摘要： 作为回应平台监管挑战的制度方案,合规监管在政策立法和执法实践中都愈发重要。合规监管是由自我监管(企业的合规管理)和后设监管(监管机构对企业自我监管的监管)构成的二阶治理模式。合规监管契合了数字平台的独特性及其对监管提出的敏捷性、预防性、统合性和合作回应性等新要求,可以作为常态化监管的有效制度安排。在方法论上,借助回应性监管理论,合规监管在数字平台监管领域的运用可以采取监管工具金字塔与监管策略金字塔、第三方外部监督机制、对数字守门员的重点监管等制度方案,以实现规范与发展并重的治理目标。

关键词: 企业合规, 合规监管, 数字平台监管, 回应性监管金字塔

Abstract: As an innovative paradigm to respond to the challenges of platform regulation, compliance regulation has become increasingly important in both regulatory practice and policy-and-law-making.Compliance regulation is a second-order governance model consisting of self-regulation (corporate compliance management) and meta-regulation (regulator's compliance regulation).Compliance regulation fits the characteristics of digital platforms and their new requirements for regulation such as agility, prevention, integration and cooperative responsiveness, and can be an effective institutional arrangement for regular regulation.In methodology, with the help of responsive regulation theory, the application of corporate compliance in the field of digital platform regulation can adopt institutional schemes such as the pyramid of compliance regulation tools and the pyramid of compliance regulation strategies, external supervision by third-party control mechanisms, and focused regulation of digital gatekeepers, in order to achieve the platform governance goal of both regulation and development.

Key words: Corporate Compliance, Compliance Regulation, Regulation of Digital Platforms, Responsive Regulatory Pyramid