企业刑事合规的中国探索:一个涉案主体视角的反思

The Chinese Expoloration of Corporate Compliance:Reflections from a Perspective of Participants Involved in Criminal Cases

涉案企业合规改革试点没有为企业合规建设提供明确指引。这一现象亟待反思。根据检察机关要求进行合规整改是涉案企业与个人获得轻缓司法处理的前提。涉案主体辩护的独立性缺乏保障,为查明犯罪事实提供的协助较为有限。以刑事合规督促企业合规经营、提升司法效率的改革预期未能达成,而刑事司法的公正价值却遭遇挑战。这是因为,以事后合规整改为中心的刑事合规被视为一种从宽正当化机制,侧重于单位犯罪实际法益侵害的追诉程序难以生成事前合规义务体系,单向的行刑衔接压缩了涉案主体提供协助的空间。深化涉案企业合规改革试点需要优化涉案主体的程序参与机制,以及合规从宽的程序制约、合规抗辩的认定标准以及行政合规的刑事责任三项制度支撑。

The reform of corporate⁃involved⁃in⁃criminal⁃case compliance fails in providing clear guidance for com⁃pliance management.Establishing a compliance system as the procuratorate required is the condition to re⁃ceive leniency in the criminal proceeding.Participants involved in criminal cases cannot secure independent defense and they only provide limited assistance to the ascertaining of the truth.Anticipated incentive and ef⁃ficiency have not been achieved while the fairness of criminal justice is faling public skepticism.The corpo⁃rate criminal compliance whose central stage is the establishment of compliance system after crimes have been reported,has been anchored as a procedure to justify leniency.A preventative compliance list cannot be generated by criminal proceedings which focus on infringements of legal interests by corporate crimes.In the one⁃way administrative⁃criminal convergence model,assistance of participants is restricted.Participative re⁃gime shall be improved to promote the reform of corporate⁃involved⁃in⁃criminal⁃case compliance.In the process,three elements are indispensable:procedural restraints of compliance as a lenient factor,judicial tests on compliance defense against criminal liabilities,and criminal liabilities for violating administrative compliance obligations.