ZHU Yuan, XIAO Jia-xin. Research on the Application of Corporate Compliance System under the Framework of Social Enterprises[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(1): 94-102. doi: 10.19979/j.cnki.issn10082689.2021090016
Citation: ZHU Yuan, XIAO Jia-xin. Research on the Application of Corporate Compliance System under the Framework of Social Enterprises[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(1): 94-102. doi: 10.19979/j.cnki.issn10082689.2021090016

Research on the Application of Corporate Compliance System under the Framework of Social Enterprises

doi: 10.19979/j.cnki.issn10082689.2021090016
  • Received Date: 2021-09-06
    Available Online: 2022-01-21
  • Publish Date: 2022-02-12
  • Compliance system is a governance mechanism established by enterprises to operate in accordance with laws and regulations, prevent and control enterprise risks and obtain legal incentives. It is regarded as a special corporate governance method and government management tool. In addition to undertaking social missions, social enterprises face the same corporate governance problems as ordinary enterprises, including enterprise compliance. However, social enterprises have different characteristics from ordinary enterprises, and they will face many problems when applying the traditional enterprise compliance system. On the one hand, there are contradictions between organizational objectives, governance structure, the lack of operating funds and the application of traditional enterprise compliance system within social enterprises, and on the other hand, outside social enterprises are faced with the problems of “lagging” and “no discrepancy” in compliance with government regulations. In this regard, we should solve it from the following two aspects in combination with the essential attributes of the compliance system and the basic characteristics of social enterprises: at the level of corporate governance, we should cultivate a diversified board of directors, cultivate a compliance culture based on values, attract stakeholders to participate in the compliance construction process, and select a staff team that advocates mission; at the level of government management, we should widely carry out social cooperation and identify the compliance needs of enterprises.

     

  • [1]
    邓峰. 公司合规的源流及中国的制度局限[J]. 比较法研究,2020(1):34-45.
    [2]
    陈瑞华. 论企业合规的性质[J]. 浙江工商大学学报,2021(1):46-60.
    [3]
    朱健刚,严国威. 社会企业的内部治理与社会目标达成−基于C公司的个案研究[J]. 理论探讨,2020(2):177-184.
    [4]
    姚瑶. 公司型社会企业的中国化: 法律定位与监管逻辑[J]. 河北法学,2019,37(7):78-88.
    [5]
    Social Enterprise Alliance. What is social enterprise? [EB/OL]. [2021-05-28]. https: // social enterprise.us/.
    [6]
    朱圆,肖佳欣. 社会企业生成逻辑: 国际比较和中国特性[J]. 北京邮电大学学报(社会科学版),2021,23(3):77-85.
    [7]
    时立荣,闫昊. 提升社会治理效能: 社会企业生产要素社会性变革及其制度优势[J]. 理论探讨,2020(2):171-176.
    [8]
    REISER D B. For-profit philanthropy [J]. Fordham Law Review, 2009(77):2437-2472.
    [9]
    YOCKEY J W. The compliance case for social enterprise [J]. Michigan Business and Entrepreneurial Law Review, 2014(4):1-45.
    [10]
    王世强. 社会企业的官方定义及其认定标准[J]. 社团管理研究,2012(6):38-41.
    [11]
    ALLEN W T. Our schizophrenic conception of the business corporation [J]. Cardozo Law Review, 1992, 14(1):261-281.
    [12]
    STRINE L E. Making it easier for directors to “do the right thing”? [J]. Harvard Business Law Review, 2014(4):235-253.
    [13]
    赵万一. 合规制度的公司法设计及其实现路径[J]. 中国法学,2020(2):69-88.
    [14]
    陈瑞华. 企业合规制度的三个维度−比较法视野下的分析[J]. 比较法研究,2019(3):61-77.
    [15]
    李维安,戴文涛. 公司治理、内部控制、风险管理的关系框架−基于战略管理视角[J]. 审计与经济研究,2013,28(4):3-12.
    [16]
    陈瑞华. 论企业合规的中国化问题[J]. 法律科学( 西北政法大学学报),2020,38(3):34-48.
    [17]
    YOCKEY J W. Using form to counter corruption: the promise of the public benefit corporation [J]. UC Davis Law Review, 2015(49):623-646.
    [18]
    黄胜忠,刘清. 企业内部控制与合规管理的整合[J]. 财会通讯,2019(17):105-108.
    [19]
    GRIFFITH S J. Corporate governance in an era of compliance [J]. William and Mary Law Review, 2016(57):2075-2140.
    [20]
    WELLNER P A. Effective compliance programs and corporate criminal prosecutions [J]. Cardozo Law Review, 2005(27):497-528.
    [21]
    REYNOLDS S J. The non-conscious aspects of ethical behavior: not everything in the “good” organization is deliberate and intentional [J]. The American Criminal Law Review, 2014(51):245-266.
    [22]
    YOCKEY J W. FCPA settlement, internal strife, and the “culture of compliance”[J]. Wisconsin Law Review, 2012(2012):689-716.
    [23]
    YOCKEY J W. Choosing governance in the FCPA reform debate [J]. Journal of Corporation Law, 2013(38):325-380.
    [24]
    AS-3806-2006, Australian Standard Compliance Programs (2nd ed.) [S]. Standards Australia, 2006.
    [25]
    刘玉焕,尹珏林,李丹. 社会企业多元制度逻辑冲突的探索性分析[J]. 研究与发展管理,2020,32(3):13-24.
    [26]
    陈雅丽. 政府和社会资本合作(PPP)背景下社会企业的发展策略[J]. 甘肃理论学刊,2018(6):123-128. doi: 10.3969/j.issn.1003-4307.2018.06.021
    [27]
    FORD C L. New governance, compliance, and principles-based securities regulation [J]. American Business Law Journal, 2008(45):1-60.
    [28]
    COLOMBO R J. Toward a nexus of virtue [J]. Washington and Lee Law Review, 2012(69):3-84.
    [29]
    WEAVER G R. Encouraging ethics in organizations: a review of some key research findings [J]. The American criminal law review, 2014(51):293-316.
  • Relative Articles

