非法“公转私”的刑法治理研究  

Research on the Criminal Law Governance of Illegal“Transferring Public to Private”

作　　者：李仲民[1] LI Zhong-min(Southwest University of Political Science and Law,Chongqing 401120,China)

机构地区：[1]西南政法大学法学院,重庆401120

出　　处：《西南政法大学学报》2021年第5期96-111,共16页Journal of Southwest University of Political Science and Law

摘　　要：《刑法修正案(七)》规定“非法从事资金支付结算业务”的“公转私”行为以非法经营罪定罪处罚,虽然严密了刑事法网,但在司法适用中,存在着“营利目的”的纷争、真实交易的审查、“行刑衔接”的不畅等问题。破解这些问题,需要梳理、检视行政、司法规制“公转私”行为的过程,即从行政法规处罚单一模式,到利用刑法中的共同犯罪或下游犯罪处罚混合模式,再到独立罪名模式。通过对独立成罪后的混合模式的突破及回应,提出对“公转私”的刑法治理,必须回归刑法理论对实践的正确指导,准确把握构成要件,使法律规定得到合理适用;同时,适度调整证明责任,科学应对“幽灵抗辩”,实现对该类犯罪的打击不枉不纵;加强行政执法,畅通“行→刑”和“刑→行”双向通道,以严密的行政法网和刑事法网,实现对该类行为进行有效规制。通过系统性治理,减少该类犯罪的发生,维护我国金融秩序和金融安全。"Criminal Law amendment(7)"stipulates that the“transferring public to private”behavior of"illegally engaged in fund payment and settlement business"shall be convicted and punished as the crime of illegal business operations.Although it causes the strict criminal law network there are problems in the judicial application,such as disputes of"profit-making purpose",review of real transactions as well as inconsistence between administrative law enforcement and criminal punishment.To solve these problems,it is necessary to sort out and examine the process of“transferring public to private behavior”in administrative and judicial regulation,that is,from the single punishment mode by administrative regulations,to a mixed mode of punishment for joint or downstream crime in criminal law,and then to an independent crime mode.By breaking through and responding to the mixed mode after independent conviction,it is proposed that the criminal law governance of"transferring public to private"must return to the correct guidance of criminal law theory to practice,accurately grasp the constitutive elements,so that the legal provisions can be reasonably applied;At the same time,the burden of proof should be adjusted appropriately,and the"ghost defense"should be dealt with scientifically,so as to realize the proper crackdown on such crimes.Administrative law enforcement should be strengthened to form an unimpeded two-way channel of"administrative law enforcement→criminal punishment"and"criminal punishment→administrative law execution"to achieve effective regulation of this type of behavior with a tight administrative and criminal law network.Through systematic governance,the occurrence of such crimes can be reduced,and the financial order and security of China can be maintained.

关 键 词：非法“公转私” 独立成罪 法律规制 刑法治理 

分 类 号：DF623[政治法律—刑法学]