Compliance as a legal instrument for minimizing risks and prevention of offences

Popondopulo, Vladimir F.; Petrov, Dmitrii A.

doi:10.21638/spbu14.2020.107

Cited by 5 publications

(1 citation statement)

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“…The result of entrepreneurial activity cannot be guaranteed, because it depends on many external and internal factors, objective and subjective reasons, which predetermines the discussion of entrepreneurial risk, its limits and minimization mechanisms (Popondopoulo et al, 2020). A special way to increase the effectiveness of legislation on entrepreneurship is criminal responsibility for entrepreneurial activities.…”

Section: Theoretical Basismentioning

confidence: 99%

Features of the Prevention of Entrepreneurial Offenses in the Formation of a Legal State

Bizhan,

Sabirov,

Rakhmetova

et al. 2023

J. of Law and Sust. Develop.

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Object of study: The article deals with the measures of prevention of criminal offenses in the field of business according to the legislation of the Republic of Kazakhstan. Based on the results of the survey conducted with entrepreneurs and specialists engaged in the investigation of crimes in the field of business, the author, while studying the personality of the criminal in this field, determining the causes and consequences of crime and the dynamics of its growth, proposes comprehensive measures for the prevention of business crimes. The main goal of the research is a comprehensive analysis of criminal legislation and criminological issues of crimes whose subject is an entrepreneur, as well as theoretical justification and systematic development of organizational and legal measures that provide action against the illegal behavior of this category of persons on this basis. Methodology: Based on the basics of empirical research, the researcher is increasing the relevance of the article by means of legal analysis, survey research and other critical methods. The main materials of the research are the materials of 500 criminal cases in the archive, the results of the answers received from 400 citizens in a number of regions of the country, the results of the answers received from 300 practical employees of the city and district Internal Affairs Departments, the Financial Police and Legal statistics of the Ministry of Internal Affairs, the Ministry of Justice, the Anti-Corruption Agency and the Prosecutor General and statistical data of the information reporting committee. Main results: As a result of the study, a proposal was made to make changes to the criminal legislation of the Republic of Kazakhstan to hold those who have committed criminal offenses in the field of economic activity responsible for business entities (representatives of small, medium and large businesses). Theoretical contributions: A special way to increase the effectiveness of legislation on entrepreneurship is criminal responsibility for entrepreneurial activities. Traditionally, criminal responsibility is a state coercion and the most severe punishment is always a measure of influence against the offender. According to scientists, it has been proven that as a result of the economic growth of the country, the crime rate will decrease.

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Section: Theoretical Basismentioning

confidence: 99%

Features of the Prevention of Entrepreneurial Offenses in the Formation of a Legal State

Bizhan,

Sabirov,

Rakhmetova

et al. 2023

J. of Law and Sust. Develop.

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Organising compliance controls in the context of the digital economy

Головин¹,

Луценко²,

Шендрикова³

2021

Proceedings of Voronezh State University. Series: Economics and

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Предмет. Современные условия ведения бизнеса и процессы цифровизации и цифровой трансформации предприятий требуют применения эффективного инструмента, обеспечивающего достижение высоких конкурентных преимуществ и обеспечение всех этапов цифровизации и цифровой трансформации информационной базой. В следствии чего, службы комплаенс и соблюдения этических требований становятся стратегическими партнерами высшего руководства, нацеленного на проведение цифровой трансформации и обеспечение применения передовых решений в процессе деятельности компаний. Цели. В статье авторами обоснована актуальность применения комплаенс в деятельности отечественных компаний; рассмотрены основные принципы и подходы к содержанию данного понятия; принципы его осуществления; проведена сравнительная характеристика и выявлены отличительные особенности комплаенс-контроля в России и странах Запада; рассмотрен опыт реализации комплаенс в компании ПАО «СИБУР Холдинг»; выделены направления совершенствования комплаенс-системы предприятия, направленные на проведение эффективной цифровизации и цифровой трансформации. Методология. В процессе достижения поставленных целей использовались методы научного познания: диалектический; анализа и синтеза, сравнения. Исследование построено на изучении актуальной научной и периодической экономической литературы. Выводы. Результаты сравнения особенностей осуществления комплаенс-контроля в России и странах Запада позволили выделить отличительные черты, присущие организации комплаенс на отечественных предприятиях. Рассмотренный положительный опыт реализации комплаенс в компании ПАО «СИБУР Холдинг» и изучение роли комплаенс в осуществлении эффективной цифровизации и цифровой трансформации предприятий, позволил авторам сформулировать основные направления совершенствования комплаенс-систем для российских предприятий.

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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

Brosalina¹

2022

Cur. Issues of the State and Law

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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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Compliance as a legal instrument for minimizing risks and prevention of offences

Cited by 5 publications

References 0 publications

Features of the Prevention of Entrepreneurial Offenses in the Formation of a Legal State

Features of the Prevention of Entrepreneurial Offenses in the Formation of a Legal State

Organising compliance controls in the context of the digital economy

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

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