摘要
起源于美国的暂缓起诉协议制度,逐渐被英国、法国、加拿大、澳大利亚等国所接受,并被作为处理企业犯罪案件的重要方式。目前,这一制度可以分为检察官自由裁量与司法审查这两种模式,并以企业建立合规机制作为适用的前提,以企业完善合规计划作为协议的重要内容,还容纳了企业在重建合规体系方面接受全程监控的机制。尽管在正当性上存在较大争议,但暂缓起诉协议制度符合"各方利益兼得"的基本原理,可以发挥替代刑事处罚的报应和威慑功能,并使检察机关参与到公司合规治理中来,促进了企业的合法合规经营。我国在推动企业合规体系建设过程中,有必要考虑确立暂缓起诉协议制度,并将其作为一种重要的合规激励机制。
The deferred prosecution agreement system originating in the United States has gradually been accepted by the United Kingdom,France,Canada,Australia and other countries,and has been used as an important way to deal with corporate crime cases.At present,the operation of deferred prosecution agreement system can be divided into two modes:prosecutor discretion and judicial review.This system premised on the establishment of compliance mechanism,and takes the companies’perfect compliance program as an important content.It also accommodates the mechanism for companies to monitor the entire process of rebuilding the compliance system.Although there is a lot of controversy about the legitimacy of this system,the deferred prosecution agreement system is in line with the basic principle of"mutually benefit,"which can play the role of retribution and deterrence instead of criminal punishment,and make the prosecutors participate in the company’s compliance management,promoting the legal compliance of companies.In the process of promoting the establishment of corporate compliance system,it is necessary to consider establishing a system of deferred prosecution agreement as an important compliance incentive mechanism.
出处
《比较法研究》
CSSCI
北大核心
2020年第1期1-18,共18页
Journal of Comparative Law
关键词
审前转处协议
暂缓起诉协议
企业合规
检察官自由裁量
司法审查
pre-trial diversion agreement
deferred prosecution agreement
corporate compliance
prosecutor’s discretion
judicial review
作者简介
陈瑞华,北京大学法学院教授,法学博士,教育部“长江学者奖励计划”特聘教授。
