On The Application Of Enterprise Compliance In China’s Administrative Reconciliation

Enterprise compliance originated in the United States.After years of development,it has evolved from the initial corporate governance model to the law enforcement model,and has been widely used in the law enforcement practice in the United States.China has long been concerned about corporate compliance.At the beginning of this century,the financial regulatory authorities drew on international experience to implement the mandatory compliance system in the financial sector and promote financial institutions to establish a compliance management system.In recent years,in the context of the "going out" of enterprises and the escalating trade frictions between China and the United States,China has continued to pay more attention to corporate compliance.Relevant ministries and commissions have formulated compliance guidelines or guidelines to guide enterprises to strengthen corporate compliance construction.In the criminal field,the pilot reform of corporate compliance non-prosecution has been carried out,and corporate compliance has become a hot spot.The purpose of this paper is to draw on the practical experience of corporate compliance in administrative reconciliation in the United States,evaluate the effect of China’s administrative reconciliation pilot,summarize the experience of procuratorial organs in implementing the reform of compliance non-prosecution,and put forward the basic idea of introducing corporate compliance into the administrative reconciliation system from the perspective of solving the difficulties of administrative reconciliation reform,establishing corporate compliance incentive mechanism,and improving the administrative regulatory compliance system.This paper mainly includes five parts.The first part is introduction.To sort out the application research background and research trends of enterprise compliance in administrative reconciliation,and introduce the application development of administrative regulatory compliance and criminal compliance.A summary of the views of the academic community on the introduction of administrative reconciliation and corporate compliance,as well as the innovation points and shortcomings of this article.The second part is an overview.Introduce the development of the concept of corporate compliance and administrative reconciliation and its application in China,and formally put forward the view of introducing corporate compliance into administrative reconciliation.The third part focuses on the necessity and feasibility.The necessity of introducing administrative reconciliation into enterprise compliance lies in two aspects.First,it can promote and improve the administrative regulatory compliance system and the administrative reconciliation system.Second,it can effectively respond to the challenges of supervision and law enforcement,and achieve a "win-win" between the administrative and regulatory departments and enterprises.As for the feasibility of introducing administrative reconciliation into corporate compliance,there are also two aspects.First,in the field of criminal compliance,China’s procuratorial organs actively promote the reform of compliance non-prosecution to provide at least three aspects of experience.Second,in the field of administrative supervision and compliance,although China’s administrative reconciliation pilot reform has not achieved the expected results,it provides a practical basis for the introduction of administrative reconciliation in enterprise compliance,reflects on the deficiencies,and proposes targeted improvement measures.The fourth part focuses on the practice and experience of corporate compliance in the United States administrative settlement.In the United States,corporate compliance is a consideration in reaching a settlement.At the same time,corporate compliance clauses are an important part of the settlement agreement.The United States law enforcement agencies will continue to monitor the performance of the settlement agreement by the enterprises involved,and the enterprises involved who violate the settlement agreement will face more severe sanctions.From this,we can draw three points of experience: first,we should solve the legal authorization,second,we should clarify the applicable conditions,and third,we should do a good job of procedure connection.The fifth part proposes the system concept of introducing administrative reconciliation into enterprise compliance.First,we should promote the introduction of corporate compliance into the pilot reform of administrative reconciliation,and clarify the core position of corporate compliance in administrative reconciliation.The second is to adopt the "loose conditions and reconciliation" model,and establish two types of enterprise compliance incentive models before and after the event.Third,in terms of specific procedures,it is necessary to establish two compliance inspection modes,namely,regular report and regulatory inspection,clarify effective compliance standards,carry out compliance evaluation and acceptance,and clarify the evaluation results of compliance rectification and its corresponding legal consequences.Fourth,we should discuss the connection between administrative reconciliation and non-prosecution of enterprise compliance,and put forward some suggestions to strengthen the good interaction between administrative regulatory compliance and criminal compliance.