论企业合规中检察职能发挥的核心要素与模式选择

Core element and model choice of the procuratorial function in corporate compliance

我国当前严峻的企业犯罪形势下,传统的企业犯罪治理模式捉襟见肘,作为企业自治与国家治理结合的成功范例,刑事合规制度在企业犯罪治理中有着独特价值,刑事合规制度源起于西方,制度移植中面临着本土制度土壤刑事合规激励机制缺位、企业建立合规体系动力不足的状况,设置刑事合规激励机制需要解决刑事实体法与程序法的修改、刑事司法权力重新定位、司法职能拓展等诸多问题,检察机关开展企业合规不起诉主要依赖认罪认罚从宽制度、检察机关主导责任与社会治理检察职能的履行等三大核心要素,存在企业合规不起诉制度探索中形成的两种范式都有难以克服的缺陷等问题,引入撤销不起诉机制,尝试制度探索的第三条路径,可以扬长避短,实现对企业合规整改程序约束的实质化,进而提升企业合规治理的有效性。

Under the severe situation of corporate crimes, the traditional corporate crime governance model is hard to deal with.As a successful example of the combination of corporate autonomy and national governance, the criminal compliance system has a unique value in the corporate governance of crime.The criminal compliance system originates from the west, but it is faced with the lack of incentive mechanism in the native system and the lack of motivation in the establishment of the system.To set up the incentive mechanism of criminal compliance needs to solve many problems, such as the revision of criminal substantive law and procedural law, the re-orientation of criminal judicial power, the expansion of judicial function and so on.The procuratorial organ carries on the non-prosecution of corporate compliance to rely on three core elements, the leniency system of pleading guilty and accepting punishment, the leading responsibility of procuratorial organ and the procuratorial function fulfillment of social governance.The two paradigms formed in the exploration of the system of non-prosecution of corporate compliance have defects that can not be overcome.The third way to explore the system of withdrawal of non-prosecution may play to the strengths and avoid the weaknesses of the system, to achieve the substantive constraints of the reform process of corporate compliance, and thus enhance the effectiveness of corporate compliance governance.