摘要
合规不起诉制度针对涉案企业而非个人,但我国改革实践以“双放过”为基本模式,且以中小民营企业为主要对象,并在基层检察机关适用。以制度设置的目的、对象、适用程序等为约束条件,合规不起诉应选择谦抑模式。以“合规责任论”重构单位犯罪归责机制,理论上尚未充分证立,实践中难以全面适应我国单位犯罪判定的司法需求,且与单位民事责任判定标准不协调,有损法律责任统一性原则。在单位与个人同进退的背景下,合规整改对出罪及轻罚的影响力有限,对合规整改、监督措施的有效性以及主导机关的能力应谨慎评估。可于相对不起诉框架内适用合规不起诉,且修法扩大附条件不起诉的适用范围,发展涉案企业合规建设的多元化路径和方法。
The non-prosecution compliance system is designed to target enterprises rather than individuals.It,However,in China's reform practice,adopts the basic model of"double leniency"and mainly targets the small and medium-sized private enterprises,which are applied by grassroots procuratorial organs.Considering the constraints based its purpose,object,and application procedure of the institutional setting,it should adopt a modest mode in China.In fact,the attempt to reconstruct the corporate criminal attribution mechanism based on"the theory of compliance responsibility,"has not been fully justified in theory,and in practice can hardly meet the full judicial needs of determining corporate crimes in China.Moreover,such attempt is inconsistent with the standards for determining corporate civil liability,which undermines the principle of unity of legal responsibility.In the context that corporation and individuals shall be either be punished or exempt from punishment together,the impact of compliance rectification is limited on the exemption from punishment and on lenient punishment.Moreover,the effectiveness of compliance rectification,supervision measures and the ability of the judicial organs should be carefully evaluated.The non-prosecution compliance can be applied within the framework of discretionary non-prosecution,and the scope of application of conditional non-prosecution can be expanded by legislative amendment,in order to develop a diversified path and method for corporate compliance.
出处
《比较法研究》
CSSCI
北大核心
2023年第3期74-83,共10页
Journal of Comparative Law
关键词
涉案企业
刑事合规
不起诉
改革
enterprises involved in a crime
criminal compliance
non-prosecution,reform
作者简介
龙宗智,四川大学法学院教授
