Research On The Third-Party Supervision Of Enterprise Compliance

At present,the pilot work of enterprise compliance reform is in full swing.On the basis of ensuring fairness and professionalism,the pilot areas have carried out institutional exploration on how to implement the reform goal of "educating enterprises,preventing risks and creating a good business environment",and successfully incorporated the third-party supervision into the enterprise compliance system.The third-party supervision system of enterprise compliance refers to that the procuratorial organ and the enterprise agree to launch the system and entrust the third-party supervisor to investigate,evaluate,supervise and inspect the compliance rectification work of the enterprise involved.The procuratorial organ will deal with the enterprise based on the results of the investigation and evaluation.As the second batch of pilot areas of enterprise compliance reform in China,H City has made many beneficial explorations on the third-party supervision system of enterprise compliance,and the rich experience accumulated in the process is of great significance to improve the thirdparty supervision system of enterprise compliance.On the basis of combining relevant research and practice at home and abroad,the paper analyzes the concept and theoretical basis of the third-party supervision system of enterprise compliance,and finds that the model of third-party supervisor + thirdparty supervision committee adopted by H City is most suitable for the theoretical and practical needs.Based on the pilot situation of H City’s corporate compliance reform,this paper briefly combs the current H City’s corporate compliance third-party supervision system in six aspects,including applicable conditions,responsibilities of relevant subjects,selection and avoidance of supervisors,operation procedures and standards,cost bearing and flight supervision system,and selects three typical cases applicable to the system from the case category,the composition of third-party supervisors The inspection period and other aspects are compared,analyzed and studied,and the actual operation effect of the third-party supervision system for corporate compliance in H City is fully displayed.The third-party supervision system of corporate compliance in H City has advantages in practice,but there are also problems such as unclear roles and responsibilities of third-party supervisors,incomplete standards for compliance effectiveness review,unclear regulatory fees,difficulty in balancing "long-term compliance" and "limited case processing time",and insufficient professional training for relevant personnel.To improve the third-party supervision system of enterprise compliance,efforts should be made from both the system construction and the implementation effect.Therefore,improving the third-party supervision system for enterprise compliance requires efforts from both institutional construction and implementation effectiveness.In terms of system construction,the third-party supervisor + third-party supervision committee model should be adopted and leverage its advantages.The general review standards should be formulated while the special review standards should be enriched,the public finance should be introduced to share part of the supervision costs,and the supervision cost standards and payment methods should be reasonably determined;In terms of improving the operation effect of the system,it is necessary to build the internal compliance system of the enterprise and cultivate the compliance culture.At the same time,it is necessary to strengthen the training of various subjects and improve professional quality in various ways.