CONTROL OVER BUSINESS AND PROFESSIONAL ACTIVITIES IN THE CONTEXT OF SELF-REGULATION

Abstract

The institution of self-regulation in the Republic of Kazakhstan is gradually becoming widespread in business and professional activities. The control organized by a self-regulatory organization in relation to its members (participants) is an important element of the entire system of self-regulation, which ensures compliance with accepted internal rules of conduct and norms for the implementation of selected activities.

The article examines the content of legislative norms regulating the execution of internal control in the context of self-regulation (form, subject, procedure for the participation of specialized bodies, the legal capacity of the subject of control and the inspecting person, as well as the procedure for completing the inspection and imposing penalty measures). In the course of the study, the boundaries of the subject of internal control (the documents for compliance with the requirements of which verification is aimed) are established, which, in theory, are associated with the specifics of the legal nature of a self-regulating organization.

The scientific approach to understanding the nature of a self-regulating organization explains the specifics of the limits of the control function in organizations with mandatory and voluntary types of self-regulation. The type of self-regulation determines the scope of control, as well as the limits of the application of penalties. Self-regulatory organizations based on compulsory membership (participation) have the right to verify that their members (participants) comply with the requirements of internal acts and legislation, as well as to apply coercive measures, since exclusion from membership (participation) in the organization prohibits a person from continuing to carry out activities. Self-regulatory organizations based on voluntary membership (participation) have the right to exercise internal control only over compliance with the requirements established in local documents, and applied by them measures of influence are disciplinary or organizational in nature and do not interfere with the further implementation of activities.

Based on the results of the study, certain shortcomings of the legal regulation of the organization of the control function in self-regulating organizations were identified, and proposals were made to eliminate them. The results of the study can be used to improve legislation in standard-setting activities.