| Criminal compliance,as a crime prevention method co-governed by the state and enterprises,has changed the traditional way of fighting and preventing corporate crimes,and has realized the transition from “post-event punishment” to “pre-event prevention and post-event punishment”.It encourages the operators and managers of enterprises to operate normatively by giving them certain penalty "benefits".Criminal compliance,on the one hand,reduces the national investment in crime prevention,and on the other hand,promotes the autonomy of enterprises in accordance with the law It is of referential significance for China to prevent corporate crime.Since the enterprise was established as the subject of crime in the the Customs Law of 1987,with the increase of the scope of punishment for unit crime,enterprises,as one of the subjects of unit crime,are facing increasing criminal risks.There are two main reasons for thi.First,the rise of the functionalist view of criminal law,that is,the function of criminal law is transformed from controlling and punishing crimes to preventing the occurrence of criminal risks.Second,in the course of the company’s own operations,there are many non-legal business practices,that is,non-compliance of their own business behavior.The former is an external cause,the latter is an internal cause.It is also the main cause and the root cause.Therefore,accelerating corporate compliance operations has an important role in preventing corporate crime.However,how to speed up enterprise compliance construction and how the state should respond to enterprise compliance construction in legislation and judicature still need to be further studied.Based on this,the author takes "Research on Criminal Compliance and Enterprise Risk Prevention and Control" as the title,using literature research,comparative research,case carry out more in-depth and systematic research on the issues such as the criminal risks faced by enterprises,how enterprises should control risks through compliance operations,and how the state should respond to enterprise compliance construction in legislation and judicature.In addition to the introduction and conclusion,the full text is divided into five chapters,about 40,000 words.The first chapter is "proposition of the question".Through the analysis related to enterprises such as "ZTE" and "Huawei",the author puts forward the disposal measures and reality needs of enterprise compliance.Disposal measures include existing effective countermeasures,while pointing out that the relevant countermeasures are weak.The reality needs will be discussed from two aspects: the urgent needs of reality and the possible risks.The second chapter is "enterprise compliance and enterprise criminal compliance".It focuses on explaining important issues related to enterprise compliance and enterprise criminal compliance.fundamental issues of enterprise compliance include the connotation of enterprise compliance,the emergence and development of enterprise compliance,and the significance of enterprise compliance.fundamental issues of enterprise criminal compliance include the connotation of enterprise criminal compliance,the basic elements of enterprise criminal compliance,the role and value of enterprise criminal compliance.Through the discussion in this chapter,the author intends to provide theoretical construction and knowledge foundation for the subsequent chapters.The third chapter is "research on the operation of enterprise compliance and enterprise criminal compliance system".It mainly includes three parts.The first part introduces the criminal compliance systems of countries such as the United States,Germany,the United Kingdom and Japan covering the civil law system and the common law system.The second part summarizes the current status of China’s compliance system and China’s criminal compliance system;The third part,combing with the extraterritorial criminal compliance system,briefly analyzes China’s criminal compliance system,and further pave the way for the improvement of China’s criminal compliance system.The fourth chapter is "enterprise criminal compliance risk and enterprise risk prevention and control measures".It mainly covers the types of enterprise criminal compliance risk and the prevention and control measures of enterprise risk.The first part mainly includes the criminal compliance risk of the internal personnel and institutions of the enterprise,the unit crime criminal compliance risk of the enterprise as a whole and the criminal compliance risk of enterprise victims.The second part mainly includes specific enterprise risk prevention and control measures,such as the disclosure and training mechanism of the company’s internal business code of conduct,the establishment of compliance management institutions,the establishment of an enterprise risk prevention system,the reasonable setting of assessment,reporting and investigation mechanisms,and the risk response system.The fifth chapter is "countermeasures to improve the criminal compliance of Chinese enterprises".This chapter constructs the criminal compliance system of Chinese enterprises from three aspects: concept,system and method.Its content mainly includes three levels: the concept of constructing enterprise criminal compliance in China,the design of criminal compliance system in China and the specific method of constructing criminal compliance,which is included in the specific system construction. |
