기업범죄 억제를 위한 제안으로서 컴플라이언스 프로그램(Compliance Program)

Compliance Programs were created initially in order to comply of laws and to supply the incompleteness of laws. Compliance program created to prevent a breach of the law beforehand and to detect violations in an early stage for correction. The government’s regulations apply uniform sanctions despite the diversity of character to be regulated. This nature raises the dilemma of regulations. In order to prevent the dilemma of regulations, laws should admit diversity and be established through communication with participants rather than through commanding and controlling. Compliance programs were started as guidelines for companies to comply the laws, but they function as a ground for the exchange of perspectives between the government and corporations. There is a minimum requirement for an effective management of compliance program. The common elements included in the compliance program can be summarized as the following seven items: the CEO’s declaration of compliance objective and policy, appointment of the Compliance Officer, production and distribution of the compliance manual, implementation of compliance education for staff members, an in-house corporate monitoring system, disciplinary measures against competition law violators, and a document management system. Besides, a compliance program can include various elements for detecting and preventing criminal conducts. The effects of a compliance program include the prevention of over-regulation and regulation failure resulting from inadequate knowledge. Discussion on the mandatory introduction of a compliance program is going on actively. The need of a compliance program is undeniable, but the continuous operation of such a program is costly and the uniform application of a compliance program regardless of company size may make the program perfunctory. Accordingly, compliance programs should be based on voluntariness. It is desirable to provide incentives for the introduction of a compliance program. The compliance programs supply to set up clear standards for staff members of the corporation.