中小微民营企业刑事合规建设探析

Research on the Criminal Compliance Construction of Micro,Small and Medium-sized Private Enterprises

在央企及地方国企合规建设不断推进之际,中小微民营企业的刑事合规建设仍存在着企业家的认知偏差及实际操作困难等问题。2020年,最高人民检察院推出了民企合规不起诉激励试点,从当前发布的典型案例来看,公司的社会价值、合规整改毫无疑问是公司及其负责人避免被追诉刑事责任的重要原因;但一些外资公司的案例也表明,完善的合规政策、强大的合规执行团队及严格的合规管理手段也是隔离公司刑事风险的主要手段;公司在业务开展过程中对相关违法行为是否进行了有效预防和监管,也是区分单位犯罪或个人犯罪时的重要依据。因此,中国民营企业,尤其是中小微企业的刑事合规之路需要沿着合规政策制定、合规团队建设以及合规执行落地的方向行进。

When the compliance construction of central enterprises and local state-owned enterprises continues to advance,the criminal compliance construction of micro,small and medium-sized private enterprises still has problems such as entrepreneurs'cognitive deviation and practical operation difficulties.In 2020,the Supreme People's Procuratorate launched a pilot program to encourage private enterprises to comply with non-prosecution.From the typical cases currently released,the company's social value and compliance rectification are undoubtedly important reasons for the company and its person in charge to avoid being prosecuted for criminal responsibility,but some cases of foreign companies also show that,perfect compliance policies,strong compliance implementation team and strict compliance management methods are also the main means to isolate the company's criminal risks.Whether the company has effectively prevented and supervised relevant illegal behaviors in the process of business development is also an important basis for distinguishing unit crimes from individual crimes.Therefore,the road of criminal compliance of Chinese private enterprises,especially micro,small and medium-sized private enterprises,needs to proceed along the direction of policy formulation,team construction and implementation of compliance.