Research On Enterprise Compliance Non-Prosecution System In China

Since 2020,the Supreme People’s Procuratorate has successively launched pilot reforms of the enterprise compliance non-prosecution system in several provinces and cities.As a result,the enterprise compliance non-prosecution system has received widespread attention,and it has made phased progress so far,But the enterprise compliance non-prosecution system faces some problems and challenges in the process of reform pilot.In order to give better play to the institutional advantages of enterprise compliance non-prosecution system,this thesis explores the relevant provisions of compliance non-prosecution system in foreign countries,summarizes its experience and inspiration to our country and sorts out the basic structure of the current enterprise compliance non-prosecution system in China,on the basis of studying the current situation of the practice of enterprise compliance non-prosecution system in China,it finds the difficulties existing in the operation of the system and puts forward suggestions for improvement.Overall,the introduction of the enterprise compliance non-prosecution system has further improved the non-prosecution system in our country,embodies the concept of the state procuratorial organs actively participating in social governance and protecting the development of private enterprises,making the means of managing corporate crimes in our country more diverse.By encouraging enterprises to establish a complete compliance system,improve their internal governance and risk prevention and control mechanisms,effectively avoid corporate criminal risks,and achieve the purpose of preventing corporate crimes and protecting social and public interests.However,there are also many problems in the application of the enterprise compliance non-prosecution system in China.At present,most of the procuratorial organs adopt the mode of relatively non-prosecution and procuratorial suggestions for the companies involved in the case within the existing legal framework.The scope of applicable cases for this model is too narrow to take advantage of the enterprise compliance non-prosecution system.Some pilot procuratorial organs have explored the "conditional non-prosecution" model for enterprises,but the current conditional non-prosecution system in our country can only be applied to minor criminal cases and the legal basis for implementing conditional non-prosecution for enterprises is insufficient.In the judicial practice in China,there is controversy over whether it is reasonable to apply the compliance non-prosecution system to the companies involved their principals,and the review standards for enterprise compliance non-prosecution are not clear.In addition,the third-party monitoring and evaluation mechanism is crucial to the effectiveness of enterprise compliance non-prosecution system.However,the current supervision mechanism is not perfect,mainly reflected in that there are no detailed and clear regulations on the selection process of third-party regulatory assessors,the cost burden of third-party regulatory agencies,payment methods,and payment time,which affects the review and determination of the effect of enterprise compliance.Based on the analysis of the status quo of our country’s compliance reform,this thesis puts forward some suggestions for improving the enterprise compliance non-prosecution system.Including the establishment of a conditional non-prosecution system for enterprise compliance in legislation,so that there is room for applying enterprise compliance non-prosecution system in serious crime cases;Further define the applicable object and scope of the enterprise compliance non-prosecution system,and apply different procedures to different companies,so that the enterprise compliance non-prosecution system can play a better role;formulate standards for reviewing the effectiveness of compliance programs,and form multi-level and multi-domain compliance program effectiveness standards based on the size of the enterprise and the type of crime;improve the third-party regulatory evaluation mechanism,refine the regulations on the regulatory evaluation mechanism to ensure that third-party regulatory organizations remain independent and professional in the process of participation.