重大涉案企业刑事合规中分案处理机制研究

Study on the Mechanism of Case Division in Criminal Compliance of Major Enterprises Involved

党的二十大报告强调要坚持依法治国,其中依法治企是依法治国的微观部分。合法合规经营是我国企业长期发展的关键,无论是参与国际交流还是进行跨国上市活动,或是在国内发展,都需要在企业合规构建的法律、政策、交易习惯的企业合规网络内从事经营活动。我国的企业刑事合规仍处于起步阶段,未建立完备的相关制度,在涉企犯罪中存在一些理论性和程序性问题。通过探析分案处理机制在刑事合规中的适用,即将单位犯罪中的企业与自然人分别进行调查和提起诉讼,在企业暂缓起诉或附条件不起诉期间,运用合规整改考察措施改善企业内部治理,最大限度避免刑事处罚导致的“水波效应”,以推动企业良性发展。

The report of the 20th National Congress of the Communist Party of China stressed that we should adhere to the rule of law,and the governance of enterprise by law is a micro part of the rule of law.Legal and compliance operation has been a necessary problem for the long-term development of Chinese enterprises.Whether it is to participate in international exchanges,carry out transnational listing activities,or develop in China,it is necessary to engage in business activities in the enterprise compliance network of laws,policies and trading habits constructed by enterprise compliance.The compliance of criminal enterprises in our country is still in the initial stage,and there are some theoretical and procedural problems in enterprise-related crimes.By exploring the application of the sub-case handling mechanism in criminal compliance,that is,enterprises and natural persons in unit crimes are investigated and sued respectively.During the period of deferred prosecution or conditional non-prosecution,compliance rectification inspection measures are used to improve the internal governance of enterprises and avoid the"water wave effect"caused by criminal penalties to the maximum extent,so as to promote the healthy development of enterprises.