涉案企业合规实践的适用对象问题研析

Analysis of the Applicable Object of the Compliance Practice of the Involved Enterprises

据统计2014年至2019年我国单位犯罪共计16861件,且呈逐年上升态势,企业犯罪日益严重,意味着传统严刑峻法下的公司治理模式见效甚微。而企业合规作为预防性思维下的产物,主要通过刑事激励政策,引导企业主动预防违法犯罪行为的发生。从企业合规实践展开的“初始”问题入手,即企业合规实践的适用对象问题进行深入探究,阐释对企业合规适用对象进行研究的重要价值,对企业合规实践中有关适用对象引发的焦点问题展开详细论述,最终得出企业合规应同时适用于轻罪及重罪,以及企业合规应适用于单位犯罪及部分个人犯罪的结论。

A total of 16861 unit crimes in China were committed from 2014 to 2019,and the trend is on the rise.The increasingly serious corporate crime means that the corporate governance model under the traditional severe law has litle effect.Corporate compliance mainly guides enterprises to take the initiative to prevent the occurrence of illegal and criminal acts through criminal incentive policies.This paper intends to start with the"initial"problem of enterprise compliance practice,that is,the applicable object,explain the important value of the research on the applicable object of enterprise compliance,and discuss the focus problems caused by it in detail.Finally,it is concluded that enterprise compliance should be applied to misdemeanor and felony at the same time,and enterprise compliance should be applied to unit crime and some individual crimes.