企业有效合规整改的基本思路

有效合规整改的基本目标,是涉案企业建立一套有效预防犯罪的管理机制,达到企业依法依规经营的效果。为实现这一目标,企业合规整改应与日常性合规体系搭建具有本质的区别,将合规整改的"针对性"和"体系化"进行有机的结合。对于一个涉嫌犯罪的企业而言,一旦被纳入合规监督考察的对象,一般应引入四项基本的合规整改要素:一是在认罪认罚的前提下停止犯罪行为,积极配合刑事追诉行动,采取补救挽损措施,处理责任人;二是查找犯罪原因,发现造成犯罪发生的制度漏洞、管理隐患和治理结构的缺陷;三是针对上述漏洞、隐患和缺陷,进行有针对性的制度纠错和管理修复,切断犯罪发生的因果链条,避免同一犯罪的再次发生;四是建立一种整体的、全面的和长远的预防犯罪机制,引入有针对性的专项合规管理体系。

Construing Effective Rectifications for Corporate Compliance

The fundamental goal of effective compliance rectification is to establish an effective crime prevention management mechanism for the enterprise involved in criminal cases,fostering business operations in compliance with laws and regulations.To attain such a goal,making compliance rectifications shall be substantially diverse from setting up a day-to-day compliance program because it needs to integrate "pertinence" with "systematization" in a dynamic way.As for the enterprise involved in crimes,after being selected as a subject of the supervision and inspection for compliance,there are four essential factors contained in the compliance rectification:firstly,it includes stopping criminal behaviors after confessing guilt and accepting punishments,cooperating with criminal prosecution actively,making remedies and compensations,and penalizing the responsible persons;secondly,it consists of searching for the criminal causes,investigating loopholes and defects in the management system and governance structure that result in the crimes;thirdly,it refers to conducting pertinent system error corrections and management repairs against the above-mentioned vulnerabilities and deficiencies so as to cut the causal chain of crimes and prevent recidivism;fourthly,it embodies establishing an integral,comprehensive,and long-term crime prevention mechanism serving as specified compliance management system with pertinence.