企业合规人员不作为刑事责任探析

An Analysis of Criminal Liability for Omissions of Compliance Officers

在企业的合规管理体系中,合规人员既需负责识别合规义务、提供合规建议等前置的预防型工作,也需负责识别合规风险、监督违规事件等具体的回应型工作。合规人员没有保护保证人义务。当合规人员的先行行为创设或升高了法益侵害危险时,负有监督保证人义务。对于没有指令权的合规人员而言,当其仅负责预防型合规工作时,无监督保证人义务;但当其在回应型合规工作中对企业危险源有信息优势时,因对危险源存在部分支配而负有监督保证人义务。合规人员不作为刑事责任的范围不宜过分扩张:应合理限定作为义务的内容,审慎判断作为可能性、因果关系、故意或过失是否成立,合规人员故意不阻止员工故意犯罪时大多成立帮助犯,针对合规人员增设业务监督过失罪的建议有失妥当。

In the company’s compliance management system,compliance officers are responsible for both preemptive,preventive tasks and specific,responsive tasks.The former includes work such as identifying corporate-compliance obligations and providing compliance advice,while the latter includes work such as identifying compliance risks and supervising incidents of non-compliance.Corporate officers are not under the duty to act as“Beschützer-Garant”.When the“Ingerenz”of compliance officers create or increase the risk of infringement of legally protected interests,they must act as“überwachungsgarant”.Compliance officers without the authority to instruct have no obligations to act as“überwachungsgarant”when they are only responsible for preventive compliance work,but bear the duty to act as“überwachungsgarant”when they deal with responsive compliance work and have the information advantage over corporate hazards because they partially dominate over the hazardous sources.The scope of criminal liability for omissions of compliance officers should not be overly expanded.The content of the obligation to act should be reasonably limited.It has to be judged prudently whether the possibility of action,causation,and mens rea are established.The compliance officer’s intentional failure to prevent intentional offenses of other employees is generally distinguished as aider rather than principal.Besides,the suggestion that the crime of vocational supervisory negligence be added once compliance officers is unreasonable.