企业合规改革中的监管模式研究

Research on Supervision Mode of Corporate Compliance Reform

摘要: 企业合规监管的模式选择一直是个重要的问题，目前我国企业合规改革计划已经推进至第二阶段，侧重点在对第三方监督评估机制的适用上。但是通过实践发现，目前的监管模式仍存在一些问题。由于缺乏监管的合规承诺难以落实，仅靠企业自我约束难以实现理想的合规效果，合规监管的必要性不言而喻。合规监管模式的选择至关重要，本文仅针对检察机关主导监管和独立监控人监管两种模式讨论。通过模式的运行、优势与局限性，结合我国司法实践中的案例，分别对检察机关主导监管和独立监控人监管两种模式进行分析与梳理。可以发现检察主导模式具有制度与程序优势，但仍存在考察期有限、人员不足等局限；独立监控人模式存在对独立监控人的监督问题、费用问题、透明性与保密要求相冲突的问题，并针对这些问题提供初步的建议。最后，通过对实践中检察机关与第三方机构并进监管的分析，得出合规监管模式的未来选择，可以采取两种模式融合并进的做法。

Abstract: The choice of model for corporate compliance regulation has been an important issue, and currently China’s corporate compliance reform plan has advanced to the second phase, focusing on the application of third-party supervision and assessment mechanisms. However, through practice, we found that there are still some problems with the current regulatory model. Due to the lack of regulatory compliance commitments, it is difficult to implement them, and relying solely on self-restraint by enterprises is difficult to achieve ideal compliance results. Therefore, the necessity of compliance supervision is self-evident. The choice of compliance supervision mode is crucial, and this article only discusses two modes: procuratorial agency led supervision and independent monitor supervision. Through the operation, advantages and limitations of the model, combined with China’s judicial practices, the two models of procuratorial organ leading supervision and independent monitoring person supervision are analyzed and sorted out respectively. We can find that the prosecution-led model has institutional and procedural advantages, but still suffers from limitations such as limited inspection period and professionals; the independent monitor model has issues of oversight of independent monitors, cost issues, and conflicting transparency and confidentiality requirements, and provides preliminary recommendations to address these issues. Finally, the analysis of the parallel regulation of prosecution and third-party agency in practices leads to the conclusion that we can integrate the two modes as the future choice of compliance supervision mode.