企业刑事合规本土化路径探究

Research on the Localization Path of Enterprise Criminal Compliance

企业刑事合规作为企业主动应对刑事法律风险的表现,具有两个维度的特征,即纵向维度上应用于刑事法律的各个环节,横向维度上对企业的量刑激励较为明显。以这两个特征为线索,不难发现我国现阶段的企业刑事合规存在激励对象泛化、出罪的理论支撑不足、出罪的实践依据欠妥、程序的本土改造不畅四个障碍。结合我国的合规制度和司法现状,需要肯定合规行为成为经营过失行为的出罪事由;承认合规行为充当企业故意犯罪的从轻情节;通过事前预防引导企业制度的构建;通过暂缓起诉督促企业合规体系的建立。

As a manifestation of enterprises’active response to criminal legal risks,corporate criminal compliance has the characteristics of two dimensions,that is,it is applied to all aspects of criminal law in the vertical dimension,and the sentencing incentive for enterprises in the horizontal dimension is more obvious.Taking these two characteristics as clues,it is not difficult to find that there are four obstacles in China’s current corporate criminal compliance:generalization of incentive objects,insufficient theoretical support for decriminalization,improper practical basis for decriminalization,and poor local transformation of procedures.Combined with China’s compliance system and judicial status quo,it is necessary to affirm that compliance behavior becomes the cause of business negligence;admit that compliance behavior acts as a mitigating circumstance for intentional crimes of enterprises;to guide the construction of enterprise system through prevention in advance;through the suspension of prosecution to urge the establishment of enterprise compliance system.