Комплаенс как инструмент управления правовыми рисками: к постановке вопроса о соблюдении баланса интересов между предпринимательским сообществом и органами государственного контроля (надзора)

Abstract

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.