法院参与涉案企业刑事合规改革十大问题研究

Study on the Ten Issues in the Court’s Participation Concerning the Criminal Compliance Reform of the Enterprises Involved

涉案企业刑事合规改革中法院参与乃必然趋势,各地在理论准备不足、制度缺位的情况下进行改革探索,其困难和困惑自不待言,法官在参与该项工作时的消极态度即是明证。法院如何参与涉案企业合规改革确实是一个值得探讨的问题。这其中的重点问题包括法院参与的理论基础、职能作用的发挥、法院开展合规审查考察期的确定、法院进行合规审查适用的案件范围和适用的诉讼阶段、从宽幅度的把握、考察报告的证据属性、法院如何为申请进行合规审查的被拒企业及其责任人提供救济、刑事合规在法院审判中的刑法适用、容错机制的建立、最高人民法院发布指导性案例的必要性等十个方面。对这些问题进行探索,可以为法院参与涉案企业合规改革提供理论支持和参考。

The involvement of courts in criminal compliance reform of involved enterprises is an inevitable trend.Exploring reforms under conditions of insufficient theoretical preparation and systemic absence presents undeniable challenges and confusions,with the judges’passive attitude when engaging in this work serving as clear evidence.How the court participates in the compliance reform of involved enterprises is indeed a problem worth discussing.The key issues include the theoretical foundation for court participation,the realization of judicial functions,the determination of the period for compliance review,the scope of cases applicable for compliance review and the stages of litigation it applies to,the discretion in leniency,the evidentiary nature of inspection reports,how the court provides rights remedies to enterprises and their responsible persons denied for compliance review,the application of criminal law in court judgments on compliance,the establishment of a fault tolerance mechanism,and the necessity for the Supreme People’s Court to issue guiding cases.Exploring these issues can provide theoretical support and reference for court participation in the compliance reform of involved enterprises.