关键词: 企业合规, 合规监督, 监管人

Abstract: At present,under the leadership of the supreme inspection,our country has introduced the relevant system file to clarify the third-party independent supervisor mode,but still cant effectively avoid the occurrence of the invalid supervision in the compliance supervision.In order to ensure the effective implementation of compliance supervision,it is recommonde to limit the scope of application of third-party compliance supervisor system based on the nature of the case,the role of compliance and timeliness,unify standards from the legislative level,establish fair and reasonable access conditions,and provide legal basis for regulatory authorities and procuratorial organs to exercise their rights and duties.By analyzing the source of obligations of third-party compliance supervisors,this paper clarifies their role positioning,and then clarifies the rights boundaries of compliance supervisors to ensure their independence and neutrality.At the same time,we should strengthen the system guarantee for the third-party compliance supervisors,including the basis,principles,methods,platforms and funds of the compliance supervision work,maximize the advantages of the enterprise compliance supervisor system,and provide guarantee for the effectiveness of the implementation of the compliance non-prosecution system.

Key words: corporate compliance, compliance supervision, supervisor