论涉案企业合规中的侦查参与

How criminal investigation department participate in enterprise compliance reform

涉案企业合规改革经历了从检察主导到法院参与的理论实践探索,却鲜有侦查机关参与企业合规的相关论述。在当下的企业合规改革试点中,涉案企业合规中的侦查参与已见端倪,需要从理论上予以证成。侦查机关发现与打击企业犯罪的先行地位为其参与合规提供实践基础,全面侦查原则和侦查亲历属性赋予其参与合规的认识基础,侦检机关相互配合、相互制约的原则为侦查机关参与合规提供法律基础。但正当不代表必要,鉴于刑事诉讼的衡平考量,侦查机关仍应当在限度范围内参与企业合规,不能逾越侦查本身的业务范围。侦查机关参与企业合规的关键,在于构建以侦查建议启动合规为核心的实现路径,包括侦查机关的合规告知义务、合规建议权利与作为非第三方的合规监督制约。

The compliance reform of the enterprise involved in the case has experienced theoretical exploration from prosecutorial leading to court participation,but few investigation organs participate in the relevant discussion of enterprise compliance.In the current enterprise compliance reform pilot,the investigation participation in enterprise criminal compliance has emerged,which needs to be proved theoretically.The first position of investigation organs in discovering and cracking down on corporate crimes provides a practical basis for their participation in compliance;the principle of comprehensive investigation and the attribute of investigation experience give them an understanding basis for their participation in compliance;the principle of mutual cooperation and restriction between investigation and inspection organs provides a legal basis for their participation in compliance.However,in view of the equity considerations of criminal proceedings,the investigation organs should still participate in the enterprise compliance reform within the limits,and should not go beyond the scope of investigation itself.The key to the investigation organs'participation in the criminal compliance of enterprises lies in the construction of a realization path centering on the initiation of compliance of investigation suggestions,including the compliance notification obligation of investigation organs,the right of compliance suggestions,and the compliance supervision restriction as a non-third party.