合规监管人、涉案企业与检察机关三方关系混同问题研究

A Study of the Mixed Relationship among the Compliance Supervisor, the Company Involved in the Case and the Prosecuting Authority

摘要: 企业合规的探索实践已然进入深水区，检察机关引入的合规监管人制度也发展得如火如荼，但是实践中由于合规监管人角色定位不清晰，导致合规监管人、涉案企业与检察院三方之间职责不清、权力混同。因此有必要在检视合规监管人功能定位的基础上，对于合规监管人的地位做出清晰界定。以挖掘合规监管委员会的监督价值、明确检察机关的责任分工为抓手，重点解决“虚假合规”、合规监管人侵害企业合法权益等问题，重塑合规监管人、涉案企业与检察机关三方关系。

Abstract: The exploration and practice of corporate compliance has entered deep water, and the system of compliance supervisor introduced by the procuratorate is also in full swing, but in practice, the role of compliance supervisor is not clearly defined, resulting in unclear responsibilities and mixed powers among the compliance supervisor, the enterprise involved in the case and the procuratorate. Therefore, it is necessary to make a clear definition of the status of the compliance supervisor on the basis of reviewing the functional positioning of the compliance supervisor. With the supervision value of the Compliance Supervisory Committee and the division of responsibilities of the procuratorial organs, the Committee will focus on solving the problems of “false compliance” and infringement of legitimate rights and interests of enterprises by compliance supervisors, and reshape the tripartite relationship among compliance supervisors, enterprises and procuratorial organs.