将合规作为管理法律风险的工具:提出在工商界和公共控制(监督)机构之间保持利益平衡的问题

Aleksandra A. Brosalina
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引用次数: 0

摘要

只有采取法律和组织措施来刺激企业活动,并尽量减少商业结构在其中可能出现的违法行为,才有可能发展一种以市场为基础的管理制度,作为俄罗斯联邦经济政策的一个组成部分。这项研究所依据的假设是,在公共行政机构执行控制和监督活动时,遵守规定在建立公私利益平衡方面可能发挥的作用。工作的目的是科学地分析“合规”的概念、法律性质和内容,以及研究其普遍形式——反垄断合规的问题和实施前景,以保持公共控制机构和商业部门之间的利益平衡。方法论基础包括辨证法、一组一般科学的认识方法——分析综合方法、结构方法,以及私人科学的——形式法学和比较法学方法。在研究的框架内,分析了商业实体活动中的合规特征,研究了与俄罗斯和国外实施反垄断合规相关的分析和监管法律材料。我们的结论是,反垄断合规有助于独立预防商业实体的违规行为,通过减少反垄断机构的检查次数来降低国家对其活动的干预程度,并且与基于风险的方法相结合,在一定程度上优化国家对反垄断立法遵守情况的控制体系。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
Compliance as a tool for managing legal risks: to raise the issue of maintaining a balance of interests between the business community and public control (supervision) bodies
The development of a market-based management system as an integral attribute of the economic policy of the Russian Federation is possible only with the introduction of legal and organizational measures to stimulate entrepreneurial activity, as well as to minimize the manifestation of possible violations by business structures in it. The research is based on a hypothesis about the possible role of compliance in establishing a balance of private and public interests in the implementation of control and supervisory activities by public administration bodies. The purpose of work is a scientific analysis of the concept of “compliance”, its legal nature and content, as well as the study of problems and prospects for the implementation of its universal form – antimonopoly compliance as a means that allows to maintain a balance of interests between public control bodies and business sector. The methodological basis included the dialectical method, a group of general scientific methods of cognition – the method of analysis and synthesis, the structural method, as well as private scientific – formal legal and comparative legal methods. Within the framework of the research, the features of compliance in the activities of business entities are analyzed, analytical and regulatory legal materials related to the implementation of antimonopoly compliance in Russia and foreign countries are studied. We conclude that antimonopoly compliance can contribute to the independent prevention of violations by business entities, reduce the level of state interference in their activities by reducing the number of inspections by antimonopoly authorities, and also, in combination with a risk-based approach, to a certain extent optimize the system of state control over compliance with antimonopoly legislation.
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