企业合规案件中法院审查事项研究  

Research on Court Review Matters in Corporate Compliance Cases

作　　者：古典 GU Dian(Anhui University,Hefei 230031,China)

机构地区：[1]安徽大学法学院,安徽合肥230031

出　　处：《哈尔滨学院学报》2025年第3期63-68,共6页Journal of Harbin University

基　　金：2022年度国家社会科学基金后期资助项目,项目编号:22FFXB062。

摘　　要：当下,法院已通过认罪认罚从宽制度参与到涉罪企业合规案件的审理中,并呈现出两种不同的实践样态。为确保法院审理合规案件的效果,有必要参考检察院审查合规案件的相关事项,结合法院审理认罪认罚案件的审查内容,确定法院审理合规案件时所需审查的事项,并根据不同情况下法院的职责要求,对审查事项进行区分。同时,需要结合法院审理案件的实际需求,积极探寻法院对第三方机制的运用方式,明确合规考察书面报告的证据属性,以充分发挥司法建议制度的社会治理功能。Currently,courts have engaged in the trial of corporate compliance cases through the system of leniency for pleading guilty and accepting punishment,presenting two distinct practical patterns.To ensure the effectiveness of court adjudication in compliance cases,it is necessary to refer to the relevant matters reviewed by the prosecution in compliance cases,combining them with the review content of plea bargain cases adjudicated by the court.This will help determine the review matters required during the court’s adjudication of compliance cases and differentiate the review matters based on the court’s responsibilities in various situations.At the same time,it is essential to actively explore the court’s application of third party mechanisms in light of the actual needs of case adjudication and clarify the evidential attributes of written compliance assessment reports,so as to fully leverage the social governance function of the judicial recommendation system.

关 键 词：企业合规 认罪认罚从宽制度 法院审理 第三方监督评估机制 

分 类 号：D925.2[政治法律—诉讼法学]