我国刑法中的单位犯罪规定与企业合规不起诉改革实践

The Provisions of Unit Crime in China’s Criminal Law and The Reform Practice of Nonprosecution for Enterprise Compliance

在企业合规改革试点制度目前尚无实体法方面的根据的大背景下,要实现对实施企业合规改革的企业从宽处理的效果,只能从我国现行刑法中有关单位犯罪的条文中去寻找。我国单位犯罪规定的特点是,在自然人刑法中,以单位自身犯罪的形式加以规定,在处罚上实施“双罚制”。这种特点注定我国目前的企业合规改革试点,总体上必须在现有刑法基本原则和基本制度的框架内进行,但是,最高检公布的第三批典型案例中个别案例却偏离了这一基本思路,对于与企业活动并不相关的企业领导的犯罪行为,也以企业合规不起诉为由予以从宽处罚。这种倾向值得注意。其不仅会将在我国刚刚起步的企业合规不起诉制度引入歧途,还会导致人们对企业合规不起诉制度产生误解,使其无法行稳致远。

Under the background that the pilot system of enterprise compliance reform has no substantive law basis at present,in order to achieve the effect of lenient treatment of enterprises implementing enterprise compliance reform,we can only look for it from the provisions on unit crime in the current criminal law of our country.The characteristics of the provisions on unit crime in China are that in the criminal law of natural persons,the provisions are made in the form of unit crime,and the“double punishment system”is implemented in the punishment.This characteristic determines that the current enterprise compliance reform pilot in China must be carried out within the framework of the existing basic principles and basic systems of criminal law.However,some cases in the third batch of typical cases released by the Supreme People’s Procuratorate deviated from this basic idea,and the behavior of enterprise leaders not related to enterprise activities was also given lenient punishment on the grounds of non-prosecution of enterprise compliance.This tendency is noteworthy.It will not only lead the enterprise compliance non-prosecution system,which has just started in China,into the wrong direction,but also cause people to misunderstand the enterprise compliance non-prosecution system and make it unable to go far.