行刑衔接视野下企业合规教义学化发展的二元构建

A Dualistic Construction of the Development of Corporate Compliance Catechesis in the Perspective of the Execution-crime Interface

作为一项域外的司法实践,企业合规在多个部门法中展开探讨有利于合规制度在本土的司法实践中落地生根。然而,无论是刑事实体法还是刑事程序法均缺乏相关的合规立法规定,这在一定程度上导致了合规研究的虚幻化和合规实践的被动化。对于企业合规的研究应当从教义学化的角度,立足于中国的现行法与司法实践,在行政法与刑事法之间展开体系化的构建。这种体系化的企业合规既包括实践性的行政合规,也包括判断性的刑事合规。其中,行政合规以行政规范的要求为原点,以合规指引的引导为参照,是企业合规确立的基础,是企业守法最直观的体现;刑事合规以法益保护为核心,企业通过识别需要保护的集体法益,并将合规义务分配到集体法益所保护的不同价值中,从而实现合规计划的有效性。在这种二元逻辑下,行政合规可为刑事合规的法益识别提供依据,刑事合规可以检视行政合规建立的有效性,由此实现二元合规的双向互动。

As an extraterritorial judicial practice,corporate compliance has been explored in a number of departmental laws to help the compliance system take root in local judicial practice.However,both the criminal substantive law and the criminal procedure law lack relevant compliance legislation,which to a certain extent has led to the illusion of compliance research and the passiveization of compliance practices.The research on corporate compliance should be based on China’s current law and judicial practice from the perspective of doctrinalization,and carry out a systematic construction between administrative law and criminal law.This systematic corporate compliance includes both practical administrative compliance and judgmental criminal compliance.Among them,administrative compliance takes the requirements of administrative regulations as the origin and the guidance of compliance guidelines as the reference.It is the basis for the establishment of corporate compliance and the most intuitive embodiment of corporate compliance;criminal compliance takes the protection of legal interests as the core,and the company passes identification The collective legal interests that need to be protected,and the compliance obligations are allocated to the different values protected by the collective legal interests,so as to realize the effectiveness of the compliance plan.Under this dual logic,administrative compliance can provide a basis for the identification of legal interests of criminal compliance,and criminal compliance can examine the effectiveness of the establishment of administrative compliance,thereby realizing the two-way interaction of dual compliance.