厘清刑事合规概念的相关争议——兼谈德国对刑事合规的概念界定

Clarification of the Relevant Disputes on the Concept of Criminal Compliance--Concerning the Definition of Criminal Compliance in Germany

刑事合规作为一个被创设于德国的新兴热点概念,在发展过程中不断存在关于概念自身内涵以及概念之间关系的争议。以德国对刑事合规的概念界定为依托来阐析刑事合规的刑事性特征,则首先可以厘清概念内部的诸项争议,明确刑事合规的内部属性,即刑事性功能兼具预防性与抑制性;犯罪前与犯罪后的刑事合规发挥着不同作用;刑事合规的来源包括外国法;等等。其次亦可厘清刑事合规与合规以及合规子项的关系,即刑事合规是合规的下位概念,但其具有概念存在的意义;刑事合规与其他合规子项,特别是行政合规之间并不排斥,在国家与企业层面皆应并举,以促进我国企业合规的全方位发展。

As an emerging concept established in Germany,criminal compliance has been constantly controversial in the course of development about its own connotation and the relationship between other relevant concepts.Based on the definition of criminal compliance in Germany,its criminal characteristics can be explained.Firstly,the controversies within the concept can be clarified,and the intermnal attributes of criminal compliance can be defined,that is,the criminal function of criminal compliance is both preventive and inhibitive;the criminal compliance before and after the crime plays different roles;sources of criminal compliance include foreign law;and so on.Secondly,the relationship between criminal compliance and compliance as well as the sub-items of compliance can also be clarified,that is,criminal compliance is the subordinate concept of compliance,but it still has the meaning of existence as a concept.Criminal compliance and other compliance sub-items,especially administrative compliance,are not mutually exclusive,and should be promoted simultaneously at the national and enterprise levels to promote the all-round development of corporate compliance in China.