从具体案例看合规计划的有效性判断  

Effectiveness Assessment of Compliance Programs From Specific Cases

作　　者：周振杰 ZHOU Zhenjie(Beijing Normal University,Academy of Criminal Law Science,Beijing 100875,China)

机构地区：[1]北京师范大学刑事法律科学研究院,北京100875

出　　处：《河南警察学院学报》2018年第4期64-70,共7页Journal of Henan Police College

基　　金：国家社科基金项目"单位贿赂犯罪预防模式研究"(15BFX053);北京市社科基金项目"北京市企业贿赂犯罪现状与对策研究"(16FXB012)的阶段性研究成果之一

摘　　要：在法人刑事责任领域,采纳二元模式已经成为世界立法的潮流。二元模式的核心要素是合规计划。有效实施的合规计划不但可以成为消极的构成要件要素,而且可以成为从宽量刑情节和缓起诉的参考要素。英国的SG案和意大利的Impregilo案表明,具体判断合规计划有效性的标准可以分为犯罪行为之前与之后两类,核心要素包括风险、透明、举报与合作。从中国面临的主客观形势出发,中国立法机关可采纳法人刑事责任二元模式,积极改革立法,纳入合规计划的概念。There is a growing tendency to adopt dual model in corporate criminal liability in global legislation. The core element of the dual model is the compliance programs, effective implementation of which can not only be negative constitution elements of a crime but also function as a crucial reference for leniency and mitigation. The SG case in the UK and the Impregilo case in Italy show that the standards of effectiveness assessment in compliance programs are divided into two categories and based on core elements including risk, transparency, whistle - blowing and cooperation. From the objective and subjective perspectives, China＇ s legislative body should adopt the dual model for the corporate criminal liability and incorporate into the concept of compliance programs by reforming the legislation act actively.

关 键 词：法人犯罪 合规计划 法人刑事责任二元模式 

分 类 号：D917[政治法律—法学]