论刑事合规的刑罚哲学根据

On the Penalty Philosophy Foundation of Criminal Compliance

企业承担刑事责任的法理根据不能墨守传统自然人犯罪的意志中心主义,而应当秉持单位文化责任论。对企业配置重刑的法理不在于报应主义或预防主义,而在于发挥巨额罚金刑对企业犯罪的威慑效力,并辅之以较大的刑罚优惠空间,构造"轻轻重重"的法定刑配置模式。对于合规企业减让刑罚的法理,需以社会契约论廓清国家刑罚权的来源,刑罚减让机制不但能有效抑制企业致罪因素,更有助于激励企业参与到"国家-企业"犯罪合作治理的格局中。

The legal basis for enterprises to bear criminal liability should not adhere to the traditional will centralism of natural person crimes,but should uphold the theory of corporate cultural liability.The legal principle of allocating heavy penalty to enterprises is not retributive or preventive,but to the deterrent effect of huge fine on corporate crime,supplemented by a large space of preferential punishment,and construct a "light and heavy" legal punishment allocation mode.For the legal theory of reducing penalty for compliance enterprises,it is necessary to clarify the source of national penalty power with the theory of social contract.The mechanism of penalty reduction can not only effectively restrain the factors causing crimes by enterprises,but also help to encourage enterprises to participate in the pattern of "state enterprise" criminal cooperation governance.