非国家工作人员受贿罪案件适用涉案企业合规制度的空间与路径

Spaces and Paths for the Application of Compliance Systems for Enterprises Involved in Cases of Bribery Offences for Non-State Officials

在非国家工作人员受贿罪案件中,并非每个涉案企业的财产性利益均遭受侵害,且本罪保护法益应为公平竞争机会,保护的直接对象是市场潜在竞争主体,企业非该罪中纯粹的“被害人”,因而涉案企业合规制度对这类案件应当是有适用空间的。企业对促进本罪法益恢复的优势与对自身所创设风险的管控义务,为在本罪案件中适用涉案企业合规制度提供了正当性基础。为实现积极营造法治化营商环境、促进企业规范发展的涉案企业合规改革目标,对这类案件适用涉案企业合规制度应当坚守企业自愿原则、明确损益平衡、聚焦专门整改。只有经过对适用基本条件、利益损失、自愿性、企业过错等关键要素分步骤、层次化的判断,才可以分别对符合“合规激励”类型的非国家工作人员受贿罪案件适用涉案企业合规,并对符合“积极引导”类型的案件适用非涉案企业合规。新出台的《刑法修正案(十二)》进一步加强了对民营企业内部腐败的防范治理,对该类犯罪积极探索适用涉案企业合规制度,有助于促进企业高质量成长,从而真正实现保护民营企业、民营经济的合法权益,助其行稳致远的目标。

In cases of bribery offences for non-state officials,not every enterprise involved in cases has suffered an infringement of its property interests,and the legal interest protected by this crime should be the fairness of competitive opportunities,its direct object is the potential market competitive subjects,the enterprise is not a pure“victim”in the offence,thus there should be spaces for application of compliance systems for enterprises involved in cases in question.The advantages of enterprises in promoting the restoration of the legal interests of the offense and the obligation to control the risks they create provide a legitimate basis for the application of compliance systems for enterprises involved in cases.In order to realize the goal of actively creating a business environment based on the rule of law and reforming compliance for enterprises involved in cases to promote the standardized development of enterprises,the application of the compliance systems for enterprises involved in cases should adhere to the principle of enterprise voluntariness,clarify the balance of profit and loss,and focus on specialized rectification.Only after a step-by-step,hierarchical judgment of the key elements of basic conditions of application,profit and loss,voluntariness and the fault of the enterprises can the compliance for enterprises involved in cases be applied to cases of bribery offence for non-state officials that meet the type of“compliance incentive”,and compliance for enterprises not involved in cases be applied to cases that meet the type of“positive guidance”,respectively.The newly introduced Amendment(XII)to the Criminal Law has further strengthened the prevention and governance of internal corruption in private enterprises,and the active exploration of the application of the compliance system for enterprises involved in cases in this type of crime will help to promote the high-quality growth of enterprises,thereby truly realizing the goal of protecting the legitimate rights and interests of private enterprises and the private economy,and assisting them in their steady progress.