    [1]ZOU Kailiang, WANG Xindi. Compliance and Construction of Platform Enterprise Data from the Perspective of Sensitive Personal Information Protection[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2024, 40(2): 87-93. doi: 10.19979/j.cnki.issn10082689.2023040070
    [2]CHEN Yu, XU Fangdi. Analysis of Criminal Law Doctrine Analysis on the Realization of Incentive Function of Enterprise Corporate[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2023, 39(6): 798-807. doi: 10.19979/j.cnki.issn10082689.2022100076
    [3]LI Geng-kun. Analyzing the Legal System of Corporate Social Responsibility with the Article 19 of the Company Law (Revised Draft)[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(4): 449-458. doi: 10.19979/j.cnki.issn10082689.2021120060
    [4]LI Wen-hua, LV Shuai. Legislative Conception of Conditional Non-Prosecution Applicable to Corporate Compliance Cases[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(3): 335-345. doi: 10.19979/j.cnki.issn10082689.2022030089
    [5]WANG Zhi-yong. A New Exploration of the Envelopment of the Social Life in the Public Administration During Traditional Economic[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2019, 35(3): 68-74.
    [6]WANG Zhi-yong. Looking and Questioning Closely on the Historical Origin of the Phenomenon of the Envelopment of Domains of Society in the Chinese Public Administrative System before the Transition[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2019, 35(6): 88-95.
    [7]ZHUANG Xiao-dan, FAN Hong-bao, SUN Yan. The Plight and Breakthrough of the Social Governance on the Population Inverted Villages:Take the H City of Eastern Coastal Area for Example[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2019, 35(2): 59-66.
    [8]CAO Dong-yuan. The Review and Further Thinking of the Third Supervisory Model in Japanese Corporate Law[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2017, 33(1): 63-67.
    [9]YUN Chun-xi, XU Xi-qing. The Impact of Rural “Loose Organization” on Rural Governance in Transition Period——With Shandong Province as an Example[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2013, 29(5): 89-94.
    [10]XIA Xue. Exploring the Application of Occupational Social Work in Gender Different Staff Relations of the ‘80 hou[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2012, 28(1): 84-88,135.
    [11]GAO Yong-zhou. People Combination in Limited Liability Corporation[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2008, 24(4): 59-64.
    [12]LIN Jian. The Function Mechanism of Social Networks in Venture Financing[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2007, 23(2): 33-40.
    [13]SI Chuan-zhen. From Working Unit System to Community System: the Converison of Governance Space between State and Society[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2007, 23(3): 44-47,53.
    [14]CAO Fu-guo. Shareholding Structure and Corporate Governance: Rethinking of the Theoretical Logic of the Two Corporate Governance Models[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2006, 22(2): 63-72.
    [15]CHENG Ji-chuan, SHE Yuan-guan. Study on the Trend of Financial Companies[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2006, 22(2): 35-37,156.
    [16]LIU Ping, CHEN Wei-zheng, HU Hao. Study on the Model Enterprise of Enterprise Ownership Structure and Administration Mechanism[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2005, 21(1): 96-101.
    [17]SHI Li-rong. A Study of Public Interest and Efficiency of Non-Profitable Organization Operation in the Market[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2003, 19(4): 1-7.
  • Cited by

    Periodical cited type(5)

    1. 李伟,赵俊博. 平台监管权在未成年人网络欺凌行为防治中的实现进路——以《未成年人网络保护条例》第二十六条为中心. 北京科技大学学报(社会科学版). 2025(02): 65-79 .
    2. 刘瑞. 企业合规视阈下的算法治理:困境与应对. 西华大学学报(哲学社会科学版). 2024(02): 34-42 .
    3. 印波,张蕊. 我国合规人员职业伦理的系统性反思与本土塑造. 贵州民族大学学报(哲学社会科学版). 2024(04): 98-115 .
    4. 王波,朱苡榕. 共同富裕视域下企业ESG的法律规制路径研究. 证券法律评论. 2023(00): 155-174 .
    5. 李耕坤. 论公司社会责任法律制度——以《公司法(修订草案)》第十九条的理解展开. 北京科技大学学报(社会科学版). 2022(04): 449-458 .

