侦查阶段涉案企业合规改革的实践困境与路径研究

Research on the Practical Dilemmas and Pathways of Compliance Reform of Enterprises Involved in the Investigation Stage

涉案企业合规改革前移至侦查阶段对营造法治化营商环境,促使企业合规经营具有一定意义。然而,实践中面临侦查阶段的合规工作基本模式不明、合规工作与“挂案”清理工作缺乏结合基础、权力运行缺乏有效制约等问题。为推动侦查阶段的企业合规改革顺利开展,应明确以侦查机关主导合规工作模式为主,检察机关主导合规工作模式为补充的合规启动模式,构建合规工作与检察建议相结合的工作方式,并建立监察机关为主体的合规工作监察体系。

Moving the compliance reform of the involved enterprises to the investigation stage has certain significance in creating a legal business environment and promoting compliant business operations.However,in practice,the basic mode of compliance work in the investigation stage is unclear,there is a lack of integration between compliance work and the“hanging case”clearance work,and there is a lack of effective constraints on the operation of power.In order to promote the smooth development of enterprise compliance reform in the investigation stage,the compliance start-up mode should be clarified,which is mainly led by the investigation agency and supplemented by the procuratorial agency.The working mode of combining compliance work with procuratorial suggestions should be established,and the compliance work supervision system with the supervision agency as the main body should be established.