公权合规的反思
Reflection on Public Power Compliance
秦前红 1李世豪2
作者信息
- 1. 武汉大学法学院,湖北武汉430072
- 2. 武汉大学法学院,湖北武汉430072;英国华威大学法学院
- 折叠
摘要
一般而言,合规是与企业相关联的概念.公权合规理论试图使合规主体突破企业框限而泛化至公权机关,进而将企业合规制度移植至国家机构组织体系中,以实现对公权力运行过程的全方位监督.然而公权合规理论存在意涵不明、认知不清、运行不能三个层面的缺陷.从本体来看,公权合规与企业合规在本质上并不相同,公权合规实为公权力合法运行的另类呈现.公权合规理论对国家监督权力配置原则的认识有误,对监察委员会专门监督机关的定位有违宪法原意,"对事监督"的扩权思路也不符合监察监督的优化方向,而且赋予了监察委员会本不应享有的直接立法监督职权.公权合规很难实现企业合规的功能,不仅企业合规管理体系很难被移植到国家机关中,而且公权合规的激励效果也远不如企业合规激励那般理想.
Abstract
Generally speaking,compliance is a concept related to corporations.The theory of public power compliance attempts to break through the corporate framework and generalize the subject of compliance to public authorities,then transplant the corporate compliance system into the system of national organs to a-chieve comprehensive supervision of public power.However,the theory of public power compliance has three defects:unclear meaning,incorrect cognition,and inability to operate.By nature,public power compliance and corporate compliance are fundamentally different,and public power compliance is an alternative manifes-tation of the legitimate exercise of public power.Secondly,the theory of public power compliance has an in-correct understanding of the principles of national supervision power allocation,and the positioning of the su-pervisory committee as a specialized supervisory organ is unconstitutional.The idea of"supervision over mat-ters"is not in line with the optimization direction of supervision by supervision committee,and it endows the supervisory committee with direct legislative supervision powers that it should not have.Finally,it is difficult for public power compliance to achieve the same effect of corporate compliance.Not only is the corporate com-pliance management system difficult to transplant to national authorities,but the incentive effect of public power compliance is far from ideal as that of corporate compliance incentives.
关键词
公权合规/企业合规/监察监督/合规管理/合规激励Key words
Public Power Compliance/Corporate Compliance/Supervision by the Supervisory Com-mittee/Compliance Management/Compliance Incentives引用本文复制引用
基金项目
2022年度国家社科基金重大项目(22ZDA040)
出版年
2024
NETL
NSTL
万方数据