作者：赵万一
作者介绍：西南政法大学民商法学院教授
出版日期：2020年4月9日
内容提要 公司法作为合规制度的最重要载体，对整个合规制度的构建具有基础和核心 作用。为此，既需要对国外涉及合规要求的制度进行必要的甄别和借鉴，又需要对我国现有 的涉及合规要求的规则和制度进行提炼、归集和升华。在兼收并蓄的基础上制定出一部既能 满足公司的营利性和道德性双重需要，又能对世界公司法发展起一定引领作用的模范公司法 典。具体的实现路径是：首先以塑造公司的良好道德品格为基点，从基本原则层面将合规要 求作为公司组织和相关成员的基本义务；然后从具体制度设计层面将其规定为公司组织、公 司负责人和公司工作人员的基本行为准则；最后通过缜密的法律责任制度，强化公司的合规 意识和道德担当意识。促成公司在成为先进生产力践行者的同时，还要成为社会责任的积极 承担者和公序良俗的模范遵守者。
关键词 合规制度 公司法理 公司法 制度设计
Abstract: Company laws are the major means to realize the regulations-compliance and also play a central and foundational role in the establishment of the regulations-compliance. China needs to set a model corporation code by examining and learning from compliance regulations or relevant rules established in other countries and also by improving on the current compliance regulations in China. The model corporation code will simultaneously meet companies’needs to make profits and be ethical. And the code will also play a leading role in promoting the development of company laws around the world. It is suggested that the following steps be followed in the establishment of the model corporation code. First, as a basic principle, compliance regulations need to be set as the basic obligations to be fulfilled by corporations and their personnel, based on shaping the good moral character of corporations. Second, in the design of specific regulations, compliance regulations need to be set as the basic code of conduct for corporations and their personnel. Finally, meticulous legal liability systems are needed to reinforce companies’awareness of compliance and ethics. Companies are not only the practitioners of advanced productive forces, but also need to be models in actively undertaking their social responsibilities and complying with public order and good custom.