企业合规从宽处理的实践样态与建构路径
On the Practical Patterns and Constructive Paths in Using Leniency to Deal with Corporate Compliance
陈卫东 1李国权1
作者信息
摘要
通过对最高人民检察院发布的3批15个企业合规典型案例的分析发现,企业合规从宽改革试点呈现出启动主体、启动事由与处置结果多元化的特点,监管适用前提不明、责任划分标准不清和刑罚激励根据不足的问题比较突出.究其根源,主要在于企业合规从宽处理的制度属性不明.企业合规不宜作为刑事政策或酌定量刑情节,而应当作为法定量刑情节融入我国刑事法律体系.在实体修正上,可以在《刑法》第31条基础上增加两款,将企业合规在刑事实体法上明确为单位犯罪的法定量刑情节.对于事前有效开展合规建设的,作为"应当"型法定量刑情节;对于事后及时有效开展合规建设的,作为"可以"型法定量刑情节.在程序设计上,应合理划定适用范围、实质审查适用条件、刑罚激励的人企分离与确保涉案企业同意的自愿性.
Abstract
Through analyzing fifteen typical cases of corporate compliance included in three batches released by the Supreme People's Procuratorate,this article finds that these cases show the charac-teristics of diversification in subjects,reasons,and results.The reasons for this situation lie in the unclear application prerequisites,unclear division of responsibilities,and insufficient basis for pen-alty mitigation.The basic cause of this lies in the unclear institutional application of leniency in cor-porate compliance.Corporate compliance should not be used as a criminal policy or a mitigating cir-cumstance of sentencing,but should be integrated into China's criminal legal system as a legally prescribed circumstance of sentencing.In terms of substantive amendment,two additional provi-sions can be added based on Article 31 of the Criminal Law,which explicitly stipulates corporate compliance as legally prescribed circumstances of sentencing for unit crimes.For effective compli-ance construction carried out before an incident,it should be a legally prescribed circumstance of sentencing as a must;for effective compliance construction carried out in a timely manner after an incident,it should be a legally prescribed circumstance of sentencing as a permissible type.In terms of procedural design,it is necessary to reasonably define the scope of its application,apply substan-tive review conditions,separate the incentive of penalty for individuals and enterprises,and ensure voluntary agreement of the involved parties.
关键词
企业合规/法定量刑情节/刑罚激励/单位犯罪Key words
Corporate compliance/Legally prescribed circumstances of sentencing/Penalty incen-tive/Unit crime引用本文复制引用
基金项目
中国人民大学科研重大项目(22XNL003)
出版年
2024
NETL
NSTL
万方数据