论合规缓诉  

On the Chinese-Style Enterprise Compliance by Stay of Action

作　　者：刘品新[1] Liu Pinxin

机构地区：[1]中国人民大学刑事法律科学研究中心

出　　处：《政法论坛》2024年第1期91-101,共11页Tribune of Political Science and Law

基　　金：2022年度教育部人文社会科学重点研究基地重大项目“数字时代诉讼法制的中国式现代化研究”(22JJD820024)的阶段性成果。

摘　　要：涉案企业合规包括基于刑事诉讼终结与中止的两种范式,后者在当前我国相关试点中普遍被无意识地弃用。而无论是从法条教义分析还是从实践案例解析来看,现行法律存在以“审理中止”方式开展涉案企业合规的制度基础,蕴含着“提起公诉、建议审理中止→监督合规整改”模型的适用空间。据此,可以抽象出以企业合规整改不能在短期内完成为由、从而启动审理中止的“合规缓诉”方案。此方案在中国现阶段实施虽存在一定限制,但已具有同国外流行的各种合规暂缓起诉做法可比肩的联系、共性与个性。面向未来,我国还应当拓展出囊括“审查起诉中止→监督合规整改”“(补充)侦查中止→监督合规整改”在内的完全方案,并借助修法契机打造高级版的合规缓诉。away the“Enterprise Compliance by Stay of Action”scheme that initiates the suspension of trial on the grounds that the compliance rectification of the enterprise cannot be completed in a short time.Although there are certain restrictions on the implementation of this scheme in China at the present stage,it has the basic contacts,commonalities,and characteristics matched and compared with the various Deferred Prosecution Agreements practices implemented in foreign countries.Facing the future,China should also develop a complete scheme covering“suspending the review of prosecution→supervising the compliance rectification”and“suspending the supplemental investigation→supervising the compliance rectification”,in order to create an advanced version of“Compliance by Stay of Action”by the opportunity of law revision.

关 键 词：企业合规 合规缓诉 暂缓起诉协议 审理中止 合规考验期 

分 类 号：D915.3[政治法律—诉讼法学]