压制或协商:企业合规调查运行逻辑探析

Repression or negotiation:analysis of the operational logic of corporate compliance investigations

在刑事合规体系中,企业通过构建管理制度、优化运行机制等合规模式,防止刑事责任风险现实化。企业主导下的合规调查不仅是企业内部治理和自我监督的一种手段,也是刑事合规体系建设的重要一环。当前,企业合规调查尚未与两种刑事合规流向——检察建议与附条件不起诉制度实现良好兼容。对企业合规调查的基本性质和运行边界进行探讨,就可以发现其主要围绕协商性逻辑运转。从发现违法到全面合规,应当建构企业调查的协商推进模式,以配合执法调查、刑事侦查活动,共同防范与治理企业犯罪。

In the criminal compliance system,enterprises prevent the actualization of criminal liability risks by constructing management systems and optimizing operating mechanisms.Corporate-led compliance investigation is not only a means of corporate internal governance and self-supervision,but also an important part of the establishment of a criminal compliance system.Currently,corporate compliance investigations have not yet achieved good compatibility with the two types of criminal compliance flows——procuratorial recommendations and the conditional non-prosecution system.Discussing the basic nature and operating boundaries of corporate compliance investigations,we can find that it mainly revolves around negotiation logic.From the discovery of violations to full compliance,a negotiation promotion mode for corporate investigations should be constructed to cooperate with law enforcement investigations and criminal investigation activities to jointly prevent and manage corporate crimes.