摘要
伴随着涉案企业合规改革的深入推进,检察机关已意识到行政机关参与合规工作的重要性,正适时构建刑行衔接制度,但也因制度构建时长较短,面临诸多实践困境。行政监管机关法定职责缺位,难以达成合规监管的预设效果;合规整改验收标准不明,企业犯罪预防未能得到溯源治理;行政处罚激励机制尚未激活,企业进行合规整改的积极性大打折扣;行政监管后续接力不足,合规整改工作就此半途而废。突破口并非不存在,应尽快在法律层面落实行政监管机关的法定职责,明确刑行统一的合规验收标准,构建合规互认制度保证合规激励的有效性,设立跟踪回访或引入行政公益诉讼制度,让合规监管在行政领域持续落地。
Along with the deepening of the corporate compliance reform related to criminal cases,the procuratorates have realized the importance of the criminal-executive interface and constructed the system in due course,but also faced many practical dilemmas because of the relatively short time for the construction of the system.For example,which made the preset effect of compliance supervision hard to achieve;the acceptance criteria of compliance rectification are unclear,which made corporate crime prevention not obtain the traceability management;the incentive mechanism of administrative punishment has not been activated yet,which made the enthusiasm for corporate compliance rectification greatly reduce;and the follow-up of administrative supervision is insufficient,thus the compliance rectification work was left unfinished.However,the breakthrough is still existent.The statutory duties of administrative regulatory authorities should be implemented legally,an unified compliance acceptance standard for criminal and administrative should be clarified,an effective compliance mutual recognition system should be constructed and a follow-up visit or an administrative public interest litigation system should be introduced to the area,and compliance supervision in the administrative field should be implemented continuously.
作者
金晴
Jin Qing(School of Criminal Justice,East China University of Political Science and Law,Shanghai 200042,China)
出处
《中南财经政法大学研究生论丛》
2022年第5期134-140,共7页
Journal of the Postgraduates of Zhongnan University of Economics and Law
关键词
企业合规
刑行衔接
行政处罚
行政监管
Corporate Compliance
Criminal-executive Interface
Administrative Penalties
Administrative Supervision
作者简介
金晴(1999-),女,上海浦东人,华东政法大学诉讼法学专业2021级硕士研究生。
