 北京,100088

通用人工智能 企业合规 差异化合规 技术治理

中央高校基本科研业务费专项资金资助项目

24CXTD02

2024

学海
江苏省社会科学院

学海

CSTPCDCSSCICHSSCD北大核心
影响因子:0.759
ISSN:1001-9790
年,卷(期):2024.(4)