涉案企业合规不起诉的实践困境与出路

The Practical Dilemma and Solution of Corporate Compliance Non-Prosecution

最高人民检察院主导的涉案企业合规不起诉改革实施以来取得了良好的效果,但也存在改进空间。考察最高人民检察院发布的典型案例和各级检察院做出的不起诉决定书可以发现合规不起诉实践中的诸多问题:一是合规不起诉适用对象偏颇;二是合规不起诉中的合规考察期信息不透明、期限过短以及考察程序不一;三是合规考察程序的适用条件过于严苛。涉案企业合规不起诉的诸多问题背后是合规不起诉所面临的三大困境:一是合规不起诉实践与现行规则的紧张关系;二是合规不起诉的理论基础薄弱;三是合规不起诉的基本理念偏差。涉案企业合规不起诉的完善路径要从三个方面入手:一是修正合规不起诉的基本理念;二是形成合规不起诉的理论共识;三是完善合规不起诉相关法律法规。

The implementation of corporate compliance non-prosecution reform led by the Supreme People’s Procuratorate has achieved good results,but there is still room for improvement.By examining the typical cases issued by the Supreme People’s Procuratorate and the non-prosecution decisions made by procuratorates at all levels,we can find many problems in the practice of non-prosecution compliance:First,the applicable objects of compliance non-prosecution are confused.Second,the information of compliance inspection period is not transparent,the period is too short and the inspection procedures are different.Third,the application conditions of compliance and non-prosecution are too strict.There are three dilemmas behind the current situation of corporate compliance non-prosecution:First,the tension between the practice of compliance non-prosecution and the existing rules.Second,the theoretical basis of compliance non-prosecution is weak.Third,the basic concept deviation of compliance non-prosecution.There are three ways to improve corporate compliance non-prosecution:First,it is recommended to revise the basic concept of compliance non-prosecution.Second,it is recommended to form a theoretical consensus on compliance non-prosecution.Third,it is recommended to improve relevant laws and regulations on compliance non-prosecution.