检警机关在侦查阶段推行企业合规治理的路径探索

Exploration of the Path for the Procuratorial and Police Organs to Promote Corporate Compliance Governance in Investigation Phase

随着涉案企业合规改革的深入,企业合规治理在刑事诉讼程序中的横向延展成为新的探索方向。当前,起诉阶段的企业合规面临诉讼程序之困、合规效益之困与侦查僵局之困,检警机关推行侦查阶段的企业合规治理是值得期待的应对方案。这一路径探索具备法律授权条件、刑事政策条件与实践条件等现实根据。为推动侦查阶段的企业合规治理顺利开展,应明确“以商请启动为主,特定情形依职权启动为补充”的企业合规启动模式,构建检察介入与启动合规双层递进式证明标准体系,并完善与企业合规相适配的侦查措施体系。

With the deepening of the compliance reform of enterprises involved in criminal cases,the horizontal extension of corporate compliance governance in criminal proceedings has become a new exploration direction.At present,the compliance of enterprises in prosecution phase is facing difficulties in litigation procedures,compliance benefits,and investigation deadlock.Promoting compliance of enterprises in investigation phase by procuratorial and police organs is a promising corresponding solution.This path exploration has factual foundations,namely legal authorization conditions,criminal policy conditions,and practical conditions.In order to smoothly promote the implementation of corporate compliance governance in investigation phase,a compliance startup model should be clearly defined,where"startup upon request is the main approach and startup ex officio at specific situations serves as a supplement".Besides,a system of two-layer progressive proof standard for procuratorial intervention and compliance startup should beconstructed,and a system of investigation measures suitable for corporate compliance should be improved.