刑事合规的系统性反思与本土塑造  

Comprehensive Reflection and Domestic Reshaping of Criminal Compliance

作　　者：孙道萃[1] SUN Daocui

机构地区：[1]中国政法大学国家法律援助研究院,北京100088

出　　处：《华南师范大学学报（社会科学版）》2022年第4期153-170,208,共19页Journal of South China Normal University：Social Science Edition

基　　金：研究阐释党的十九届四中全会精神国家社会科学基金重大项目“健全社会公平正义法治保障制度研究”(20ZDA032);中国政法大学青年教师资助计划“检察机关贯彻落实认罪认罚从宽制度的实证研究”(1000-10820706);中国政法大学校级科研创新项目“网络不正当竞争犯罪的刑法应对研究”(21ZFQ82004)。

摘　　要：试点探索中的刑事合规已日渐成为“显学”,但也存在本体内容不够明确、规范构造相对不成熟、理论体系的建设不充分、立法跟进与支持不够、司法化滞后与规则空缺等结构性缺陷。刑事合规应以完整的要素与实施机制为存立前提,以奠定其作为刑事法制度的本体基础。刑事合规必须夯实其规范的本真内容,遵从综合性的规范意义,实现立体的规范评价,夯实合法地位。刑事合规的激励机制立足于功利主义,应当逐一澄清刑事合规的理论动能、激励原理,促进理论素养的持续生长。结合我国企业合规试点进展,有必要加快响应推动刑事合规立法进程,这会使激励机制变得“刚性”有力。为了克服刑事合规仍无“法”适用的试点困境,应在试验性司法模式下全面出台专门的指导意见与实施细则。Criminal compliance,explored in pilot projects,is becoming a popular subject of research.There are some structural defects in China’s criminal compliance,such as unclear content of the main part,immature structure of the norms,insufficient construction of the theoretical system,vacancy of legislation,and backwardness of judicialization.Criminal compliance should be based on a complete set of elements and a mechanism for implementation so as to establish itself as a criminal-law system.The content of the norms for criminal compliance must be consolidated.The incentive mechanism for criminal compliance should be based on utilitarianism.The theoretical motivation and incentive principle of criminal compliance should be clarified to sustain its theoretical development.It is necessary to speed up the process of criminal compliance legislation to make the incentive mechanism compulsory.In order to overcome the practical dilemma in which criminal compliance still has no“law”to apply,guidance and implementation rules should be issued as soon as possible under the experimental judicial model.

关 键 词：刑事合规 刑事法制度 规范评价 理论发展 立法建言 司法完善 

分 类 号：D924[政治法律—刑法学]