论法院参与涉案企业刑事合规改革

On the Participation of Courts in the Criminal Compliance Reform of Enterprises Involved in Cases

不同诉讼阶段中法院参与涉案企业刑事合规改革的表现及相关问题各有侧重,具体分为:法院如何审查以合规有效性为基础的量刑建议等实体问题,如何面对分案处理、撤回起诉和延长审限等程序问题,以及法院参与限度等基本问题。解决这些问题的前提是,法院应以优化民营经济法治环境为目标,作为事实裁判者适度穿透合规、作为工作协调者与检察机关联动推进合规。法院参与合规的具体路径如下:检法协作建立以服务审判为导向的、相对统一的合规启动、建设、评估与验收标准;法院参与合规验收工作,构建以合规考察书面报告为核心的多元证据审查体系,提高合规有效性实质审查能力;在现行法基础上审慎应对程序问题,确保法院参与合规科学、规范和高效。

The involvement of courts in the criminal compliance reform of enterprises in different stages of litigation raises various performance-related issues.These issues focus on specific aspects,such as the courts'review of substantive issues like sentencing recommendations based on compliance effectiveness,how to address procedural issues like case division,withdrawal of prosecution,and extensions of trial time limits,as well as basic issues related to the limits of the court involvement.The address these problems courts should strive to optimize the legal environment of the private economy,appropriately incorporate compliance as a factual judge,and collaborate with the pro-curatorial organs to promote compliance as a work coordinator.The specific approaches for the courts participate in compliance are as follows:Courts should collaborate with pro-curatorial organs to establish a relatively unified standards for compliance initiation,construction,evaluation,and acceptance,and these standards should be guided by the goal of serving trial work;courts can participate in compliance acceptance work by establishing a diversified evidence review system centered on written compliance inspection reports,and improve the substantive review ability of compliance effectiveness;While abiding by current laws,the courts should prudently address procedural issues and ensure that their participation in compliance is conducted a scientific,normative,and efficient manner.