涉案企业合规改革中的企业自主权与行政规制问题

The Issues of Corporate Autonomy and Administrative Regulation in the Compliance Reform of the Corporate Involved

深化涉案企业合规改革,需要以法治原则为指导,处理好企业合规与行政规制、刑事司法三者关系。促进企业合规是行政规制的必然延伸,应合理区分企业守法义务与合规义务,进而确定行政权力介入企业合规体系构建的路径及行政权力介入企业合规整改的界限。在涉案企业合规中,刑事司法机关在促进企业合规整改时不能过度干涉企业自治,干涉范围应限于企业的内部管理及运行方式,纠正其可能导致违法犯罪的管理因素。涉案企业合规制度的构建,需要同时解决“刑行衔接”问题,由行政主管机关对被不起诉或者定罪免刑的涉案企业进行相应的行政处罚,现有法律及司法解释提供必要的程序路径及保障;行政机关在充分考虑合规整改成效时给予从宽处罚,且不影响涉案企业的正常生产经营活动。

To deepen the compliance reform of corporate involved in the case,it is necessary to follow the principles of the rule of law and handle the relationship among corporate compliance,administrative regulation,and criminal justice.The promotion of corporate compliance is an inevitable extension of administrative regulation.It is necessary to distinguish between corporate’s law-abiding obligations and corporate’s compliance obligations,and then determine the path for administrative power to intervene in the construction of corporate compliance systems and the boundaries for administrative power to intervene in corporate compliance rectification.In the compliance of corporate involved,the criminal judicial organs should not excessively interfere with corporate autonomy when promoting the rectification of corporate compliance.Interference should be limited to the internal management and operation mode of the corporate,correcting the management factors that may lead to illegal crimes.The construction of the compliance system of the corporate involved in the case needs to solve the problem of“connection between Criminal Law and Administrative Law”at the same time,and the administrative authorities will impose corresponding administrative penalties on the corporate involved in the case who are not prosecuted or convicted and exempted from punishment.The existing laws and judicial interpretations provide the necessary procedural path and guarantee.The administrative organs shall give lenient punishments when fully considering the effectiveness of compliance rectification,and will not affect the normal production and business activities of the corporate involved in the case.