Research On Non-prosecution System Of Enterprise Compliance

With the deepening of the reform and opening-up policy and the full-scale development of the "Belt and Road" initiative,business operators have become the most widespread subjects in the economy and society,but at the same time,the number of corporate crimes has a trend of increasing year by year.In order to prevent and punish the growing number of corporate crimes on the one hand,and to reduce the social instability caused by corporate failures on the other,China’s procuratorial authorities have begun to explore the introduction of a corporate compliance non-prosecution system.This paper intends to make a preliminary study of the corporate compliance non-prosecution system,starting from the basic theoretical issues of corporate compliance,analyzing and studying the practice of corporate compliance non-prosecution in foreign countries,drawing lessons for the future construction of China,summarizing the basic experience of corporate compliance non-prosecution reform,and putting forward some personal views on the future compliance non-prosecution system,in order to do our best to improve the corporate compliance non-prosecution system in China.This paper is divided into five parts.Specifically,this paper is divided into five parts.The first part is the basic scope of the corporate compliance non-prosecution system.The first part is the basic scope of the corporate compliance non-prosecution system.It contains three parts: the concept,type and conceptual basis of the corporate compliance non-prosecution system.The first part is to clarify the central concept of the entire article,followed by the types of corporate compliance non-prosecution system,which are divided into two types: deferred prosecution agreements and non-prosecution agreements.Finally,the theoretical foundation of the corporate compliance non-prosecution system is analyzed from three perspectives to lay the foundation for further construction of the system in China.The second part is the extraterritorial examination of the corporate compliance non-prosecution system and its reference.Through the introduction of the compliance non-prosecution system in typical countries of common law and civil law systems,it is concluded that the further construction of the compliance non-prosecution system in China will be useful.The purpose and significance of the compliance non-prosecution system,the mode of application and the content of the construction of the compliance non-prosecution system in China are proposed to be drawn from the overseas corporate compliance non-prosecution system.The third part is the Chinese form of the corporate compliance non-prosecution system.It introduces the Chinese form of the compliance non-prosecution system from both theoretical and practical aspects.In the theoretical aspect,the three aspects of the current controversial application object,model selection,and compliance supervision model are discussed.In practice,three typical cases of China’s compliance non-prosecution system are introduced to emphasize the necessity and urgency of constructing a compliance non-prosecution system in China,and to introduce a general overview of China’s reform pilot work and clarify the importance China attaches to the construction of a compliance non-prosecution system.The fourth part is the construction of the corporate compliance non-prosecution system in China.The analysis selects the minor conditional non-prosecution system as the blueprint for constructing China’s compliance non-prosecution system.The next part focuses on analyzing the conditions of the corporate compliance non-prosecution system in terms of both substantive conditions and other conditions.The substantive condition is the compliance standard,and the other conditions start from three aspects:the scope of application,the period of investigation and the evaluation mechanism.In addition,the procedural design of the compliance non-prosecution system is analyzed in terms of conflict resolution in the application of coercive measures and grounds for revocation of compliance conditional non-prosecution decisions.The fifth part is the supporting mechanisms of the corporate compliance conditional non-prosecution system.The supporting mechanisms for constructing a corporate compliance non-prosecution system are introduced from the perspectives of criminal law,administrative supervision,lawyers,and third-party supervisors.In terms of criminal law,it is developed from the perspective of establishing a criminal incentive system for corporate compliance and emphasizing the obligations and legal responsibilities of corporate criminal compliance.In the area of administrative supervision,it is developed from strengthening the procuratorial guidance of the procuratorial authorities to the administrative supervisory departments and introducing a comprehensive administrative enforcement settlement system.In terms of lawyers’ practice,we hope to help the implementation of this system by creating compliance programs and conducting independent compliance investigations.As for the third-party supervisor,the legal status of the third-party supervisor is clarified,and the scope of application,fees and sources of fees of the third-party supervisor are explained in order to better assist the construction of the system of the third-party supervisor in China.