法国刑事合规暂缓起诉制度之缘起、效果及借鉴  

French Judicial Convention of Public Interest:Its Origin,Effect and Implication

作　　者：戎静 Rong Jing

机构地区：[1]华东政法大学华东检察研究院

出　　处：《比较法研究》2022年第3期58-73,共16页Journal of Comparative Law

基　　金：华东政法大学科学研究项目资助。

摘　　要：在阿尔斯通公司和巴黎银行因合规问题被美国司法当局处以巨额罚款的触动下,法国借鉴美国暂缓起诉协议(DPA),引入了公共利益司法协议(CJIP)。引入动因源于寻求对他国法律域外管辖的制衡、对国内法反腐力度的补强及司法功利主义的推动。公益协议作为起诉替代方案仅适用于特定罪名,以符合“公共利益”作为实质适用标准。公益协议整合了公益罚金、合规计划和被害人赔偿三项制裁措施,检察官与涉事法人签署后由法院批准生效。该制度促使法国刑诉目的实现方式趋于多元、协商型司法进一步融入及法人归责原则转型,在限制他国司法域外适用和执行高额罚金等方面获得了成效。以法国经验为启示,构建我国刑事合规制度既要有国际视野的宽度和广度,亦要有解决我国实际问题的专度和深度。Triggered by the huge fine imposed on Alstom and BNP Paribas by the U.S.judicial authorities due to compliance issues,a system of Judicial Convention of Public Interest(CJIP)has been constructed in France,by borrowing from the U.S.Deferred Prosecution Agreement(DPA).It mainly purports to pursue checks and balances on the extraterritorial jurisdiction of other countries'compliance systems,to strengthen the anti-corruption efforts in French domestic law,and to promote judicial utilitarianism.As an alternative to prosecution,it is only applicable to particular crimes that meets the criterion of"public interest."It integrates three sanctions:public interest fines,compliance plans,and compensation for damages.The convention will come into effect after being signed by the prosecutor and the legal person involved,and approved by the court.The CJIP system has brought about many changes,including the diversification of the methods for achieving the purpose of criminal prosecution in France,the further integration of consultative justice,and the transformation of the principle for imputing crimes to legal persons.In addition,it has achieved significant success in restricting the U.S.from applying its jurisdiction extraterritorially and imposing huge fines.The French experience can provide implications for China in constructing its own criminal compliance system,which shall on one hand be based on broad global perspectives,and shall on the other hand specifically solve its real problems.

关 键 词：刑事合规 暂缓起诉 公共利益 公益协议 

分 类 号：D956.5[政治法律—法学] DD915