刑事合规的意蕴及本土构建——兼论情境犯罪学对企业犯罪预防的启示

The Implication of Criminal Compliance and Its Construction in China——On the Enlightenment of Situational Criminology to the Prevention of Corporate Crime

从刑事合规兴起的背景和目的来看,预防与合作是其真正意蕴。刑事合规作为一种理念创新,最终是要实现对合规文化的倡导和普及。从情境犯罪学的分析视角,刑事合规在企业犯罪预防中主要是通过企业健全组织结构与完善内控机制,主动预防和及时发现违规事件,从而消除刑事风险的隐患。将企业是否实施有效的合规计划与企业刑事责任联系起来,倒逼企业主动实施预防企业犯罪的合规计划以实现企业的内部监管,这与情境预防中依靠增加犯罪成本、减少犯罪机会作为预防犯罪的策略具有契合之处。刑事合规理念需要进行制度和机制上的具体建构才能真正实现其犯罪预防功能。在我国进行刑事合规的本土建构中,离不开刑事法的强制作用,要确立起以建立多元立体的企业犯罪防控体系为目标。在具体刑事合规制度和机制的建构中,存在着如何秉持法治一体化、区分不同语境分层应对不同类型企业的合规风险等诸多难题。

From the perspective of the background and purpose of the nse of criminal compliance,prevention and cooperation are its true meaning.As a kind of conceptual innovation,criminal compliance is ultimately to realize the advocacy and popularization of compliance culture.From the perspective of situational criminology,criminal compliance in corporate crime prevention is mainly through the improvement of corporate organizational structure and internal control mechanism,proactively preventing and timely detection of violations,so as to eliminate the hidden dangers of criminal risks.Linking whether the company implements an effective compliance plan with corporate criminal responsibility forces the company to actively implement a compliance plan to prevent corporate crimes to achieve corporate internal supervision.This is accordance with the situation of crime prevention depends on increasing crime costs,reducing crime opportunities as a crime prevention strategy.The concept of criminal compliance requires specific construction of systems and mechanisms to truly realize its crime prevention function.In the local construction of criminal compliance in China,the compulsory role of criminal law is inseparable,and the goal of establishing a multidimensional corporate crime prevention and control system must be established.In the construction of specific criminal compliance systems and mechanisms,there are many difficulties such as how to uphold the integration of the rule of law,distinguish different contexts and stratify to deal with the compliance risks of different types of enterprises.