企业刑事合规中多元主体的问题完善与相互协同研究

Research on the Problem Improvement and Mutual Collaboration of Multiple Subjects in Corporate Criminal Compliance

当前涉及企业刑事合规案件的处理时,存在各相关主体内部运作不完善和外部之间相互衔接不畅的问题,进而导致司法实践中刑事合规案件推进缓慢的困境。于各主体内部自身问题上,由第三方监督评估机制配合相关主体考察并得出合规评估报告,由检察院在实践中引入认罪认罚从宽制度和附条件不起诉制度,由法院在实践中认可合规结果有效并作为定罪量刑的考量因素。于各主体外部协同问题上,厘定并完善各方主体与制度的链接路径,将企业刑事合规问题在实践中层次化分流、链条式衔接以程序化解决。

At present, when it comes to the handling of corporate criminal compliance cases, there are problems of imperfect internal operation of relevant entities and poor external connection, which leads to the dilemma of slow progress of criminal compliance cases in judicial practice. On each entity’s own internal issues, the third-party regulatory authority shall cooperate with the relevant entity to investigate and draw a compliance assessment report, and the procuratorate shall introduce a lenient system for plea and punishment and a conditional non-prosecution system in practice, and the court shall recognize the validity of compliance results in practice and use them as factors to consider in conviction and sentencing. On the issue of external coordination of various entities, determine and improve the link path between the entities and the system of all parties, and solve the criminal compliance problems of enterprises in a hierarchical and chain-like manner in practice.