意大利企业合规制度的全面解读及其启示

意大利是较早建立企业合规体系,法治经验相对成熟的国家。第231号法令跨越意大利《宪法》第27条的障碍,规定了判断企业责任的主客观标准,将企业责任建立在组织性罪过基础之上。企业免责的唯一途径是构建有效合规计划。如果企业能够证明在犯罪发生之前已采用并有效地实施了组织、管理和控制模式,则可以免除责任。该法令实施20年来,通过持续性革新,将反腐败合规计划由公共机构扩展至私营企业,规定合规计划中辩诉交易的适用条件,引入配额制的经济制裁手段,实现了自我完善。我国的企业合规改革刚刚起步,应当重视企业刑事合规的法治化,明确单位犯罪的归责基础,单位犯罪治理应当由事后惩治模式向事先预防的企业合规模式转变,立法上应当增设配额罚金制和褫夺资格处罚,以建立相对完善的、符合我国国情的企业合规制度。     

Sharing governmental authority: Blue Cross and hospital planning in New York City.

Hospital planning in New York has been since the 1930s an intensely political process with high stakes. The leaders of Blue Cross and their allies used the hospital planning process in the city and the state as a means to extend and protect corporate authority in what they took to be the public interest. When Blue Cross was established in the 1930s, its leaders used the mechanisms of formal planning as part of their solution to pressing problems in the organization and distribution of hospital services. In the decade after World War II, Blue Cross had an immense impact on hospital planning in New York as a result of its growth and its underwriting policies. Conflicts between Blue Cross and state regulators beginning in the 1950s led to a new formulation of the politics of planning. Blue Cross became a partner with the state in regulating hospitals. The state and Blue Cross behaved as co-regulators until the 1980s. The interpretation in this paper revises the earlier accounts of health politics in New York by Law (1976) and Alford (1975).     

我国有组织犯罪企业化的路径及其表现分析

分析有组织犯罪企业化的过程和发展阶段,可以归纳出我国有组织犯罪企业化的两种基本路径,即有组织犯罪的企业化和企业的有组织犯罪化。有组织犯罪的企业化主要经历了暴力敛财积累原始资本、垄断非法行业形成稳定收入、设立企业向合法经济领域渗透和依托企业形成区域或行业垄断四个发展阶段。企业的有组织犯罪化主要有外在结合型和内生发展型两种类型,也要经历逐渐演变的渐变过程,即企业触黑化阶段、企业涉黑化阶段和企业纯黑化阶段。而在实现了企业化发展之后,有组织犯罪在组织管理、行为方式以及文化认同等方面皆呈现出明显的企业化特征:改变了对暴力手段的过分依赖,借鉴现代企业制度建立了分工明确、协调配合的组织结构,并根据需要设置了相应的职位、部门,呈现出企业化的组织管理模式;在运营机制、经营管理等方面表面与一般企业、公司无异,体现出明显的企业化特征和运作模式;以传统帮会文化和暴力文化为内在本质,以企业文化为外在表现,实现了帮会文化与企业文化相结合。     

Seeking common ground: a history of labor and Blue Cross.

In recent years, voluntary health insurance costs have become a major source of friction in labor-management negotiations. What was once a "fringe" has led to job actions, strikes, and intensive bargaining. We examine the history of labor's participation in New York Blue Cross from the 1930s to the recent past and show that labor's participation in the plan was crucial to Blue Cross's success in the plan's early decades. By the late 1950s, serious tensions developed over rate increases and the participation of labor in Blue Cross governance. Ultimately, the issue was one of the control over what was provided by the plans and who would pay for the costs of care. We posit that labor was never able to achieve an important role in the control of the third-party payer, and in the antilabor environment of the 1980s this proved detrimental to labor's interests.     

重思“特拉华迷思”——兼与傅穹教授商榷

在美国州际吸引公司注册的竞争中,特拉华州胜出,学界对此提出不同派别的猜想。特拉华州公司法偏向管理层而牺牲股东的利益还是偏向股东,目前尚无定论。特拉华的成功,很可能不仅仅在于其立法的先进,独特的司法体系和政治文化背景也在其中发挥了重要的作用。更重要的是超越特拉华成功的更深层次的问题：对公司注册有吸引力的公司法是否等同于有效率的公司法。     

Professional Innovation: Corporate Lawyers and Private Lawmaking

Through an intensive examination of the development and diffusion of a new legal device—the shareholder rights' plan or poison pill—this article demonstrates the entrepreneurial, lawmaking role of corporate lawyers. This study case suggests that corporate lawyers may act as legal entrepreneurs, developing and promoting new legal devices and strategies on behalf of actual and potential clients. If affirmed by the courts, these devices or techniques are rapidly diffused thereby contributing to the creation of new legal knowledge. The creation and successful defense of the shareholder rights' plan led to both new caselaw and statute law. In this way, corporate practitioners contribute to the creation of new legal knowledge, suggesting a bottom-up approach to knowledge creation rather than the conventional top-down view. It is suggested that legal innovations like the shareholder rights' plan are more likely to be developed in newer firms than in established firms and in specialized firms than general service law firms.     

