论合规不捕的价值、正当性与规则构建

On the Value,Legitimacy and Rules of Non-custodial Coercive Measure in Corporate Compliance

相对于合规不起诉和量刑从宽,合规不捕在激励范围、方式和结果上的独立性,以及在保障合规考察期有效性、维持企业正常运转、支持合规整改等方面的重要作用,足以证明其已经成为合规从宽体系中不可或缺的一环。程序即惩罚理论、逮捕审查原理和非羁押强制措施的多重目的性也足以论证,合规不捕所承担的激励和保障功能具有坚实的合法性基础,一般不会造成逮捕的工具化、筹码化。但是,合规不捕不能以侵犯企业合规自主性、违反法律强制性规定或严重违背法律面前人人平等原则为代价。为了进一步释放和规范合规不捕的功能,有必要从适用范围、适用条件、启动时点和评估机制等方面构建更具体的规则。合规不捕在功能上对传统刑事诉讼理论的突破,或许可以为落实“少捕慎诉慎押”政策打开全新视野。

Compared with non-prosecution and leniency in sentencing of corporate compliance,non-custodial coercive measure is independent in incentive scope,method and result,and plays an important role in guaranteeing the effectiveness of compliance inspection period,maintaining normal operation of enterprises and supporting compliance rectification,which proves that it has become an indispensable part of the compliance leniency system.The theory of"the process is the punishment",the principle of custody review and the multiple purposes of non-custodial coercive measures are also sufficient to demonstrate that the incentive and guarantee functions of non-custodial coercive measure in corporate compliance has a solid legal basis and will not lead to the instrumentalization and bargaining of custody generally.However,non-custodial coercive measure cannot be at the cost of offending the autonomy of compliance of enterprises,violating the mandatory provisions of the law or seriously breaching the principle of equality before the law.In order to further strengthen and standardize the functions,it is necessary to construct more specific rules from the aspects of application scope,application conditions,start time and evaluation mechanisms.Non-custodial coercive measure in corporate compliance breaks through the traditional theory of criminal procedure,which may broaden horizon for the implementation of"less arrest and prudent prosecution and custody"policy.