我国平台企业刑事合规不起诉的法治边界

The Legal Boundary of the Platform Enterprise' Criminal Compliance Non-prosecution in China

刑事合规不起诉制度在我国本土化过程中呈现出一定异化,在实践中出现形式评价与实质评价界限模糊、适用罪名过于宽泛、背离合规价值判断等问题,进而影响其评价的规范性,这对我国平台企业刑事合规的司法实践造成一定的负面影响。当前在我国,平台企业通过刑事合规不起诉免除其罪责的前提一定是相关企业已经具备了一定的合规基础,尤其是要强化数据合规;合规不起诉的适用范围要针对轻罪,适用对象应仅限于单位犯罪,而非企业主或法定代表人。平台企业合规内容的审查重点应集中在主体合规、技术合规以及程序合规等类型化的特定领域。如果产生相应的合规风险,也应在类型化的预控模式下探究其对应的刑事风险规制路径。

The criminal compliance non-prosecution system has shown a certain alienation in the process of localization in China.In practice,there are some problems such as the blurring of the boundary between formal evaluation and substantive evaluation,the application of charges is too broad,and the deviation from the compliance value judgment,which further affects the standardization of its evaluation,which has a certain negative impact on the judicial practice of criminal compliance of platform enterprises in China.Currently in China,the prerequisite for platform enterprises to be exempted from criminal liability through criminal compliance non-prosecution is that the relevant enterprises have a certain compliance foundation,especially to strengthen data compliance;The scope of application for non prosecution in compliance should focus on minor crimes,and the scope of application should be limited to unit crimes,not enterprise owners or legal representatives.The focus of the review of compliance content for platform enterprises should be on specific areas of entity compliance,technical compliance,and procedural compliance.If there are corresponding compliance risks,the corresponding criminal risk regulation path should also be explored under the categorized pre-control mode.