审判阶段的涉案企业合规激励问题  

Research on the Compliance Incentive for the Enterprise at the Trial Stage

作　　者：谭世贵[1] 梁贤浩 TAN Shigui;LIANG Xianhao

机构地区：[1]华南师范大学法学院,广州510631

出　　处：《华南师范大学学报（社会科学版）》2024年第4期120-132,207,共14页Journal of South China Normal University：Social Science Edition

基　　金：司法部法治建设与法学理论研究部级科研项目“企业合规的问题与对策研究”(22SFB3018)。

摘　　要：审判阶段涉案企业合规激励,是指审判阶段法院对涉案企业和相关责任人员的合规奖励或惩罚,其仅存在于审判阶段,主体是法院,对象是单位、单位犯罪责任人员、企业中实施与生产经营活动密切相关犯罪的责任人员,内容包括正向激励和负向激励。我国部分地方法院在涉案企业合规激励方面已经进行实践探索并取得一定的成效,但仍然存在合规整改情况在法院量刑中未能得到应有反映、合规激励方式过于单一、合规整改有效性审查制度缺失、刑事法官运用合规激励的能力不足等问题。推进审判阶段涉案企业合规激励,应当考虑法院主导、谦抑中立、区别对待、激励多样化和依法激励等因素,同时将合规整改是否达到有效性标准作为法定量刑情节,探索并适用更多的合规激励方式,确立合规整改有效性审查制度,以及提升刑事法官运用合规激励的能力。The compliance incentive for the enterprise at the trial stage refers to the compliance reward or punishment given by the court to the involved enterprises and relevant responsible personnel during the trial stage.This incentive only exists in the trial stage.The incentive subject is the court.The incentive targets include units,personnel responsible for unit crimes and personnel responsible for committing crimes closely related to production and business activities in enterprises.The content of this incentive includes positive incentives and negative incentives.This incentive is of great significance for promoting the modernization of national governance system and governance capacity,protecting the rights and interests of private enterprises and entrepreneurs,and promoting court participation in the compliance reform of the enterprises involved in cases.Some local courts in our country have already conducted practical explorations and achieved certain results in promoting the compliance incentive for the enterprise.However,there are still problems such as inadequate reflection of compliance rectification in court sentencing,overly single compliance incentive methods,lack of effective review system for compliance rectification,and insufficient ability of criminal judges to use compliance incentives.To promote the compliance incentive for the enterprise at the trial stage,the principles of court leadership,humility and neutrality,differential treatment,diversified incentives,and lawful incentives should be followed.At the same time,whether compliance rectification meets the effectiveness standard should be considered as a statutory sentencing circumstance.More compliance incentive methods should be explored and applied,a review system for the effectiveness of compliance rectification should be established,and the ability of criminal judges to use compliance incentives should be enhanced.

关 键 词：企业合规 审判阶段 合规激励 合规整改 有效性审查 

分 类 号：D925.2[政治法律—诉讼法学] D926.2[政治法律—法学]