企业合规不起诉制度比较研究--以认罪认罚从宽制度为视角

A Comparative Study on the Non prosecution System for Corporate Compliance--From the Perspective of the Leniency System for Confession and Punishment

自2020年开展企业合规改革试点以来,企业合规不起诉制度不断完善和发展,为稳固企业发展、营造法治化营商环境提供了重要的司法保障,体现了中国智慧和检察智慧。企业合规不起诉和认罪认罚从宽制度在保障企业权益、促进企业健康有序发展等方面具有共通性,前者以后者为前提,二者相互促进,共同提升企业制度活力。我国企业合规不起诉分为制发检察建议和合规整改两种模式,后者在实体和程序性要件上规定较为严格。企业合规可启动第三方监督评估机制,并可根据企业犯罪的轻重、合规整改的难度来单独设置六个月到二年的考察期限。在具体的操作中,应严格区分企业刑事责任与个人刑事责任,以符合罪刑责相适应原则。

Since the pilot implementation of enterprise compliance reform in 2020,the non prosecution system for enterprise compliance has been continuously improved and developed,providing important judicial guarantees for stabilizing enterprise development and creating a legal business environment,reflecting China’s wisdom and prosecutorial wisdom.The systems of non prosecution for corporate compliance and leniency for confession and punishment have commonalities in protecting the rights and interests of enterprises and promoting their healthy and orderly development.The former and the latter are prerequisites,and the two promote each other,jointly enhancing the vitality of the corporate system.There are two modes of non prosecution for corporate compliance in China:issuing prosecutorial suggestions and compliance rectification,with the latter having stricter provisions on substantive and procedural elements.The third party supervision and evaluation mechanism for corporate compliance can be initiated,and a separate inspection period of six months to two years can be set based on the severity of corporate crime and the difficulty of compliance rectification.In specific operations,it is necessary to strictly distinguish between corporate criminal responsibility and individual criminal responsibility,in order to comply with the principle of proportionality between crime and punishment.