检察公益诉讼推动企业合规机制初探

The Preliminary Exploration of Prosecutorial Public Interest Litigationto Promote Corporate Compliance Mechanism

以检察公益诉讼推动企业合规是检察机关积极履行检察职能,深度参与社会治理的重要创新举措。这有利于实现社会治理“诉源治本”,以高质量法治服务经济社会“稳中求进”。检察公益诉讼企业合规整改的启动形式多样,检察机关以诉前检察建议、签订合规协议、参与行政合规等形式启动。通过检察机关直接评估和审查、企业自我评估与检察机关审查相结合,第三方参与的模式进行企业合规整改,实现纠正违法行为并消除公益风险的合规目的。针对实践中检察公益诉讼企业合规立法缺位,适用规则不明,第三方监督评估不足,合规验收标准不清等问题,未来可以公益诉讼专门立法推动企业合规,规范适用规则,建立第三方监督评估机制,明确企业合规经营验收标准等途径探寻突破与新发展。

It is an important innovative measure for prosecutorial organs to actively perform prosecutorial functions and deeply participate in social governance to promote corporate compliance through prosecutorial public interest litigation.This is conducive to the realization of social governance“root causes”,with high-quality rule of law to serve the economic and social“stability and progress.”The compliance rectification of prosecutorial public interest litigation corporates is initiated in various forms,and the prosecutorial organs are initiated in the form of pre-litigation prosecutorial suggestions,signing compliance agreements,and participating in administrative compliance.Through the direct assessment and review of the prosecutorial organs,the combination of corporate self-assessment and the review of the prosecutorial organs,and the mode of third-party participation,the corporate compliance rectification is carried out to achieve the compliance purpose of correcting illegal behaviors and eliminating public welfare risks.In view of the problems in practice such as the absence of compliance legislation,unclear applicable rules,insufficient third-party supervision and evaluation,and unclear compliance acceptance standards for prosecutorial public interest litigation enterprises,special legislation for public interest litigation can promote corporate compliance,standardize applicable rules,establish third-party supervision and evaluation mechanism,and clarify the acceptance standards for corporate compliance operation to explore breakthroughs and new development.