人民法院参与涉案企业合规改革问题研究

人民法院应如何参与涉案企业合规改革已经成为我国理论界热议的话题,这主要源于以检察机关为主导的实践困境与涉案企业合规全流程适用的现实需求。目前,人民法院参与涉案企业合规在审前和审判两个阶段皆存在问题。人民法院的审前参与实无必要,还可能加剧已经凸显的诉审“线性结构”问题。面向未来审判程序的立法改革,基于合规考察报告作为过程性证据材料的定位,人民法院可以从合规的自愿性、有效性和公共利益等方面展开实质审查。在程序机制方面,人民法院应主导审判阶段合规程序的启动,并对合规情况进行监督核实。此外,还应在认罪认罚从宽制度的基础上构建相对独立的合规从宽规则。

How the court should participate in the compliance reform of the involved enterprises has become a hot topic of theoretical discussion,mainly due to the practical dilemma of procuratorial led model and the practical needs of the entire compliance process of the involved enterprises.At present,there are still several theoretical issues regarding court participation in compliance,which can be discussed specifically from the pre-trial and trial stages.The pre-trial participation of the court is unnecessary and may also strengthen the prominent issue of the“linear structure”between prosecution and trial.Regarding the legislative reform of future trial.procedures,based on the positioning of compliance inspection reports as procedural evidence materials,courts can conduct substantive reviews from the perspectives of compliance voluntariness,effectiveness,and public interest.In terms of procedural mechanisms,the court should lead the initiation of compliance procedures during the trial stage and supervise the compliance situation.In addition,on the basis of the leniency system for confession and punishment,consideration should also be given to establishing relatively independent com pliance leniency rules.