企业刑事合规实践探索的适用问题研析  

Research and Analysis on the Application of Enterprise Criminal Compliance Practice

作　　者：卢勤忠[1] Lu Qinzhong

机构地区：[1]华东政法大学刑事法学院,上海200042

出　　处：《中州学刊》2022年第3期37-47,共11页Academic Journal of Zhongzhou

基　　金：国家社会科学基金一般项目“民营企业的刑事法律风险及刑法保护研究”(19BFX072)。

摘　　要：在我国语境下,为求概念的精确,建议合规实践的称谓采用完整的表述“涉罪企业刑事合规”。民营企业的刑事合规应该是企业刑事合规试点实践中的重点场域。企业刑事合规的适用条件包括犯罪类型、罪量程度、认罪认罚、合规承诺、企业规模等方面。企业刑事合规实践中对单位犯罪的认定要注意区分单位犯罪与自然人犯罪,企业内部在案发前的预防性合规计划不能作为单位犯罪的免责事由。对于企业刑事合规实践,需要建立完善的第三方监督评估机制。建议完善现有相关法律规定,设立刑事合规不起诉制度。In the context of our country,in order to ensure the accuracy of the concept,it is recommended to use the full expression"criminal compliance of accused enterprise"instead of compliance practice.The criminal compliance of private enterprises should be the key field in the pilot practice of enterprise criminal compliance.The applicable conditions of enterprise criminal compliance include the type of crime,the degree of crime,the admission of guilt and punishment,the compliance commitment,the scale of the enterprise and so on.In the practice of enterprise criminal compliance,the identification of unit crime should pay attention to distinguishing corporate crime and natural person crime.The preventive compliance plan formed within the enterprise before the the occurrence of crime can not be used as the exemption cause of corporate crime.The practice of corporate criminal compliance requires the establishment of a sound third-party supervision and evaluation mechanism.It is suggested to improve the existing relevant legal provisions and establish a non-prosecution system for criminal compliance.

关 键 词：涉罪企业刑事合规 民营企业刑事合规 第三方监督评估机制 刑事合规不起诉 

分 类 号：D924[政治法律—刑法学]