作為回應型法的典型,公司合規在美國過往60年的發展歷程之中,從公司商業實踐、政府規制到刑事制裁的分散源頭,在1990年代匯集成為一個完整的制度。合規不僅僅是公司犯罪制度的升級,也是公司治理乃至公司理論在社會實踐中演化的結果。兩者之間的相互支持形成了今天的制度,但是這種互動演化仍然在進行之中,存在著諸多不同層面和視角的爭議。中國已有的合規實踐表明,由于整體制度尤其是法律制度中的基礎性條件的缺乏,導致合規在中國的施行存在著諸多困難。已有的實踐盡管出現了變異,但采納合規仍然是法律制度的進化方向。

Corporate compliance program can be viewed as an exemplification of "responsive" legal institution, emerged and evolved in the U.S. for sixty years, converged into a matured legal institution through diversified branches of corporate business practice, regulatory reform and criminal sentencing rules. Corporate compliance is not only an updated criminal sanction, but also a result of corporate governance and corporate theories evolved on the basis of social movement. Although the process of evolution is still transcending, interacted by corporate governance and legal enforcement, criticism, suspicion, and rebuttal was introduced in different perspective and extent in legal community. China’s existed corporate compliance programs face many obstacles due to shortage or limitation of fundamental institutions. The paradox of China’s corporate compliance program is revealed and reviewed, and need to be solved in expectation of transformation of existing legal fundamental institutions.