Examining exclusionary conduct of HMOs and PPOs: a case comment on Northwest Medical Laboratories v. Blue Cross and Blue Shield of Oregon.

As the climate of the health care industry has changed to one of cost-containment and competition through the growth of HMOs and PPOs, health care providers have become the subjects of antitrust litigation. One such case, Northwest Medical Laboratories v. Blue Cross and Blue Shield of Oregon, involved a medical laboratory and a radiology center who claimed that they were victims of an illegal group boycott after defendant's pre-paid health plan denied them preferred provider status. The Oregon Court of Appeals, using the traditional antitrust analysis applied to other industries for decades, failed to consider the intricacies that exist within the health care industry. This result led to an inaccurate market share computation and an inadequate rule of reason analysis. This Comment examines the shortcomings of the Northwest Medical opinion and argues that, in applying the antitrust laws to the health care industry, courts in future cases must recognize and respect the unique features of the business of providing health care.     

涉罪企业合规有效性标准研究——以A公司串通投标案为例

只有被证明是有效的合规计划,才能作为对涉罪企业从宽、免除处罚的事由,但合规有效性标准从合规诞生之日起就是个难解之题.从合规有效性标准的发展历程来看,经历了从技术性指标向文化指标转变的过程,合规有效性的核心标准是合规成为企业文化.与其问企业是否完成了合规计划的实施,不如问企业文化走向何方.奠定于卢曼的社会系统论基础之上的...     

Cultural explanation and organizational crime

Both the number and influence of organizations increased dramatically during the 20^th century, which helps explain why the problem of organizational crime has received attention from investigators. Growing interest in organizational and corporate crime has been matched by interest in organizational culture. Variation in organizational culture is employed to explain many aspects of organizational performance, from effectivenessin goal attainment to criminal conduct. There are reasons, however, to be critical of theoretical constructions and empirical investigations of organizational culture. There is both considerable ambiguity about its meaning and an implicit assumption of intra-organizational cultural uniformity. Cultural explanations were developed principally in case studies, empirical analyses are flawed, and supportive post hoc interpretations ofinteresting or enigmatic findings are commonplace. The influence of hierarchy and agency as constraints on organizational culture has received insufficient attention. We interpret the appeal of organizational culture despite the absence of demonstrated predictive value, and we call for additional research on sources of variation in organizational crime.     

Personnel leadership in action: doing something about health care cost containment

It's no secret that health care costs are skyrocketing and will continue to do so unless business, particularly personnel professionals, takes responsibility for containing them. This month, we present a panel report whose participants--ranging from the corporate manager of employee benefits at TRW to the director of public relations at Blue Cross Of Milwaukee--are taking concrete action to improve employee health and company expenses.     

公司经理权的性质

从公司经理权的涵义出发,总结出公司经理权具有三方面的内容,并从这三个方面分别探讨了公司经理权的性质。认为,对内来讲,公司经理权是一种职权和权限;从外部来讲,公司经理权是商事代理权;从公司经理权是一种诉讼代理权来看,它是一种诉讼法上的法定代理权;总体上讲,公司经理权是一种带有公权特征的私权利。     

论非法人组织的税法地位

非法人组织具有税法上的权利能力与行为能力,是重要的纳税主体。但是,非法人组织的法律地位特别是宪法地位与自然人和法人不同,税法可以灵活规定,赋予非法人组织一定的税法地位选择权。非法人组织可以选择成为管道,享受自然人的税法地位,也可以选择成为法人,缴纳法人税,还可以让法人在一定条件下选择成为非法人组织,享受自然人的税法待遇,从而为企业形态创新、激发经营活力创造应有的条件。     

Science, values and politics: an insider’s reflections on corporate crime research

Diverse social and political forces have long shaped research on corporate crime and its social control in the U.S., and they have responded to this work in plural and contradictory ways. These forces range from the abstract and institutional to the local and personal. In this essay, I reflect on my three decades of research experience in this arena in an examination of these forces and their implications for research and public policy. More overtly than other forms of criminological research, the study of corporate lawbreaking has conjoined issues of values and politics with issues of science. This feature of the work has made consistently problematic such foundational questions as how to define the subject of inquiry, how to study it, and how to communicate about it. While this volatility has contributed to the ongoing marginalization of this research stream in both academic criminology and regulatory policy, it has also created a certain intellectual dynamism that should attract future generations of investigators to these questions, and to greater cross-disciplinary efforts to address them. Such developments may even pave the way to greater consideration of such research by policy-makers, should socioeconomic conditions in the U.S. and around the world raise the public salience of corporate wrongdoing. ‘Why do you want to study corporate managers? We know how they think.’ ‘…a book entitled Corporate Crime automatically puts us on guard to defend the corporations…such a book should never have been written in the first place.’      

