论中国治理企业违法的和解合规模式  

Study on the Settlement and Compliance Mode for Governing Corporate Lawbreaking in China

作　　者：陶朗逍 TAO Langxiao(Law School,University of International Business and Economics,Beijing 100029,China)

机构地区：[1]对外经济贸易大学法学院,北京100029

出　　处：《东北大学学报（社会科学版）》2021年第2期89-95,共7页Journal of Northeastern University(Social Science)

摘　　要：现代国家治理企业违法存在严格处罚模式、裁量不罚模式与和解合规模式三种。中国目前属于严格处罚模式和裁量不罚模式的二元共治,存在执法的社会负效应大、执法的后期效果不佳、难以适应国际经贸发展要求这三大主要问题。中国的执法理念正在经历由报应性正义到兼容恢复性正义的转变,引入和解合规模式能够更有效治理企业违法。在制度层面,应当建立企业犯罪暂缓起诉程序,全面推行企业违法的行政和解制度,明确合规在和解中的核心地位。There are three types of law enforcement mode for governing corporate lawbreakers in modern countries:the strict sensation mode,the discretionary non-punishment mode,and the settlement and compliance mode.At present,China employs a co-governance method in adopting the strict sensation mode together with the discretionary non-punishment mode.The duality of law enforcement results in great social consequences,poor long-term effects,and difficulties in meeting the needs of international economic and trade development.The judicial concept underlying law enforcement in China is undergoing a transition from retributive justice to compatible restorative justice.In order to govern corporation misconducts effectively in China,the settlement and compliance mode should be introduced at the system level,including setting up the deferred prosecution procedures for corporate crimes,fully implementing the administrative settlement mechanism for corporate wrongdoers,and clarifying the core position of compliance in settlements.

关 键 词：企业违法 和解合规模式 恢复性正义 

分 类 号：D925.2[政治法律—诉讼法学]