“营利性公共执法”在美国监管中的影响及其应对——从中兴华为事件谈起

Effects of and Responses to the“For-Profit Public Enforcement”in American Regulations:Beginning with the ZTE and Huawei Cases

近年来,"营利性公共执法"已经成为美国监管部门执法的一个重要发展趋势。以暂缓起诉协议和不起诉协议为代表的公司刑事和解制度绕过了传统的法庭审判程序,由司法部通过不公开的方式与执法对象达成和解协议,并征收巨额罚款。这种以自利为目的,有违公平、公开、公正的执法形式不仅对市场主体形成了过度的威慑,也导致了执法滥用。"走出去"的中国企业不仅要做好自身的合规管理,更要深入研究美国的监管制度和执法体系,在执法应对、运营管理上做好预案,以应对有可能出现的各种变数和不确定性。

In recent years,"for-profit public enforcement" has become an important trend in the development of law enforcement by American regulatory authorities.The corporate criminal settlements,represented by deferred prosecution agreement and non-prosecution agreement,bypass the traditional trial process and instead involve a negotiated settlement by the Department of Justice and the corporations by way of non-disclosure with a huge fine.This form of law enforcement,which aims at selfinterest and violates fairness,openness and impartiality,not only deters market participants excessively,but also leads to abuse of enforcement."Going global" Chinese enterprises should not only do their own compliance management well,but also study the American regulation and enforcement system in depth,and make contingency plans for law enforcement response and operation management to address various variables and uncertainties that may occur.