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刑事合规的实践难题、成因与立法思路——以企业合规改革试点典型案例为视点 被引量:44

Difficulties and Cause in Criminal Compliance Practice and Legislative Reflection:From the Perspective of Typical Cases of Pilot Corporate Compliance Programs
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摘要 高检院公布的典型案例表明,刑事合规在实践中存在合规实效难以保证、适用前提尚不明确等突出难题。其主要原因,是以自然人为假想对象的刑事立法难以为当前试点工作提供充分法律支持。因此,有效发挥合规制度的功能需要进行刑事立法改革,遵循企业责任客观化、二元化与推定化,制裁多样化、弹性化以及程序相对独立等原则,增设单位缓刑、附条件不起诉以及刑事合规考察特别程序。 Typical cases of pilot corporate compliance programs issued by SPP shows that there exist noticeable problems in practice such as effectiveness of compliance programs cannot be ensured,preconditions of imposing compliance surveillance aren’t clear,etc.one of the main causes of these difficulties is that current criminal legislation with natural persons as punishment target in mind cannot offer sound legal support.Therefore,it is necessary to carry out legislative reforms to make criminal compliance system function properly,which shall follow principles such as objectification and dualism of corporate liability and relative separation of procedures and add such systems as corporate probation and conditional non-prosecution agreement and special proceedings for compliance surveillance.
作者 周振杰 Zhou Zhenjie(College for Criminal Law Science of Beijing Normal University,Beijingl00875)
出处 《政法论丛》 CSSCI 北大核心 2022年第1期106-115,共10页 Journal of Political Science and Law
基金 北京市社科基金一般项目“北京市企业贿赂犯罪的现状与预防”(16FXB012)的阶段性研究成果。
关键词 刑事合规 实践问题 企业责任 立法建议 criminal compliance practical difficulties corporate liability legislative proposals
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