法院推动企业合规整改的制度模式

Institutional Modes for Courts to Promote Corporate Compliance and Rectification

涉案企业在审判阶段提出启动合规考察申请时,人民法院有三种参与合规考察的制度模式:一是法检共同启动合规考察模式;二是法院独立启动合规考察模式;三是法院独立验收评估模式。结合三个相关的合规改革试验案例,对以上三种制度模式作出初步研究,分析其制度构造,揭示其积极效果,对其制度局限性作出适当的评论,并在上述分析和评论的基础上,对我国法院在审判环节参与合规整改的制度路径提出了初步的意见。

When an enterprise involved in a case files an application for initiating a compliance inspection at the trial stage,the People's Court has three institutional modes of participation in the compliance inspection:first,the mode of joint initiation of a compliance inspection by the court and the procuratorate;second,the mode of independent initiation of a compliance inspection by the court;and third,the mode of independent acceptance and assessment by the court.This paper combines three relevant compliance reform test cases to make a preliminary study of the above three institutional modes,analyzing their institutional construction,revealing their positive effects,and making appropriate comments on their institutional limitations;and on the basis of the above analyses and comments,it puts forward preliminary views on the institutional path for the courts in China to participate in the compliance rectification in the trial stage.