检察机关主导企业合规:正当性与有限性

Procuratorial Organs Leading Enterprise Compliance:Legitimacy and Limitation

检察机关在宽严相济刑事政策指导下依法开展企业犯罪相对不诉适用机制改革有着绝对的正当性,但在企业合规改革中,检察权的边界必须清晰。检察权的公益性是检察机关参与企业合规的理论依据,法律监督权是检察机关主导涉案企业合规之法理基础。主导涉案企业合规,检察机关需有机融合运用现有的刑事司法制度,充分发挥检察意见、检察建议等监督手段。检察权是公权力,检察机关要时刻关注职权的有限性,认识到刑事合规只是企业合规的内容之一,刑事合规第三方考察评估与监管务必是真正意义上的“第三方”,保持独立性与专业性,以维护司法公正,捍卫司法公信力。检察机关在主导企业合规的实践中罪刑不能违背法定的基本原则,保护企业的同时不纵容犯罪;同时需加强与公安机关、法院的沟通配合,使企业犯罪得到社会治理和源头治理。

The procuratorial organs has absolute legitimacy to carry out the reform of corporate crimes under the guidance of Criminal Policy of Combining Leniency with Severity,but in the enterprise compliance reform,the boundary of the prosecution must be clear.The public welfare of the procuratorial power is the theoretical basis for the participation of the procuratorial organs in compliance in the enterprise,and legal supervisory authority is the legal basis for procuratorial organs to lead the compliance of enterprise.The procuratorial organs need to use the existing criminal justice system organically and fully use the supervision methods such as procuratorial opinions and procuratorial recommendations to promote the compliance of enterprise.Meanwhile,it is necessary for the procuratorial organs to pay attention to the limitations of its function and to know criminal compliance of enterprise is only a part of corporate compliance.The examination of compliance of the involved enterprise and supervision of enterprise compliance must maintain independence and professionalism so that judicature justness and judicial credibility can be safeguarded.In the practice of the procuratorial organs leading the criminal compliance of enterprise,the basic principle of legality cannot be violated,the system framework of criminal procedure cannot be broken,the enterprise crime should not be connived when the enterprises are protected by the procuratorial organs.At the same time,it is necessary to strengthen communication and corporation with public security organs and courts to achieve social governance and source governance of corporate crimes.