有效合规管理的两种模式

自我国监管部门引入合规监管方式以来,有效合规管理大体形成了两种相对独立的制度模式。其中,日常性合规管理是企业在行政监管部门的指导和监督下,以预防相关合规风险为主要出发点,建立常态化的合规管理体系;合规整改则是企业在行政机关、司法机关的执法压力下,或在国际组织采取制裁措施的情况下,以减轻处罚或者取消制裁为目标,针对业已暴露的违法、违规或犯罪行为,采取有针对性的合规整改措施。在确保企业有效防控合规风险方面,这两种合规管理模式各有其制度结构和公司治理功能,也存在着各自的优劣得失。在企业合规管理体系的建构方面,这两种模式既可以相互转化,也可以相互补充和完善。

Two Models of Effective Compliance Management

Since the methods of compliance supervision were introduced by regulatory authorities in our country,effective compliance management has generally formed two relatively independent institutional models.Among them,daily compliance management is the establishment of a normalized compliance management system under the guidance and supervision of the administrative supervision department,with the prevention of related compliance risks as the main point of departure.On the other hand,compliance rectification means that under the law enforcement pressure of administrative organs and judicial organs,or in the case of sanctions taken by international organizations,enterprises take targeted compliance rectification measures for exposed illegal acts,violations or crimes with the goal of reducing punishment or canceling sanctions.In terms of ensuring that companies effectively prevent and control compliance risks,these two compliance management models have their own institutional structures and corporate governance functions,and also have their own advantages and disadvantages.In the construction of corporate compliance management systems,these two models can be transformed into each other,and can also promote mutual complement and improvement.