金融行业刑法从业禁止制度的适用路径

The Applicable Path of Prohibition System of Financial Industry Criminal Law

当前,上海市金融行业从业人员犯罪数量及涉案金额持续增长,但金融行业规定对内部人员的监督管理和风险防控却存在不足。对金融行业从业人员犯罪情形适用刑法从业禁止制度,通过引入对犯罪主体的职业再犯危险性评价,明确刑法从业禁止制度在金融行业适用的执行机构,并设立定期审查程序,从刑事规制和犯罪预防角度进一步加强对金融机构从业人员的监督管理。

Currently Shanghai’s financial industry practitioners involved crime quantity and amount are growing,lacking the supervision and management of the financial sector regulation on internal personnels,as well as short of risk prevention and control of the financial industry system,the criminal law prohibition system shall be applied to the criminal cases of financial industry practitioners.By introducing the risk assessment of occupational recidivism of criminal subjects,clarifying the enforcement agencies applicable to the criminal law practice prohibition system in the financial industry and setting up regular review procedures,the supervision and management of the employees of financial institutions will be further strengthened from the perspective of criminal regulation and crime prevention.