检察视角下中国刑事合规之构建  

The Construction of Criminal Compliance in China from the Perspective of the Procuratorate

作　　者：李勇[1,2] Li Yong(the Law School of Southeast University;the People’s Procuratorate of Jianye District of Nanjing)

机构地区：[1]东南大学 [2]南京市建邺区人民检察院

出　　处：《国家检察官学院学报》2020年第4期99-114,共16页Journal of National Prosecutors College

基　　金：2019年度最高人民检察院检察理论研究课题“金融领域风险防控与检察职能发挥”(GJ2019C09)的阶段性成果。

摘　　要：我国企业犯罪形势日益严峻,合规计划的匮乏已经严重制约我国企业在国际上的生存和发展。单纯介绍和移植已经无法满足新时代的需要,构建中国式刑事合规迫在眉睫。认罪认罚从宽制度是构建中国式刑事合规的绝佳契机和重要突破口。刑事合规与认罪认罚从宽都属合作型司法模式,均因预防必要性降低而得以从宽,均是诉讼经济的产物,二者在理论基础上具有同源性。认罪认罚从宽制度可以作为我国刑事合规的基本法律依据,在此基础上,以检察机关为主导,通过建立单位犯罪量刑指导意见、涉罪企业合规承诺、单位犯罪附条件不起诉等制度,构建中国式的刑事合规,重塑检察机关预防企业犯罪的角色,推动检察职能由注重事后、消极预防向事前、积极预防转变,成为企业治理结构变革的推动者,丰富检察权内涵,进而推动检察权在国家治理体系中角色的重大变革。In China,the corporate crime situation is increasingly serious,and the countermeasures are not good. The lack of compliance programs has seriously restricted the survival and development of Chinese enterprises in the international market,and further affected the overall economic development of the country. Simple introduction and transplantation can’t meet the needs of the new era,so it is urgent to localize the construction of Chinese-style criminal compliance. The leniency system of pleading guilty and accepting punishment is the best opportunity and an important breakthrough to construct Chinese compliance programs. Criminal compliance and the leniency system belong to cooperative criminal justice model,both of which are given lenient punishment due to the reduced necessity of prevention. Both are the product of litigation economy,and both have the same theoretical basis. The leniency system of pleading guilty and accepting punishment can be used as the basic legal basis for criminal compliance in China. On this basis,the basic framework of Chinese-style compliance programs is established by constructing the sentencing guidelines for corporate crimes and the corporate version of the plea agreement,extending conditional non-prosecution to corporate crimes,and reshaping the mode of procuratorial organs to prevent corporate crimes. In this way,the role of procuratorial organs in the prevention of corporate crimes should be reshaped,and the procuratorial function should be transformed from post-mortem and negative prevention to pre-mortem and positive prevention,so as to promote the reform of corporate governance structure and promote the major reform of the role of procuratorial power in the national governance system.

关 键 词：企业犯罪 合规计划 刑事合规 认罪认罚 

分 类 号：D914[政治法律—刑法学]