Research On The Compliance Non-prosecution System For Criminal Enterprise

Corporate compliance is a frontier field of law across multiple disciplines involving corporate governance,criminal law and criminal procedure law,which has caused great attention in the law and judicial circle.With the advancement of the legal system,the crackdowns on unit crimes have increased.Small and medium-sized private enterprises have become the main subject of unit crime cases in China.How to make the sustainable development of these enterprises has become a major problem.In order to solve it,under the guidance of the Supreme People’s Procuratorate,the procuratorial organs at various levels in our country have carried out the reform of the corporate compliance non-prosecution.The system transforms post-conviction into prevention in advance,integrates the unit crime management with the corporate compliance development to help enterprises eliminate management loopholes and urge enterprises operate in accordance with the law and regulations,which gives full play to the prevention function of the Criminal Law.The system has achieved remarkable achievements in protecting private enterprises,but it is not yet officially included in laws and regulations,so the development of corporate compliance nonprosecution practice and reform is uneven and the practices of procuratorial organs around the country are different and the specific operation rules are not complete.There are many practical problems,which cannot be effectively solved,such as the non-uniform provisions of the selection of compliance non-prosecution operation modes and supervision modes,the lack of effective supervision on compliance rectification,the unclear standard of compliance validity,the insufficient criminal compliance incentives,and the deficiency in connection between the procuratorial organs and the administrative regulatory organs.Therefore,it’s necessary to build a unified corporate compliance non-prosecution system in accordance with China’s national conditions.Based on the analysis of the practice and exploration of procuratorial organs,the thesis explores the legal basis,realistic basis and system superiority to demonstrate the legitimacy and feasibility of the corporate compliance non-prosecution system,studies its unified construction of the basic framework,and puts forward corresponding countermeasures.Besides,the thesis also expands the scope of applicable objects and accusation,determines the operation methods and selection rules of the compliance mode;standardizes the corporate compliance nonprosecution procedures,standard of compliance validity,supervision mode selection and the connection between the administrative law enforcement and the criminal procedure;takes the compliance program as the measurement of penalty and establishes a qualification review mechanism and a court review mode so as to protect small and medium-sized enterprises and improve the rule of law in China,and to promote the modernization of national governance system and governance capacity.