Research On The Third-Party Supervisor For Corporate Compliance Non-Prosecution

With the exploration and development of the corporate compliance non-prosecution system,the unique role of the third-party supervisor has gradually emerged.The compliance supervision of the third-party supervisor is the final acceptance of the compliance rectification results of the enterprise involved.The compliance supervision report issued by the supervisor will ultimately affect the handling decision of the procuratorate,and to some extent determine the success or failure of the compliance rectification of the enterprise.In view of the emerging thing of third-party supervisor,although various localities have issued regulations to regulate them,there are still defects in relevant norms and doubts about the practical effect,and it is difficult to guarantee the independence and professionalism of third-party supervisor.Related issues need to be further studied urgently.Therefore,this paper uses the literature research method,external investigation method and empirical analysis method to make an in-depth analysis of the current situation of the thirdparty supervisor in the corporate compliance non-prosecution system in China,and proposes solutions to the existing problems,laying a foundation for the construction of the third-party supervisor system for corporate compliance non-prosecution.When studying the third-party supervisors in the corporate compliance system,this paper mainly focuses on five parts:The first part,at this stage a batch of typical third-party supervisors practice case empirical investigation,from two aspects of system and practice,summarize and refine the practice of third party supervisors function,and the third-party supervisors regulation effect,mainly includes three aspects,namely: provide professional help,conduct independent regulation,make reference report.The second part,interprets and analyses the third party supervisors regulations and practice status,pointing out that the third party regulators in practice exist four controversial problems,including that independence is difficult to truly achieve,professional is difficult to fully guarantee,regulatory effectiveness is difficult to accurately assess,supervision,the necessity is difficult to properly define.The third part,examines the relevant systems and judicial practice outside the region from the perspective of comparative law,analyzes the practical experience of the overseas countries and regions in the deferred prosecution agreement system and the independent supervisor system,so as to provide reference for the optimization and improvement of relevant systems in China.The fourth part,explores the practical feasibility and theoretical basis of establishing the third-party supervisor system in China.The unique role and value of the third-party supervisor make the system have realistic feasibility and broad development prospect in Chinese compliance non-prosecution system,and explore the realization path of the independence,professionalism and effectiveness of the third-party regulator.The fifth part,puts forward countermeasures and suggestions for the theoretical construction and system design of the third-party supervisors in compliance non-prosecution.For the third-party supervisors system in practice exposed the related problems,suggest clear the third-party regulators professional ability,improve the pre-service training mechanism of supervisors,establish effective evaluation mechanism and accountability mechanism of ineffective supervision,and regard “ the infractions in the enterprises involved in the depth and breadth,the enterprises involved have the basic compliance management system or not,the current compliance management system can effectively operate or not” the three elements,as the third-party regulators whether involved in compliance rectification criteria.On the issue of the supervision costs,it puts forward the view of distinguishing different regions and subjects to conduct flexible pricing.This part is also the innovation of the article.