论企业合规中检察机关与行政机关的协作——以自贸试验区为例
On the Collaboration between Procuratorial Organs and Administrative Authorities in Corporate Compliance:The Case of the Free Trade Zone
段君尚1
作者信息
摘要
自贸试验区建设的核心任务是制度创新,其中企业合规建设需要充分发挥多方主体的作用,尤其是检察机关与行政机关的协作.检察机关与行政机关协作推进企业合规改革,既是诉源治理的关键环节,也是检察监督的应有之义,在日常企业合规、涉案企业合规两大场域均有所体现.目前来看,自贸试验区检察机关与行政机关的协作初见成效,但仍面临法律依据不明、合规指导不足、合规互认不佳等问题.未来可以通过联合发布规范性文件明确机关职责定位,提供精准法律服务,畅通行刑衔接路径,强化合规激励作用,以助力自贸试验区创新发展.
Abstract
The core mission of the FTZ(Free Trade Zone)construction is institutional innovation,in which the construction of the corporate compliance management system requires leveraging the roles of multiple actors,especially the collaboration be-tween procuratorial organs and administrative authorities.The collaboration between the two sides for facilitating the reform on corporate compliance serves as a pivotal component in the governance of litigation disputes at source and represents an essential aspect of prosecutorial supervision,manifesting itself in the domains of routine corporate compliance and compliance within en-terprises involved in legal cases.Presently,it can be observed that the collaborative efforts between the two sides within FTZ have shown initial signs of effectiveness,but still encounter challenges,including issues related to unclear legal foundations,in-adequate compliance guidance,and suboptimal mutual recognition of compliance.In the future,these challenges could be ad-dressed through jointly issuing normative documents to clarify the responsibilities and positions of the authorities,providing pre-cise legal services,establishing streamlined pathways for administrative enforcement and criminal justice,reinforcing compli-ance incentives,and thereby contributing to the innovative development of FTZ.
关键词
企业合规/检察机关/行政机关/诉源治理/自贸试验区Key words
corporate compliance/procuratorial organs/administrative authorities/governance of litigation disputes at source/Free Trade Zone引用本文复制引用
基金项目
中国博士后科学基金第72批面上资助项目(2022M721918)
2022年度山东省高等学校"青创团队计划"刑事合规立法问题创新团队项目(2022RW004)
出版年
2024
NETL
NSTL
万方数据