Access Standards and Incentive Rules for Criminal Compliance
The current judicial practice of corporate compliance in China has the phenomena that violates the basic principles and rules of the criminal rule of law,such as the generalization of criminal compliance incentive objects,inequality,imbalance between crime and punishment,and the non-prosecution of natural persons for serious crimes.This phenomenon reflects the problems of too wide access standards and unclear incentive rules for criminal compliance.The criminal compliance access should first limit the scope of criminal cases involving enterprises,secondly adhere to the review standard of combining the formal and substantive elements,in which the formal elements include the access conditions and negative list,and the substantive elements include the consideration of the necessity of prevention centered around the expression of repentance and social public welfare focused on social contribution and development prospects.In addition to the negligent crimes,it is not allowed to start compliance supervision on the victim enterprise or enterprises not involved in crimes just because ordinary employees have committed crimes involving enterprises.In order to ensure the legitimacy,fairness and legitimacy of the joint incentives for criminal compliance,it is necessary to set restrictions on its application,such as the necessity,slight criminal and balance between crime and punishment,and there is no reason to exclude the directly responsible persons who are not leaders from the incentive objects.
criminal compliancecompliance incentivescompliance accesscompliance non-prosecutionbalance between crime and punishment
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