刑事合规与单位犯罪立法的完善  

Criminal Compliance and Improvement of Unit Crime Legislation

作　　者：孙国祥[1] SUN Guo-xiang

机构地区：[1]南京大学法学院

出　　处：《北京社会科学》2024年第1期65-70,91,共7页Social Sciences of Beijing

摘　　要：在肯定法人犯罪的基础上,法人犯罪立法中的关键问题主要集中在法人犯罪的范围、法人犯罪的归责基础以及法人犯罪中法人与相关法人成员的关系。在刑法分则中挑出部分罪名进行立法的方式,固然有助于控制法人犯罪的范围,但还存在着罪名稳定性缺乏、选择标准模糊等难以解决的问题,法人犯罪的成立范围宜采取普遍性的立法。由于替代责任与刑法责任主义原则相悖,容易导致法人责任认定过于宽泛,故法人犯罪的归责基础应采用组织体责任,法人成员的意思一旦转化为单位整体意志,该意志即成为单位犯罪的意志。基于组织体责任,立法应明确企业事前合规对法人犯罪成立的阻却作用。同时,在两罚制视野下,法人犯罪中法人与法人成员属于两个不同的犯罪主体,法人成员的犯罪并不依附于法人,立法应统一规定,法人成员的犯罪按自然人犯罪定罪量刑。On the basis of affirming corporate crime,the key issues in corporate crime legislation mainly focus on the scope of corporate crime,the basis of liability for corporate crime,and the relationship between legal persons and relevant corporate members in corporate crime.Selecting certain legislative methods for certain charges in the criminal law provisions can certainly help control the scope of corporate crime,but there are difficult problems such as unstable charges and unclear selection criteria.Therefore,universal legislation should be adopted for the establishment of corporate crime.Due to the contradiction between alternative liability and the principle of criminal liability in criminal law,it is easy to lead to too broad liability of legal persons.Therefore,the basis of liability for corporate crimes should definitely be the responsibility of the organization.Once the intention of corporate members is transformed into the overall will of the unit,this will will become the will of the unit to commit crimes.Based on organizational responsibility,legislation should clarify the deterrent effect of corporate pre compliance on the establishment of corporate crime.At the same time,from the perspective of the dual punishment system,in corporate crime,the legal person and its members belong to two different criminal subjects,and the crimes of corporate members are not dependent on the legal person.Legislation should unify the provisions,and the crimes of corporate members should be convicted and punished according to the crimes committed by natural persons.

关 键 词：单位犯罪 法人犯罪 组织体责任 两罚制 企业合规 

分 类 号：D924[政治法律—刑法学]