合规顾问在有效合规整改中的作用

律师作为涉案企业聘请的合规顾问,在协助企业合规整改中可以充当三种角色：一是检察机关启动合规考察程序的申请者;二是第三方组织监督考察的应对者;三是检察机关合规验收听证的答辩者。为帮助企业实现有效合规整改的目标,合规顾问应通过积极工作,满足检察机关启动合规考察程序的基本条件,针对涉案企业发生犯罪的内生性结构原因,对其治理结构、业务类型、经营方式、商业模式、企业文化等做出有针对性的调整,消除那些容易导致犯罪发生的因素。在此基础上,合规顾问可以根据企业的规模、业务范围、行业特点、合规风险等情况,帮助企业建立一种体系化的专项合规计划,争取达到有效预防相关违法犯罪行为再次发生的效果。     

合规在中国的引入与理论调适——企业合规研究述评

企业合规作为一项重大法学前沿交叉课题，得到我国刑事法、公司法、行政法等多个领域学者的广泛关注，以合规在中国的引入和理论调适为主题，我国学者主要从企业合规的性质与功能、公司合规治理的理念与结构、企业合规与行政监管模式、企业合规与单位刑事责任、企业合规引入公诉的方式等五大板块展开学术研究和争鸣，业已产生一批重要理论成果。在未来，企业合规研究需要一次法学方法论上的转型，以比较法研究为主线的介述性研究和以提出制度改革建议为目标的对策法学研究可告一段落，从本土合规改革经验中提炼中国化的原创性合规理论，将成为企业合规研究的主要学术增长点。     

算法时代的垄断协议规制:挑战与应对

算法具备自主学习和大数据处理的能力,有助于达成、实施垄断协议,形成算法驱动的合谋现象。算法合谋并无明显的意思联络,缺乏明确的合意证据,因而对传统的垄断协议概念带来挑战。算法决策存在"黑箱",导致经营者排除、限制竞争的主观意图无法得到验证。"人—机"联系弱化,进而导致宽恕政策和法律制裁失灵。面对算法技术的进步,反垄断法亟待建立因应时代变化的垄断协议检测、认定和制裁规则体系。为此,垄断协议的检测应当保持前摄性,借助大数据和经济分析手段筛选市场异质信号,进而在垄断协议认定方面适当降低证明标准,发挥算法作为间接证据的证明功能,最后,通过续造法律责任督促算法设计者、提供者履行竞争义务,保持算法的可问责性。     

Program Awareness,Administrative Burden,and Non-Take-Up of Québec’s Supplement to the Work Premium

ABSTRACT

Program take-up is a necessary condition for program effectiveness. Yet, non-take-up is a significant challenge for many social programs, including Québec’s Supplement to the Work Premium (SWP), a refundable tax credit targeted toward long-term welfare clients. Based on interviews with 21 public actors and 46 program participants and nonparticipants, this study explains how low program awareness, the low value of the benefit and the significant administrative burden borne by potential and actual participants contribute to the non-take-up of the SWP in this sample. Moreover, four policy implications and recommendations that can inform the design, implementation, and evaluation of social programs, are derived from this study.     

论企业合规的性质

企业合规是企业为实现依法依规经营、防控合规风险所建立的一种治理机制。企业合规只有在法律确立了行政监管激励机制和刑法激励机制的前提下，才能得到有效的实施。在国际经济法律体系中，一些国际组织也将企业合规作为对违规企业解除制裁的前提条件。从历史上来看，企业合规是为保护企业利益而设置的风险防控机制，它所要防控的不是企业的经营风险和财务风险，也不是一般意义上的法律风险，而是因可能受到行政处罚或刑事追究而承担的合规风险。企业合规发展到今天，已经不再仅仅属于企业所要承担的道德义务，而变成了一个涉及多个法律领域的重要法律问题。     

THE AUSTRALIAN CHILD SUPPORT AGENCY:

The Australian Child Support Agency is recognized as a world leader in the delivery of child support services. But the rapid growth in debt between 1998 and 2003 signaled a need to develop strategies to counter the growth in owed child support. A Debt Study was undertaken in late 2002 to establish the collectibility of debt by category of cases with debt, search for the most cost-effective methods of debt collection, and determine if other client and debt segmentation methods were warranted. The success of the Debt Study led to the implementation of the Intensive Debt Collection strategy in 2003–04.     

Numbers in regulatory intermediation: Exploring the role of performance measurement between legitimacy and compliance

Much regulatory intermediation has come to entail forms of calculation and performance measurement. In this paper we analyze the role of performance measurement in regulatory intermediation in a transnational multistakeholder setting where intermediation lacks an official mandate. We do this through a study of the Access to Medicine Index, which ranks pharmaceutical companies in terms of their access to medicine policies and practices in developing countries. We conceptualize multistakeholder intermediaries as “second order rulemakers” reconciling diverse and often competing implicit and explicit rules across the governance field. We then detail various intermediation roles of performance measurement between attaining input and output legitimacy and enticing compliance among targets. Our case demonstrates how the selective formalization of measurement processes and the related ability to move back and forth from the role of intermediary to that of “ad hoc rulemaker” are important conditions for achieving and maintaining legitimacy. Furthermore, it shows that for multistakeholder intermediaries that rely on performance measurement, compliance by targets depends on the uptake of performance information by powerful constituencies. This illustrates how addressing legitimacy concerns and enticing compliance through performance measurement should be examined as co‐emerging processes.     

Honesty in Environmental Compliance Games

This note investigates the consequences of honesty in a compliance game involving polluting firms and an environmental agency. Two enforcement schemes with or without self-reporting of behavior are considered. First, we show that non intervention may become optimal when the proportion of honest polluters is large enough but still inferior to one. Secondly, the increase in the number of honest polluters has striking ambiguous effects on pollution and social welfare. Indeed, we give examples in which an increase in the proportion of honest polluters leads to an increase in the number of non compliant polluters or a decrease in social welfare.     

Why do anti‐corruption laws fail in Central Eastern Europe? A target compliance perspective

The Central Eastern European member states of the European Union have introduced a host of anti‐corruption measures in the past two decades, yet corruption is still prevalent. Rather than asking what is wrong with the letter of the law, which has traditionally been the focus of analysis, this article identifies some of the reasons why those whose behavior the law seeks to change fail to act as expected. Drawing on theoretical insights from implementation studies and using Hungary as an illustrative example, the article finds that both incentives and normative judgments are skewed towards non‐compliance with anti‐bribery laws. The main policy implications are that anti‐corruption interventions should pay more attention to raising awareness among target groups, take existing social norms into account, and rely on positive incentives as well as, or rather than, increasing penalties.     

论网络爬虫的刑事合规

网络爬虫本身是一种中立性的技术应用,但由于适用情景的多样性以及技术原理的复杂性,其确实存在一定的刑事风险。就网络爬虫的治理而言,其重点不是对越过合法边界的技术行为进行刑事处罚,而是在进行刑事规制时尽可能地确保合法的爬虫应用不受干扰。对此,有必要引入刑事合规理念,针对网络爬虫的规制构建专项合规规则。一方面,应充分重视网络爬虫的技术特点以及该技术所蕴含的信息自由、数据经济以及技术创新等积极利益;另一方面,需要根据现有刑法规范准确分析网络爬虫技术所涉及的刑事责任,在犯罪预防的基础上为网络爬虫技术的适用创造宽松的环境。