企业领导人犯罪的义务违反类型化与合规激励规范化

Typology of Obligation Violations and Standardization of Compliance Incentives for Enterprise Leaders

检验合规改革中“双不起诉”现象是否妥当,可将企业领导人犯罪的义务违反类型化。企业领导人直接参与危害行为时,属于合法性义务的违反;未防止其他企业成员实施危害行为时,属于合法性管控义务的违反,需先判断在个案中是否存在作为义务;违反忠实、勤勉义务时,或会构成背信类犯罪。企业领导人违反合法性义务时,企业合规整改以企业构罪为前提,若无相关因素说明在企业有合规缺陷的环境之外个体犯罪动机较弱,或整改未针对领导人设计有效监督机制,则不宜因事后合规对领导人宽大处理。企业领导人违反合法性管控义务时,事后履行该义务可获合规激励。企业领导人违反忠实、勤勉义务构罪时,不应对企业合规整改,更不应从宽处罚行为人。

Testing whether the"double non-prosecution"phenomenon in compliance reform is ap-propriate can classify the violation of the obligation of enterprise leaders to commit crimes.When the leader of the enterprise directly participates in the harmful act,it is a violation of the duty of legality;If other members of the enterprise are not prevented from committing harmful acts,it is a violation of the le-gal control obligation,and it is necessary to determine whether there is an obligation to act in the individ-ual case;Breach of the duty of loyalty and diligence may constitute a breach of trust.When an enter-prise leader violates a legality obligation,the company's compliance rectification is premised on the en-terprise constructing a crime,and if there are no relevant factors to show that the individual's motivation for committing the crime is weak outside the environment where the enterprise has compliance defects,or if the rectification does not design an effective supervision mechanism for the leader,it is not appropriate to treat the leader leniently due to post-event compliance.When the leader violates a legality control obliga-tion,he or she can be rewarded with compliance incentives for fulfilling the obligation after the fact.When an enterprise leader violates the duty of loyalty and diligence and commits a crime,the victim enter-prise should not be rectified in compliance with the law,let alone punished the perpetrator leniently.