Research On Lawyer’s Involvement In Compliance Third-Party Organization Of The Case-Related Enterprise

With the comprehensive implementation of the compliance reform of the case-related enterprise,the main structure of the third-party supervision and evaluation mechanism has gradually taken shape.The third-party supervision and evaluation mechanism not only integrates the combined forces of justice,law enforcement and industry supervision,but also can eliminate the potential power rent-seeking space in the process of compliance rectification to the maximum extent,and ensure the effectiveness and professionalism of the compliance rectification of the case-related enterprise.Among them,considering the practical needs of legal risk prevention,control and disposal of the compliance rectification system of the enterprise involved,lawyers’ participation in the compliance third-party organizations of the enterprise involved is an important guarantee for the professional and standardized operation of the third-party supervision and evaluation mechanism.Lawyers can provide necessary assistance to the case-related enterprise,procuratorial organs and third-party organizations by virtue of their legal professional advantages,so as to consolidate the legitimacy of the compliance supervision and evaluation of the case-related enterprise.Lawyers participate in the compliance third-party organization of the enterprise involved in the case,and play the guiding function of helping the enterprise involved in the effective compliance rectification by checking the feasibility,effectiveness,integrity and comprehensiveness of the enterprise compliance plan at the level of legal norms.By participating in writing the written report of the professional compliance investigation,participating in the hearing procedure organized by the procuratorial organ and accepting the supervision and inquiry,it gives play to the reference function of assisting the procuratorial organ in handling cases;By improving the quality and efficiency of the compliance supervision and evaluation work of the case-related enterprise and identifying the legal risks of the members of the third-party organizations to carry out the supervision and evaluation work,the demonstration function of standardizing the members of the third-party organizations to perform their duties according to law can be played.However,as an emerging business,the lawyer professional ethics code built with the entrust relationship as the core at the present stage is increasingly unable to provide effective guidance for lawyers to participate in the compliance third-party organizations of the case-related enterprise.As a result,lawyers participating in the compliance third-party organizations of the case-related enterprise face problems such as unclear division of responsibilities,unclear confidentiality boundaries,conflicts of interest,unclear cost standards,and lack of practice supervision.The path for improving lawyers’ participation in third-party organizations involved in the compliance of case-related enterprise mainly includes the following five aspects.First,define the role of lawyers in third-party organizations and their functions.By identifying the nature of the management committee of the third-party mechanism and the third-party organization,it is clarified that the role of lawyers in third-party organizations is that of "quasi-judicial personnel" who provide pro bono legal services in professional intermediary organizations,and their duties are mainly to provide full-process legal professional support in investigation,review,supervision and evaluation.Secondly,through the establishment of a new legal relationship of"procuratorial organ-lawyer-case-related enterprise",the boundary between information disclosure and confidentiality obligations in compliance supervision is clarified,so as to promote the case-related enterprise to truly cooperate with compliance rectification and supervision.Third,improve the criteria for judging conflicts of interest and avoidance mechanisms for lawyers participating in third-party organizations,ensuring that lawyers perform their regulatory duties objectively and fairly.Fourth,standardize the reasonable fee standards for lawyers participating in third-party organizations,set up fee-bearing entities according to the specific circumstances of the case-related enterprise,and set attractive remuneration to promote lawyers’ active participation in third-party organizations and promote the sustainable development of third-party organizations.Finally,establish a hierarchical punishment system for professional punishment,administrative punishment,civil liability,and criminal liability,and further standardize lawyers’ participation in the accountability of third-party organizations.