    Other cited types(7)

  • Created with Highcharts 5.0.7Amount of accessChart context menuAbstract Views, HTML Views, PDF Downloads StatisticsAbstract ViewsHTML ViewsPDF Downloads2024-072024-082024-092024-102024-112024-122025-012025-022025-032025-032025-042025-05010203040
    Created with Highcharts 5.0.7Chart context menuAccess Class DistributionFULLTEXT: 18.7 %FULLTEXT: 18.7 %META: 73.6 %META: 73.6 %PDF: 7.7 %PDF: 7.7 %FULLTEXTMETAPDF
    Created with Highcharts 5.0.7Chart context menuAccess Area Distribution其他: 4.8 %其他: 4.8 %其他: 0.3 %其他: 0.3 %Canyon Country: 0.1 %Canyon Country: 0.1 %Central District: 0.1 %Central District: 0.1 %China: 0.7 %China: 0.7 %Seattle: 2.4 %Seattle: 2.4 %上海: 2.0 %上海: 2.0 %东莞: 0.2 %东莞: 0.2 %临汾: 0.1 %临汾: 0.1 %兰州: 0.1 %兰州: 0.1 %北京: 2.1 %北京: 2.1 %十堰: 0.1 %十堰: 0.1 %华盛顿州: 0.2 %华盛顿州: 0.2 %南京: 0.3 %南京: 0.3 %厦门: 0.1 %厦门: 0.1 %合肥: 0.1 %合肥: 0.1 %呼和浩特: 0.1 %呼和浩特: 0.1 %哈尔滨: 0.2 %哈尔滨: 0.2 %嘉兴: 0.4 %嘉兴: 0.4 %天津: 0.6 %天津: 0.6 %太原: 0.1 %太原: 0.1 %威海: 0.1 %威海: 0.1 %宁波: 0.2 %宁波: 0.2 %安庆: 0.1 %安庆: 0.1 %宣城: 0.1 %宣城: 0.1 %常州: 0.1 %常州: 0.1 %广州: 0.1 %广州: 0.1 %张家口: 1.0 %张家口: 1.0 %成都: 0.5 %成都: 0.5 %扬州: 0.5 %扬州: 0.5 %新奥尔良: 1.2 %新奥尔良: 1.2 %昆明: 0.1 %昆明: 0.1 %杭州: 0.6 %杭州: 0.6 %格兰特县: 0.1 %格兰特县: 0.1 %武汉: 0.4 %武汉: 0.4 %沧州: 0.1 %沧州: 0.1 %洛阳: 0.2 %洛阳: 0.2 %淄博: 0.1 %淄博: 0.1 %深圳: 30.6 %深圳: 30.6 %温州: 0.2 %温州: 0.2 %漯河: 0.7 %漯河: 0.7 %烟台: 0.3 %烟台: 0.3 %珠海: 0.7 %珠海: 0.7 %百色: 0.1 %百色: 0.1 %盐城: 0.1 %盐城: 0.1 %石家庄: 1.1 %石家庄: 1.1 %福州: 0.6 %福州: 0.6 %芒廷维尤: 19.8 %芒廷维尤: 19.8 %芝加哥: 0.5 %芝加哥: 0.5 %苏州: 0.3 %苏州: 0.3 %西宁: 21.6 %西宁: 21.6 %贺州: 0.1 %贺州: 0.1 %邢台: 0.1 %邢台: 0.1 %邯郸: 0.2 %邯郸: 0.2 %郑州: 1.8 %郑州: 1.8 %金华: 0.1 %金华: 0.1 %长沙: 0.6 %长沙: 0.6 %青岛: 0.2 %青岛: 0.2 %其他其他Canyon CountryCentral DistrictChinaSeattle上海东莞临汾兰州北京十堰华盛顿州南京厦门合肥呼和浩特哈尔滨嘉兴天津太原威海宁波安庆宣城常州广州张家口成都扬州新奥尔良昆明杭州格兰特县武汉沧州洛阳淄博深圳温州漯河烟台珠海百色盐城石家庄福州芒廷维尤芝加哥苏州西宁贺州邢台邯郸郑州金华长沙青岛

Catalog

    通讯作者: 陈斌, bchen63@163.com
    • 1. 

      沈阳化工大学材料科学与工程学院 沈阳 110142

    1. 本站搜索
    2. 百度学术搜索
    3. 万方数据库搜索
    4. CNKI搜索

    Article Metrics

    Article views (1187) PDF downloads(125) Cited by(12)
    Proportional views
    Related

    /

    DownLoad:  Full-Size Img  PowerPoint
    Return
    Return