企业合规整改中的认罪认罚问题

Pleading Guilty and Accepting Punishment in Corporate Compliance Rectification

在涉案企业合规改革探索过程中,试点检察机关普遍将认罪认罚作为对企业启动合规考察的必要条件。然而,要求企业认罪认罚的前提性条件,即将企业视为“人”缺乏规范依据,企业意志的代行性阻却认罪效果,企业违法行为定性的争议性导致认罪难。尤其是,认罪认罚的负面声誉还会降低企业合规整改的意愿。因此,在涉案企业合规改革持续推进的背景下,需要重新认识将认罪认罚作为对企业启动合规考察之条件的合理性。未来,或可通过企业承认指控事实替代认罪认罚条件,从而既能达到表达悔过意愿、固定案件主要证据的效果,也能避免发生牵连无辜股东、损害企业信誉等问题,进而为继续拓宽企业合规从宽路径打下坚实的基础。

In the process of exploring the corporate compliance reform,the pilot procuratorial organs generally regard the voluntary admission of guilt and punishment of the corporation involved in the case and the signing of agreement for crime and penalty as the prerequisites for initiating compliance rectification.However,the prerequisite for requiring the corporation to plead guilty and accept punishment is that the enterprise is regarded as a“person”,which lacks a normative basis.The agency of the corporate will hinders the effectiveness of the confession.The controversial nature of the corporation's illegal behavior makes it difficult to plead guilty.In particular,the negative reputation of admitting guilt and accepting punishment will reduce the willingness of the corporation to comply and make corrections.Therefore,in the context of the continuous advancement of compliance reform of the corporation involved in the case,it is necessary to re-understand the rationality of making guilty pleas and punishments a condition for initiating compliance inspections on the corporation.In the future,it may be possible for the corporation to admit the facts of the accusation instead of the conditions for pleading guilty and accepting punishment,so as to achieve the effect of expressing repentance and obtain the main evidence of the case,and avoid implicating innocent shareholders and damaging the corporation's reputation,and further expand the scope of corporate compliance.