企业合规改革与刑事诉讼立法  

Corporate Compliance Reform and Criminal Procedure Legislation

作　　者：陈瑞华[1] Chen Ruihua

机构地区：[1]北京大学法学院

出　　处：《政法论坛》2024年第1期67-77,共11页Tribune of Political Science and Law

摘　　要：涉案企业合规改革经过近四年的探索,取得了较为理想的政治、社会和经济效果,基本具备了启动刑事诉讼立法的条件。目前,法学界和实务界围绕着涉案企业合规监督考察制度的正当性问题,提出了“公共利益考量理论”“替代刑事处罚理论”“法益修复理论”以及“有效预防单位犯罪理论”等较为成熟的理论,使得这一改革具有较为坚实的理论根基。与此同时,对于一些较为成熟的制度安排,包括“第三方机制管委会制度”“第三方组织制度”“涉案企业合规监督考察制度”“有效合规整改标准制度”“对合规整改合格企业的宽大处理制度”,有必要加以梳理、总结并进行完善,将其吸收进刑事诉讼法之中。当然,随着企业合规改革的逐步深化,法学界和实务界对于一些带有探索性的制度设计,也存在着不同甚至对立的认识和评价。对于这些有争议的问题,可以本着“求同存异”的态度,尽量凝聚共识,搁置争议,给予各地司法机关继续进行改革探索的机会,在条件成熟时逐步加以解决。After nearly four years of exploration,the compliance reform of enterprises involved in cases has achieved relatively satisfactory political,social and economic effects,and basically has the conditions for initiating criminal procedure legislation.At present,the legitimacy of the compliance supervision and inspection system of enterprises involved in cases has been raised in the legal and practical circles,such as“public interest consideration theory”,“alternative criminal punishment theory”,“legal interest repair theory”,“effective prevention of unit crime theory”and other more mature theories,so that this reform has a more solid theoretical foundation.At the same time,it is necessary to sort out,summarize and improve some of the more mature institutional arrangements,including“third-party mechanism management committee system”,“third-party organization system”.“compliance supervision and inspection system for enterprises involved in the case”,“effective compliance and rectification standards system”and“leniency system for enterprises that have passed the compliance and rectification procedures”,so as to incorporate them into the criminal procedure law.With the gradual deepening of corporate compliance reform,there are different or even opposing perceptions and evaluations of some exploratory system designs in the legal and practical circles.For these controversial issues,in the spirit of“seeking common ground while reserving differences”attitude,try to build consensus,put aside the controversy,and give the judicial organs around the world to continue to carry out the reform and exploration,and gradually solve the problem when the conditions are ripe.

关 键 词：涉案企业合规监督考察 公共利益考量 有效合规整改 全流程合规 

分 类 号：D925.2[政治法律—诉讼法学]