Mozharovskyi M. Legal bases of compliance regulation in business field

The dissertation is devoted to providing a complex research of compliance regulation problems in the business field. A retrospective analysis of the formation of «compliance» as a socially important economic and legal phenomenon is performed. The processes of development and results of application of compliance measures in their efficiency are analyzed on the basis of studying the methodology of compliance in a complex, but closely interconnected hierarchical construction of norms and processes. The preconditions for the emergence of compliance in the world, the historical aspects of its legal regulation and the peculiarities of the sources are researched. The connection of compliance concept and its origin with the processes of globalization and internationalization tendencies in the world economy, which determine the presence of international and extraterritorial character, is proved the vast majority of trade and economic relations between economic entities belonging to different jurisdictions, which helped to increase the aleatory nature of international trade and economic relations. The issues of formation of the legislation of Ukraine on regulation of compliance, its formation and ways of development are considered. Performed a systematization of legal prescriptions that form compliance legal basis in Ukraine in order to ensure a sustainable economic and legal order. Economic and legal significance of compliance in modern economic conditions is scientifically substantiated and analyzed. Performed a theoretical and legal analysis of «compliance» concept depending on its specific features, which are the basis of industry affiliation as the most common and widely used mechanisms of internal control of business entity in modern conditions in Ukraine. There are «unified» types of compliance that are necessary for any organization and narrow-profile types which are directly dependent on the specific features of entity. The main elements of the compliance system are systematized and generalized. Researched a content and methods of compliance function implementation as an effective tool for preventing and minimizing of corruption risks, conflicts of interest, non-compliance with standards or violations of applicable laws. Highlighted an advantages of implementation of the compliance function by business entity and a negative consequences that arise when neglecting its implementation. Based on the analysis of the general principles sequence in the business field of Ukraine contained in the Economic Code of Ukraine, as well as the general principles of civil law, the principles of organization of the compliance system in the business field are highlighted. Researched a ways of compliance improving with implementation of foreign experience in the legislation of Ukraine. The world experience of compliance legal regulation efficiency in the business field is systematized and generalized and, on this basis, the objective necessity of compliance measures implementation in a system of business entities' internal control system is scientifically substantiated. Practical proposals and recommendations based on the fundamental possibilities of compliance in business field is developed. Key words: compliance, compliance function, compliance control, compliance sphere, compliance norms, compliance principles, legal entities, business entities.