论企业刑事合规的法理基础及制度构建  

On the legal basis and institutional construction of corporate criminal compliance

作　　者：穆丽霞[1] 张丽华 Mu Lixia;Zhang Lihua(China University of Petroleum(East China),Qingdao Shandong 266400,China)

机构地区：[1]中国石油大学(华东)文法学院,山东青岛266400

出　　处：《辽宁公安司法管理干部学院学报》2022年第2期11-17,共7页Journal of Liaoning Administrators College of Police and Justice

摘　　要：企业刑事合规是风险社会下刑法对于公司治理问题的积极回应,已逐渐成为企业合规管理的重要组成部分,并亟需在立法与司法实践中加以体现。刑法积极预防理论、合作型司法理论和刑法激励理论应成为企业刑事合规制度的法理基础。我国应当从司法层面、政府层面、企业层面构建立体化企业合规制度体系。同时,基于企业刑事合规的建立及实施成本考虑,应当首先限制在国有企业、上市企业或股份有限公司范围内推行企业刑事合规制度。Corporate criminal compliance is a positive response of criminal law to corporate governance issues in a risk society.It has gradually become an important part of corporate compliance management, and needs to be reflected in legislation and judicial practice.The positive prevention theory of criminal law, cooperative judicial theory and incentive theory of criminal law should become the legal basis of the corporate criminal compliance system.China should build a three-dimensional corporate compliance system from the judicial level, the governmental level and the corporate level.At the same time, considering the establishment and implementation costs of corporate criminal compliance, the implementation of the corporate criminal compliance system should be limited to the scope of state-owned enterprises, listed companies or joint stock limited companies.

关 键 词：企业刑事合规 合作型司法理论 不起诉制度 PPP模式 

分 类 号：D924[政治法律—刑法学]