主体论视域下涉案企业合规有效性审查的三种模式

Three Models of Compliance and Effectiveness Review of Enterprises Involved in Cases from the Perspective of Subjective Theory

刑事诉讼全流程合规改革围绕合规有效性审查主体逐渐呈现出第三方组织审查、检察机关审查、法院审查三种模式。但三种审查模式在制度设计、程序衔接、标准统一等方面均存在一定的问题,不利于涉案企业合规改革工作的推进。第三方组织审查应将合规计划审查与合规整改评估一体化考量,前者秉持以“定性分析”为主的逻辑,后者秉持以“定量分析”为主的逻辑,并量化审查、评估标准,优化配套措施。在检察机关审查模式中,应当合理区分“范式合规”和“简式合规”,明确检察机关以定性分析为主、定量分析为辅的合规考察报告审查模式,以区别于第三方组织审查模式。在法院审查模式中,应通过检察听证会、第三方管委会预备审查等方式强化对合规整改有效性的审查,以实现对检察裁量权的合理限制,并以检法协同的模式,在审理阶段共同推动合规案件的办理。

The full process compliance reform of criminal litigation gradually presents three modes around the subject of compliance effectiveness review:third-party organizational review,procuratorial review,and court review.However,there are certain issues with the three review modes in terms of system design,procedural connection,and standard standardization,which are not conducive to the promotion of the compliance reform work of the enterprises involved.The third-party organization review should consider the integration of compliance plan review and the evaluation of compliance rectification.The former adheres to the logic of“qualitative analysis”as the main approach,while the latter adheres to the logic of“quantitative analysis”as the main approach,and quantifies the review and evaluation standards to optimize supporting measures.In the review mode of procuratorial organs,it is necessary to reasonably distinguish between“paradigm compliance”and“simplified compliance”,and to clarify the compliance inspection report review mode of procuratorial organs with qualitative analysis as the main approach and quantitative analysis as the auxiliary approach,in order to distinguish it from third-party organizations.In the court review mode,the review of the effectiveness of compliance rectification should be strengthened through procuratorial hearings,third-party management committee preparatory reviews,etc.,in order to achieve reasonable limitations on procuratorial discretion.And jointly promote the handling of compliance cases during the trial stage through a collaborative model of prosecution and law enforcement.