我国公司重整制度的检讨与建议——以债权人利益保护为视角

公司重整制度的目的是促进债务人复兴从而维护社会利益,是现代社会公力干预经济的体现,但这种公力干预必须限定在一定范围之内,即必须以不损害债权人的利益为前提。我国目前尚无现代意义上的公司重整制度①,已有的所谓“整顿”制度也被束之高阁。新《破产法草案》确立了重整制度,但从债权人利益保护着眼,仍有许多地方需要完善。     

有限责任的缺陷及法人人格否认制度之构想

股东有限责任与公司人格独立是法人制度的价值所在,然而有限责任在促进经济发展、吸收股东投资的同时也有无法回避的致命的弱点。从有限责任固有的缺陷着手,结合我国公司人格滥用之现实和国外法人人格否认制度的法理分析,应能找出构建我国公司法人人格否认制度的一些方法。     

数据迁移权及其本土化路径研究--以数据竞争为视角

《欧盟一般数据保护条例》(GDPR)率先在个人数据领域赋予数据主体数据迁移权,成为全球数据保护的立法标杆。数据迁移权的诞生为企业参与数据竞争正向赋能,企业竞争中也存在诸多数据迁移障碍。本文结合欧盟数据迁移权的相关规定,以数据、数据迁移权和数据竞争三要素之间的互动关系为进路,通过剖析数据迁移对企业竞争和创新发展的双向反馈,认为我国不应急于实施数据迁移权,而是将数据迁移权定性为一种柔性权利,按照"三阶段五步骤"的路径规划,逐步建立符合我国国情的数据迁移制度。     

国际航空犯罪法人刑事责任及其国内立法转化研究

2010年《北京公约》和《北京议定书》首次规定了国际航空犯罪法人责任,法人责任以法人的高级管理人员代表法人实施劫持航空器等国际航空犯罪为要件,法人为此承担刑事、民事或行政责任。公约对法人犯罪及其责任的立法需要转化为国内法才能适用。世界各国国内法对法人犯罪及其责任的态度差别较大,英国、加拿大、法国等国刑法规定有航空犯罪的法人刑事责任,德国国内法规定有航空犯罪的法人行政责任,意大利刑法规定有航空犯罪的法人民事责任,我国仅在个别航空犯罪中规定有法人犯罪及其刑事责任。我国法人犯罪及其刑事责任的立法和理论具有较强的包容性,可在我国刑法中取消法人犯罪法定化限制,全面规定包括航空犯罪在内的法人犯罪及其刑事责任。     

英国公司中非执行董事的职能

NED的职能一个时期处于逐渐演化之中,起初只是一个荣誉职位,后来发展为参与公司管理.非执行董事被认为具有很好的独立判断能力以及监督作用,有助于公司治理的改善.NED的作用主要有:改进公司治理结构、对公司中某些特定利益的保护以及抑制董事滥用权力.NED职能发挥的局限性在于公司管理人员控制着提供给NED的信息的质量、时间及数量、投入到公司的精力与时间、任命程序、与执行董事相同的利益背景以及激励机制的缺乏.英国通过广泛咨询与公开最佳行为守则改善公司治理,其改革过程也是逐步重视NED过程.     

促进长白山区特色文化发展对策探析

长白山区特色文化鲜明,但在现实中由于受到人们的思想认识不足、自然历史条件限制、经济发展水平滞后和管理体制不畅等不利因素的影响,导致长白山区特色文化发展较为缓慢.要促进其进一步发展,就必须注重培育特色文化,转变思想观念,在管理体制上进行科学谋划,在发展模式上打造特色品牌,走可持续融合发展之路.     

企业文化建设是实现企业可持续发展的先决条件

优秀的企业文化不仅能有效地提高企业员工的竞争意识,更重要的是通过增强企业内部的凝聚力能够提升企业的核心竞争力,强化企业的竞争优势,从而实现企业的可持续发展。但一些企业忽视企业文化建设,影响了企业的可持续发展。因此,在新形势下,构建优秀的企业文化意义重大。