论我国企业合规不起诉制度的适用问题及完善

On the Application and Improvement of Enterprise Compliance and Non-prosecution System in China

企业合规不起诉制度是企业合规的刑事激励措施,不仅能保护企业的合法权益,而且与域外合规发展趋势相契合。目前,我国企业合规不起诉制度尚处起步阶段。分析涉案企业合规试点案件,理清司法实践中该制度的适用问题,包括“双不起诉”现象频发、适用对象多侧重于中小微企业及多适用于三年以下轻罪案件等。借鉴域外经验,合理设定企业合规不起诉制度的适用对象和适用范围,提出构建符合中国国情的企业合规不起诉制度的完善建议。

The non-prosecution system for corporate compliance is a criminal incentive for corporate compliance,which not only protects the legitimate rights and interests of companies,but also conforms to the development trend of extraterritorial compliance.At present,China’s corporate compliance non-prosecution system is still in its initial stage.This paper analyzed the pilot cases involving corporate compliance and clarified the application of the system in judicial practice,including the frequent occurrence of"double non-prosecution",the application of the system to small and medium-sized enterprises,and the application of the system to misdemeanor cases of less than three years.Based on overseas experiences,we rationalized the target and scope of application of the corporate compliance non-prosecution system,and made recommendations for the construction of a corporate compliance non-prosecution system that is consistent with China’s national conditions.