国有企业刑事合规制度的法理重塑

The Remodeling of Legal Theory for State-owned Enterprise Criminal Compliance System in China

当前,我国国有企业正在开展合规管理试点工作,但是缺乏必要的理论积累与精准的实践认知,刑事合规制度及其运行需要新的法理重塑。企业经营自由与经济秩序安全的平衡既是风险刑法的价值取向,也是企业刑事合规的观念指引。国有企业刑事合规制度建设旨在推动单向度刑事治理模式变革,同时也致力于风险多元化视角下积极构建契合刑事罪状论的刑事合规制度体系。基于国有企业特有的监督实效与执行合规考量,国家法、国有企业与国资监管三个层面的刑事合规阶层性分类理论无疑成为实现企业风险防控制度有效融合与刑事合规"行稳致远"的法理基础。

The current compliance management pilot work being carried out in our state-owned enterprises lacks the necessary theoretical accumulation and practical knowledge of precise,which directly leads to the urgent need for theoretical reshaping of the criminal compliance system itself.The balance between the freedom of enterprise operation and the security of economic order is not only the value orientation of risk criminal law,but also the concept guidance of enterprise criminal compliance.The criminal compliance system of state-owned enterprises not only promotes the reform of the unidirectionality criminal governance model,but also actively constructs a criminal compliance system that conforms to the theory of criminal charges from the perspective of diversified criminal compliance risks.Based on the effectiveness of supervision and implementation compliance considerations,the stratum classification theory of criminal compliance based on the three levels of state-owned enterprises,national laws and state-owned assets supervision undoubtedly becomes the legal basis for realizing the effective integration of corporate risk prevention and control and criminal compliance"stable and far-reaching".