Research On Criminal Liability Of Corporate Crimes Under The Compliance Program

In the context of globalization and a risk society,the early intervention of criminal law,the strengthening of mobilization,the continuous expansion of criminal circles,and the intention of criminal law legislation to prevent and control social risks are obvious.The traditional criminal law method has shown its inadequacy in regulating unit crimes.China’s criminal code recognized unit crime as early as the 1980s,but because this criminal code is based on punishing natural person crimes,the determination of unit criminal responsibility is based solely on the determination of individual criminal responsibility.As a prerequisite.To this day,the identification of the unit’s criminal responsibility in practice is still guided by the provisions of Articles 30 and 31 of the General Principles of the Criminal Law.There is no clear way of identifying the relationship between the criminal liability of a natural person in a unit and the unit’s criminal responsibility.This is mainly reflected in the penalties adopted in our country for penalizing unit crimes,which are still based on the dual-penalty system and supplemented by the single-penalty system.In recent years,China’s criminal law has been continuously revising unit crimes based on the unitary theory of corporate criminal responsibility,expanding the scope of unit crimes,and punishing unit crimes has become increasingly severe.The corporate crime rate is still high.The reason is that our country’s corporate criminal criminal responsibility theory and penalties have deviated from the direction of unit crime regulation.It focuses on punishing unit crime instead of prevention.This can no longer cope with the new crime situation in the modernization of transnationalization,diversification,and multi-agency business model of modern enterprises.In recent decades,more and more countries in the world have tended to adopt the dual corporate criminal responsibility theory with compliance plans as the core to reduce the burden of proving unit crimes and increase the preventive effect on unit crimes.China’s theoretical community has set off a“compliance fever" since the ZTE Incident in 2018.Nowadays,the development of compliance in China has made certain achievements,and a series of guidelines have been promulgated.Is still in its infancy.To fundamentally change the problem of China’s unit criminal regulation,we must proceed from China’s national conditions,actively learn from foreign experiences,and build a compliance plan with Chinese characteristics.This is the purpose of this topic.In addition to the introduction,this article includes four parts,as follows:The first chapter of this article starts from the definition of the compliance plan,and then focuses on the features,functions,and meanings of the compliance plan,and reveals that the essence of the compliance plan is to avoid corporate criminal liability.It then summarizes the elements and standards of the latest international effective compliance programs.The second chapter of this paper firstly introduces and analyzes the current theory of corporate criminal responsibility identification in China,reveals the shortcomings of the theory of monopoly corporate criminal responsibility in China,and then analyzes that the corporate criminal liability penalty system based on this theory is not suitable for today.The penal purpose of active general criminal prevention in a risk society cannot achieve effective regulation of the increasingly serious unit crime.By affirming that the compliance plan under the dual corporate criminal liability theory is compatible with the penal purpose of preventing unit crimes,the necessity of introducing a compliance plan in China is clarified.On this basis,the author follows the current practice of introducing compliance plans in China,and further analyzes the significant impact that compliance plans may have on the identification and prosecution of criminal liability in Chinese enterprises.Finally,it points out three types of dilemmas that have emerged during the introduction of China’s current compliance plan:the weak theoretical foundation for compliance growth,the backwardness of corporate governance concepts,and the absence of relevant incentive mechanisms in legislation.The third chapter of this article analyzes the theory and practice of investigating corporate criminal liability under the compliance plan in major international common law countries and civil law countries in the world.It focuses on the US and Japan’s compliance systems and summarizes them.Enlightenment on the construction of China’s compliance system.The fourth chapter of this article is aimed at the reality of China’s corporate criminal responsibility investigation in the second chapter and the difficulties in the process of constructing a compliance plan,and combined with the experience and lessons of the third chapter,the construction path of China’s compliance plan is specifically proposed.That is,under the background of in-depth improvement of the theoretical research on compliance plans,we will promote the update of the criminal responsibility theory of corporate crimes in our country,and at the same time,build a corporate policy based on corporate social responsibility with a good corporate compliance culture as the long-term goal.A comprehensive preventive policy of national policies based on criminal punishment and administrative sanctions.