公司刑事责任的理论逻辑——基于公司法与刑法理论交叉的视角  

The Theoretical Logic of Corporate Criminal Liability:From the Perspective of the Theoretical Crossing Between the Corporate Law and the Criminal Law

作　　者：王首杰 Wang Shoujie(Law School,Shenzhen University,Shenzhen 518061,China)

机构地区：[1]深圳大学法学院,广东深圳518061

出　　处：《北京大学学报（哲学社会科学版）》2023年第6期162-171,共10页Journal of Peking University(Philosophy and Social Sciences)

摘　　要：公司刑事责任理论是一个刑法与公司法的交叉理论命题。既受辖于刑法中的定罪量刑理论,也受到公司法理论中关涉公司组织形式和公司本质的重要影响。从当下公司刑事责任状态来看,其在美国激进,到欧洲保守,于我国较为适中。在公司刑事责任最为盛行的美国,有三种学说占据主要地位:“共同获益说”“共同意思说”以及“共同文化说”。总体而言,三种学说流派各有不足,“共同获益说”忽略了主观意思,“共同意思说”将刑事责任导向了严格责任,“共同文化说”尚未将文化构成要素进行权重设计,存在适用困难。从理论构造看,公司刑事责任有其特殊之处:与自然人相比,公司没有肉体可惩罚,没有灵魂可谴责,法律上如何认定公司人格,决定着公司能否成为刑事责任主体及适用哪种归责原则。因此,从公司法理论视角切入,基于公司的“团体性”与公司人格的演变重思公司刑事责任理论的逻辑构造:首先,从规制目标出发,厘清作为规制工具的公司刑事责任的优劣;其次,依公司“团体性”本质,适度援引“共同文化说”理论;最后,以中和的公司人格理论作为公司刑事责任双罚制和认知标准的理论基础。The theory of corporate criminal liability is a cross theoretical proposition between the criminal law and the corporate law.It is governed by the theories concerning conviction(定罪)and sentencing(量刑)in the criminal law and also greatly affected by the theories concerning corporate organizational forms and corporate nature in the corporate law.Examining the differences in corporate criminal liability worldwide,we can find that it is radical in the United States,conservative in Europe and moderate in China.In the United States where corporate criminal liability is most prevalent,there are three concerning mainstream theories which are thetheory of common benefit(共同获益说),thetheory of common meaning(共同意思说),and the theory of common culture(共同文化说).Overall,each of them has its own shortcomings.The theory of common benefit ignores subjective meaning,the theory of common meaning directs criminal liability towards strict liability,and the theory of common culture has not yet conducted the weight design of cultural elements,which makes it dfficult to apply.In terms of the theoretical construction,corporate criminal liability has its unique characteristics.In contrast with the natural person,the corporate has neither body to be punished,nor soul to be condemned.How to legally identify corporate personality determines whether the corporate can become the subject of criminal liability,and also determines the doctrine of liability fixation(归责原则).From the perspective of the theory of the corporate law,this article attempts to reconsider the logical structure of the theory of corporate criminal liability on the basis of the changes of corporate collectivity(团体性)and corporate personality.Firstly,we start from the regulatory objectives to clarify the advantages and disadvantages of corporate criminal liability as a regulatory instrument.Secondly,we appropriately invoke the theory of common culture in accordance with the nature of corporate collectivity.Finally,we construct corporat

关 键 词：公司刑事责任理论 团体性 公司人格理论 共同文化说 

分 类 号：D923.991[政治法律—民商法学]