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涉案企业合规改革实践的刑法教义学反思及展望

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近年来,在最高人民检察院的推动下,经过试点基层检察院的不断探索和创新,我国涉案企业合规改革取得了显著成效。通过对我国企业合规典型案例的分析:一方面可以发现企业合规广泛适用于大中小微型企业和轻罪重罪案件等本土化举措;另一方面也暴露合规不起诉有违刑法基本原则,进而危及刑事法治的问题。在"以审判为中心"的诉讼制度改革要求法院参与刑事涉企合规的大背景下,必须为企业合规作为刑事激励措施的正当性提供刑法教义学根据。此时,就需要将合规案件的处理模式作为方法论课题,构建相应的单位犯罪论;在此基础上,将企业合规的出罪根据作为本体论课题,阐明其阻却犯罪成立的机制。
Reflection and Prospects on the Criminal Doctrinal Study of Reform Practices in Corporate Compliance for Involved Enterprises
In recent years,with the promotion of the Supreme People's Procuratorate and the continuous exploration and innova-tion by pilot grassroots procuratorates,China's corporate compliance reform has achieved remarkable results.By analyzing typical ca-ses of corporate compliance in China,it can be observed that compliance measures are widely applicable to enterprises of all sizes,ranging from large to small,and to cases involving both minor and serious crimes,demonstrating localized initiatives.However,it also reveals the problem that non-prosecution of compliance violations contradicts the fundamental principles of criminal law and jeop-ardizes the rule of law in criminal justice.In the context of the judicial reform that emphasizes the centrality of trials and requires the active participation of courts in criminal compliance of enterprises,it is necessary to establish the legitimacy of corporate compliance as a criminal incentive measure based on the doctrinal study of criminal law.At this point,it is crucial to treat the handling of compli-ance cases as a methodological issue and develop corresponding theories on corporate criminality.On this basis,the basis for the dec-iminaliztion of corporate compliance is treated as an ontological subject,and the mechanism by which it prevents the establishment of a crime is clarified.

corporate compliancetypical casescriminal doctrinal studyfundamental principles of criminal lawlegitimacy basis

毛乃纯

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郑州大学法学院,河南郑州 450001

企业合规 典型案例 刑法教义学 刑法基本原则 正当性根据

中国犯罪学学会2022年度研究课题

FZXXH2022F17

2024

贵州大学学报(社会科学版)
贵州大学

贵州大学学报(社会科学版)

CHSSCD
影响因子:0.566
ISSN:1000-5099
年,卷(期):2024.42(2)
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