数据犯罪案件中合规辩护的类型化分析及其展开

Compliance Defense in Data Crime Cases:A Typology Analysis

数据犯罪案件中的合规辩护,是指辩方以涉案企业的数据合规情况为基础展开的辩护活动。以辩护主体为基准,可区分单位被告人的合规辩护与自然人被告人的合规辩护,后者还应进一步区分负责人被告人的合规辩护与职员被告人的合规辩护;以辩护目标为基准,可区分合规出罪辩护与合规罪轻辩护。不同主体的合规辩护在逻辑、理据和目标上既可能协同,也可能存在抵牾。涉罪特征、涉案企业概况与合规场景是影响合规辩护的关键变量因素。单位被告人的合规辩护与自然人被告人的合规辩护在操作要点上存在区别。合规计划有效性与合规整改激励正当性等因素划定了合规辩护的边界,决定着合规辩护能否取得预期效果。

In data crime cases,compliance defense is a defense activity carried out by the defense based on the compliance of the companies involved.Taking the subject as the benchmark,the compliance defense of corporate defendants can be distinguished from the of individual defendants.The latter should further distinguish the defense of the responsible defendant from the defense of the employee defendant.Taking the target of the defense as the benchmark,a distinction can be made between a compliant exculpatory defense and a compliant misdemeanor defense.The compliance defense of different subjects may be synergistic or contradictory in logic,rationale,and objective.The characteristics of the crime involved,the profile of the company involved and the compliance scenario are the key variables that influence the compliance defense.The compliance defenses for corporate defendants and individual defendants differ in operational points.The compliance program effectiveness and compliance rectification incentive legitimacy,etc.delineate the limits of the compliance defense and determine whether compliance defense can achieve the expected effect.