论涉案企业合规的全流程从宽

作为我国刑事司法领域引入合规的初步尝试,涉案企业合规改革已取得了阶段性成效。但合规整改作为涉罪企业被从宽处理的事由,尚主要适用于审查起诉环节,这既不利于激励企业配合侦查,也不利于推动企业尽早开展合规准备,还影响了合规从宽司法决策的权威性。未来不仅需要统筹推动公、检、法、司等多机关全面配合协作,也需要在区分企业合规责任与“企业家”行为责任的基础上,通过立法修改建立公、检、法、司等多机关共同激励企业合规的制度体系,使“合规整改”逐步成为贯穿刑事诉讼全流程的法定从宽事由,以保障每一个经过刑事司法流程的企业都能由内而外地“改过自新”,全面去除治理结构中的犯罪诱因,实现再犯预防的积极效果。这既是落实“少捕慎诉慎押”刑事司法政策的应有之意,也是“以审判为中心的诉讼制度改革”的必然要求,更是企业犯罪治理从“以惩罚为中心”走向“以矫正为中心”的内在要求。

Compliance rectification,as a reason for granting criminal enterprises leniency,still applies mainly in the prosecution review stage,although the compliance reform of the enterprises involved which is a preliminary attempt to introduce compliance into the criminal justice field in China has achieved phased results.This is not conducive to encouraging enterprises to cooperate with investigations,nor is it workable for promoting the early preparation of compliance,and also affects the authority of compliance leniency.In the future,it is not only necessary to coordinate and promote the comprehensive cooperation of public security organs,procuratorates and courts,and judicial-administrative organs,but also to revise legislation so that a systematic incentivization for enterprise crime can be formed,and the‘compliance rectification’can gradually become a statutory reason for leniency throughout the entire process of criminal justice on the basis of distinguishing enterprise compliance liability and enterpriser behavior liability.With such changes,every enterprise that went through the criminal process can‘rehabilitate’from the inside,and the criminal inducements in the governance structure can be completely removed to achieve the positive effect of recidivism prevention.This is not only the due meaning of implementing the criminal judicial policy of‘less arrest,more careful prosecution,and more careful custody’,but also the inevitable requirement of the‘trial-centered procedure reform’,and also the internal requirement of corporate crime governance from‘punishment-centered’to‘correction-centered’.