论《刑法修正案(九)》中的“从业禁止”制度——以证券犯罪为考察视角

Study of "Employment Prohibition" in “Ninth Amendment of Criminal Law”——In the Perspective of the Securities Crimes

《刑法修正案(九)》增设的"从业禁止"制度实际上是一种保安处分,其具有针对性、附属性、可择性、强制性、补充性等特点。就证券犯罪而言,基于自由刑存在诸多固有弊端,罚金刑的威慑力度不大,以及"剥夺政治权利"的适用性不强等司法困境,刑事"从业禁止"的设立和适用是必要的。而刑事"从业禁止"的设立,也适应了证券犯罪的职业性特点,补充了我国刑法预防犯罪的功能,创造了行刑关系准确衔接的条件,具有合理性。对于该制度立法上存在不周延的问题,可以从扩大适用对象范围,明确执行机关,建立与其相对应的复权制度,以及规范决定程序与救济方式等方面着手,在立法层面进一步予以完善。

The system of ＂employment prohibition＂ in ＂Ninth Amendment of Criminal Law＂ is actually one kind of security measures, which is targeted, attachment, optional, mandatory and complementary. For the securities crimes, this system is necessary to be established and applied because of the following reasons for the judicial predicament, such as the inherent disadvantages of freedom penalty, the light deterrent strength of fine penalty, and the weak applicability of ＂deprivation of political rights＂. The rationality is established in the following factors, including adapting to the occupational characteristic of the security crimes, adding the function of preventing crimes in criminal law of China, creating the conditions for convergence of the administrative law and the criminal law. Then the incomplete legislation of this system could be improved in these aspects, for instance, to expand the scope of applicable objects, to explicit its enforcement organization, to establish the corresponding rehabilitation system, to normalize the decision procedures and the remedies, etc.