企业合规不起诉制度本土化的可能及限度

Possibility and Limits of Localization of Corporate Compliance Non-prosecution System

从域外经验看,企业合规不起诉制度在强制企业完善合规体系、及时弥补损失、稳定市场秩序、优化营商环境等方面具有重要意义。借鉴域外的企业合规不起诉制度并对其进行本土化改造,不仅在法经济学上具有理论可能,而且从当前的法治发展成果看,也具备制度可能和实践可能。企业合规不起诉制度在我国的本土化应当有其限度,即采用狭义不起诉的一元制模式,以刑事和行政法律规范体系的完善为前提,适用对象严格限定为单位犯罪而非自然人犯罪,且只有在认定单位犯罪事实的证据达到刑事证明标准的情况下,在审查起诉阶段适用。

From the perspective of foreign experience,the non-prosecution system for corporate compliance is of great significance in compelling companies to improve the compliance system,make up for losses in a timely manner,stabilize market order,and optimize the business environment.Drawing lessons from the non-prosecution system for non-prosecution of enterprises outside the territory and transforming it locally is not only theoretically possible from the perspective of law and economics,but also has institutional and practical possibilities from the perspective of current legal development results.The localization of the corporate compliance non-prosecution system in my country should also have its limits,that is,the narrow non-prosecution model is adopted,the perfection of the criminal and administrative legal system is the premise,the applicable objects are strictly limited to unit crimes rather than natural person crimes,the evidence of the unit’s criminal facts meets the criminal proof standard,and only applicable at the review and prosecution stage.