理性建构刑事合规的中国路径  

Building a Rational System of Corporate Criminal Compliance in China

作　　者：熊亚文 Xiong Yawen

机构地区：[1]湖南大学法学院

出　　处：《比较法研究》2022年第3期74-91,共18页Journal of Comparative Law

基　　金：2020年度教育部人文社会科学研究项目“刑事一体化视阈下中国刑法私法化问题研究”(项目号:20YJC820054);2021年度中国法学会部级法学研究一般课题“企业合规制度的刑事一体化构建问题研究”[项目号:CLS(2021)C16]的阶段性研究成果。

摘　　要：当前理论与实务界关于构建我国刑事合规制度的探索,在诸多问题上还存在一定的不足或误区。其集中表现为:企业合规改革试点内容较为局限,未能充分挖掘既有刑事诉讼制度资源发挥本土优势;理论上普遍忽视刑事合规制度发展的阶段性规律,甚至出现通过设立兜底罪名强制推行企业合规的简单激进主张;企业合规制度的刑事一体化构建蓝图不清、路线不明。对此,有必要进行系统性反思和深入探讨。总体上,今后可以采取从程序法到实体法、从刑罚论到犯罪论、由点及面重点构罪的谨慎推进思路,分别从企业合规的刑事诉讼激励、刑罚激励以及包括但不限于上市公司合规、金融合规、反腐败合规等重要领域立法构罪的刑法强制三个侧面,逐步有序建构起符合我国国情并且契合现行刑事法治实践的刑事合规制度。How to build a rational system of corporate criminal compliance in China is still rife with misunderstandings and shortcomings in both theory and practice.Systematic reflection and exploration are badly needed on the following issues:First,in practice,the pilot reform in corporate compliance is limited in content,and fails to bring into full play the existing resources of criminal prosecution in China;Second,the law of developmental stages for criminal compliance system is generally ignored in theory,and some radical proposals have even been put forward to forcefully enforce corporate compliance such as establishing the conceptually vague so-called pocket crimes;Third,the blueprint and the road map are not clearly drawn for a corporate compliance system that integrates the substantive and procedural criminal law.In general,crimes can be cautiously established in key areas with perspectives from the substantive to procedural criminal law,from the theory of punishment to that of crime.A criminal compliance system can be built step by step by using the incentives in the criminal prosecution and or in the imposition of penalty on one hand,and on the other by compulsorily constituting crimes in legislation in important fields which include but are not limited to the listed company compliance,the financial compliance and the anti-corruption compliance.

关 键 词：刑事合规 企业合规 刑事诉讼激励 刑罚激励 监管过失犯罪 

分 类 号：D924.3[政治法律—刑法学]