涉案企业合规刑行衔接的初步研究

A Preliminary Study on the Unification of Criminal and Administrative Compliance for Corporations Related to Criminal Cases

涉案企业合规改革的推行和深化,离不开行政监管部门的全面配合。检察机关在涉案企业合规改革探索过程中,也较为注重发挥行政监管部门的作用,并尝试利用现有的制度空间解决好与行政监管部门的衔接配合问题。但由于行政监管部门并没有配合刑事执法机关参与办理企业合规案件的法定义务,加上衔接配合的规则和程序粗陋缺失,刑行衔接程序出现不畅问题也就不可避免。不仅如此,在实体衔接和合规标准衔接方面,也存在着难以保障合规激励的有效性和对违法犯罪行为的统一预防等问题。涉案企业合规刑行衔接问题的有效解决,除了需要在法律上明确行政监管部门的法律职责,细化衔接配合的规则和程序以外,还需要检察机关联合相关行政监管部门一起制定刑行合规有效衔接的专项合规整改标准,确立企业犯罪侦查中的"检察引导"制度,并继续优化"双向衔接"机制。

The implementation and deepening of the compliance reform for the enterprises related to criminal cases cannot be realized without a full cooperation of regulatory authorities.During the process of exploring the compliance reform,the procuratorates have paid attention to the involvement of regulatory authorities and try to unite with regulatory authorities under the existing laws.However,since regulatory authorities have no legal obligation to cooperate with criminal law enforcement agencies in terms of participating in corporate compliance cases as well as lacking accurate rules and procedures for such cooperation,it is inevitable that the unification of criminal and administrative enforcement has deficiencies.Moreover,in terms of substantive connection and compliance standard connection,there are problems such as having difficulties in ensuring effective compliance motivations and the integrated prevention of illegal and criminal behaviors.The effective resolution of the problems requires clarifying the legal responsibilities of regulatory authorities,detailing the rules and procedures for the cooperation,and formulating corporate compliance standards in specific areas by regulatory authorities and protectorates.Furthermore,there shall be a prosecutor-orientated system in corporate criminal investigations,continuing to optimize the "two-way convergence" mechanism.