论刑事合规功能及其处罚的正当性

On the Function of Criminal Compliance and the Legitimacy of Its Penalties

当前,企业合规正在兴起。刑事合规是企业合规的核心和最低限度要求,刑事合规所合的“规”应该是一种“显规则”,一种具有刑法效力的法律集合。刑事合规不仅适用于侦查起诉阶段,还应该可以适用于法院审判阶段及判决后的执行阶段。企业合规可以作为处罚单位犯罪时的一种刑罚手段(即可以列为一种法定新刑种)。作为法定新刑种,对有罪企业执行刑事合规具有正当性。

Currently,corporate compliance is on the rise.Criminal compliance is the core and minimum requirement of corporate compliance,and the"rules"of criminal compliance should be explicit rules,a set of laws with the force of criminal law.Criminal compliance should not only apply to the investigation and prosecution stage but also be applicable to the court trial stage and the execution stage after sentencing.Corporate compliance can serve as a penalty method when companies commit crimes(i,e.,it can be categorized as a new statutory penalty).As a statutory new penalty,executing criminal compliance on guilty corporations is legitimate.