法院参与企业合规改革的基本定位

The Basic Orientation of the Court's Participation in Enterprise Compliance Reform

通过梳理法院参与企业合规改革的规范性文件和案例,可以将法院参与企业合规改革的基本定位,概括为企业合规整改的审查主体、企业合规整改成效的确认主体、企业合规考察的组织主体。对于在审查起诉阶段、审判阶段已经完成的企业合规整改,法院在审判程序中对企业合规整改的有效性,以及有效企业合规整改对于量刑的影响进行审查;在此基础上,法院对有效合规整改的成效进行确认,并在具体量刑中予以体现;法院独立组织合规考察程序,或者与人民检察院联合组织合规考察工作,体现出法院的组织主体地位。法院的每一种定位,都具有不同的特点,也存在各自的理论依据和需要进一步讨论的问题。

By sorting out the normative documents and cases of the court's participation in enterprise compliance reform,we can summarize the basic orientation of the court's participation in enterprise compliance reform as the subject of enterprise compliance rectification,the subject of confirmation of enterprise compliance rectification effect,and the organizational subject of enterprise compliance inspection.For the enterprise compliance rectification which has been completed in the stage of prosecution and trial,the court examines the effectiveness of enterprise compliance rectification in the trial procedure and the impact of effective enterprise compliance rectification on sentencing.On this basis,the court confirms the effectiveness of effective compliance rectification and reflects it in specific sentencing.The court independently organizes the compliance inspection procedure,or jointly organizes the compliance inspection procedure with the people's procuratorate,which reflects the court's organizational subject status.Each orientation of the court has different characteristics,and there are also their own theoretical basis and topics for further discussion.