西方反腐领域新举措：从“各自为政”到“双剑合力”

New Anti-Corruption Strategy in Western Society:From a“Two Thrust Approach”to a“Two Sword One Thrust Strategy”

近年来,各国政府、企业及国际组织都为严厉打击腐败犯罪而努力。政府机关和社会组织形成了两股打击腐败犯罪的力量,即政府机关通过利用、发展和实施公法权力,社会组织通过利用、发展和实施私法制度,二者联合起来共同对抗腐败犯罪。然而,这两股力量却不是相互配合的关系。西方社会出现的打击腐败犯罪的新模式——双剑反腐,同时出力,以补充传统的反腐手段。这种模式融合了国家司法人员在适用反腐败法律时行使自由裁量权以及金融机构控制企业投资融资渠道、施加股东权利的方式来制约和规范市场交易行为。以公诉人实施自由裁量权制度敦促企业革新内部管理、加强自律;在公诉人向企业施压的同时,利用主权投资人的资本权力加强企业的内部管理。两种手段并用,预防腐败。借鉴这两种反腐策略,结合中国具体国情,可以为中国反腐败制度的建设、严厉有效地打击腐败犯罪,提供新的思路。

In recent years,governments,international organizations and enterprises all contribute greatly to the battle of the anti-corruption.The efforts of these institutions consist of the simultaneous application of the development and enforcement of public legal regimes and the implementation and operation of private compliance systems.The compliance systems created by business and regulatory system made by government are not coordinated well.However,recent regulatory and compliance trends suggest the emergence of a"Two Swords One Thrust Strategy"as a supplemental approach to the enforcement of anti-corruption rules and norms.The"Two Sword One Thrust Strategy"combines the power of state officials to exercise discretion in managing anti-corruption laws and the authority of financial institutions to control the access of enterprises to their investment universe or to exercise their shareholder authority to influence corporate behavior.The essay examines the possibility of developing this strategy:the emerging efforts to institutionalize rules for the exercise of prosecutorial discretion in criminal investigations to compel corporate governance reform;at the meantime,the use of market power by sovereign investors to influence compliance oriented corporate governance reform that parallels those advanced by prosecutors.The essay ends by suggesting the utility of this newstrategic thinking for developing Chinese anti-corruption efforts by considering the reality of Chinese regulatory condition.