审判阶段推进涉案企业合规改革的法理与路径

The Legal Theory and Path of Promoting the Compliance Reform of the Involved Enterprises in the Trial Stage

在审判阶段推动涉案合规改革,要始终坚持宪法及相关法律对审判权的基本规定,明晰审判权的基本权能,同时也要厘清企业的基本权利,由此限制司法机关对企业内部治理干涉的范围。在具体制度和机制设计上,应综合运用刑法和刑事诉讼法两个部门法学的理论,协调好两者的关系,不能有所偏废。对行为已经构成单位犯罪的涉案企业,不能因为其进行合规整改而给予“出罪”的对待,根据现行刑法规定只能作为酌定量刑情节对待。在程序设计上,法院应充分运用其审判权的具体权能、执行权以及司法建议权,充分发挥其权力效能,进而实现改革的预期目标。

In the trial stage,to promote the reform of compliance of the involved enterprises,we should always adhere to the basic provisions of the Constitution and relevant laws on judicial power,clarify the basic rights and capabilities of judicial power,and at the same time clarify the basic rights of enterprises,so as to limit the scope of judicial interference in the internal governance of enterprises.In the design of the specific system and mechanism,the theory of criminal law and criminal procedure law should be applied comprehensively to coordinate the relationship between the two departments of law.If the behavior of the enterprises involved has constituted a unit crime,they should not be acquitted because its compliance rectification.According to the provisions of the current criminal law,it can only be treated as discretionary sentencing circumstances.In terms of procedural design,the court should make full use of its specific power,judicial power,execution power and judicial suggestion power,and give full play to its power efficiency,so as to achieve the expected goal of reform.