摘要
审判机关适用合规从宽政策的案件范围,一方面取决于合规的性质,另一方面取决于司法机关及其办理的案件的性质。企业所有的经济纠纷和违法犯罪都在一定程度上与没有实行合规或者合规管理不到位有关。审判机关对涉案企业提出合规司法建议是参与社会治理的重要方式,也是实现司法现代化乃至国家治理现代化的必然要求。在刑事合规中,应当继续坚持检察主导,但是审判机关既可以启动合规整改程序,也可以对合规整改验收情况进行司法审查。在民商事合规中,审判机关应当发挥主导作用,但是不必直接参与合规整改验收工作。
The case scope of judicial organ applying compliance lenience policy depends upon,on one hand,the nature of compliance,and on the other hand,the nature of judicial organ and the case in question.All economic disputes and criminal conducts of enterprises have something to do with the failure to exercise compliance or inadequate compliance management.It is an important social governance participation for the judicial organ to provide enterprises in question some judicial compliance recommendations,and a necessity for the realization of judicial modernization and state governance modernization.In criminal compliance,procuratorate-led mode should be adhered to,however,the judicial organ can either initiate compliance modification procedure,or exercise judicial review to the result of modification.In civil compliance,judicial organs can play a leading role,but not directly participate the evaluation of compliance modification.
出处
《中国应用法学》
CSSCI
2023年第5期98-106,共9页
China Journal of Applied Jurisprudence
关键词
合规性质
合规从宽
刑事合规
民商事合规
合规整改司法审查
nature of compliance
compliance leniency
criminal compliance
civil and commercial compliance
judicial review to compliance modification
作者简介
谢鹏程,山东大学法学院教授、博士生导师。
