供给侧结构性改革背景下企业合规的刑事政策选择检视

Review of Criminal Policy Choices for Corporate Compliance in the Context of Supply Side Structural Reform

企业合规中刑事合规是重要组成部分,是当前正大力推广的一个实践课题,引发了学术理论界的广泛讨论。然而,仅试图从刑法理论体系内部找寻企业合规的价值依据、实践意义似乎有些不足。单位犯罪是面对一些存在的企业、工厂或其他组织、机构等以集体身份所实施的犯罪,是基于刑事政策的考量而在刑法学理论中创设的一类新的犯罪形态,与自然人犯罪相并列。实际上,企业合规也是面对当前我国新的历史发展阶段,在社会经济结构调整的大背景下,为适应保护中小企业发展、维护国民经济平稳运行而作出的政策性调适。研究者要从刑事政策的角度探寻企业合规的理论源头,以经济学的视角开展对企业合规刑事政策的必要性、选择逻辑、价值依据等内容进行探索,使企业合规刑事政策的选择遵循“经济”和“法学”的双重逻辑,即既要满足现阶段经济结构改革的现实要求,又要符合刑法理论体系内的逻辑自洽。

Criminal compliance is an important component of corporate compliance and is currently being vigorously promoted as a practical topic,which has sparked widespread discussion and research in the academic and theoretical community.However,only attempting to find the value basis and practical significance of corpo-rate compliance from the theoretical system of criminal law itself seems clearly insufficient.Unit crime is a new form of crime created in criminal law theory based on criminal policy considerations,which is committed in a collective capacity in the face of some existing enterprises,factories,or other organizations,institutions,etc.,and is parallel to natural person crime.In fact,corporate compliance is also a policy adjustment made to protect the development of small and medium-sized enterprises and maintain the smooth operation of the national econo-my in the context of the current new historical development stage in China and the adjustment of social and economic structure.Exploring the theoretical origins of corporate compliance from the perspective of criminal policy and conducting research on the necessity,selection logic,and value basis of corporate compliance criminal policy from an economic perspective is a practical and feasible research approach that combines theory with practice.The selection of corporate compliance criminal policy follows the dual logic of“economy”and“law”,which not only meets the practical requirements of the current economic structural reform,but also needs to conform to the logical consistency within the theoretical system of criminal law.