Research On The Compliance System Of The Enterprises Involved In The Case

At present,the pilot work of compliance rectification for enterprises involved in the case is continuously advancing.As a new type of criminal governance model,corporate criminal compliance is an opportunity for enterprises involved in the case to continue to survive through rectification,and also a new defense approach and business expansion for criminal defense lawyers.Although the Supreme People’s Procuratorate has issued pilot cases and guidance opinions since the reform pilot,most of them are principled guidance plans,and there are no clear provisions on the construction and inspection standards of compliance rectification for the involved enterprises.This has brought difficulties to the practice of compliance rectification for the involved enterprises,and also allowed the compliance rectification of the involved enterprises to become a mere formality.In order to ensure that the compliance rectification of the involved enterprises can be truly implemented,from the perspective of lawyers,this paper summarizes the problems existing in the four aspects of business practice:the function and value of the compliance system of the involved enterprises,the applicable objects of compliance,the participants of compliance,and the long-term effectiveness of compliance rectification.It attempts to propose improvement paths to address practical difficulties.Firstly,it is clarified that the function of compliance rectification of the involved enterprise is to save the enterprise and prevent crime.The lenient treatment of the responsible person in the case should be based on the premise of a reasonable correlation between their behavior and the compliance rectification of the involved enterprise.Secondly,it is necessary to clarify the conditions for applying for compliance rectification.In principle,all enterprises of all sizes can initiate compliance rectification procedures upon application.However,for enterprises with low compliance value,high social negative impact,and high likelihood of recurrence,compliance rectification is not suitable.Once again,compliance managers who assist enterprises in rectification should supervise and manage to ensure the effectiveness of the compliance rectification of the involved enterprises.By establishing a compliance manager system and a compliance manager database,enterprises can choose more suitable compliance managers,while clarifying the rights,obligations,and responsibilities of compliance managers and supervising their performance,thereby promoting the effective operation of compliance rectification in the enterprises involved.Finally,the long-term effectiveness of the compliance rectification of the involved enterprise requires the enterprise to formulate targeted compliance policies,build organizational and operational systems during the rectification process.At the same time,it is also necessary to refer to the provisions of the probation period system,establish a compliance inspection period system,and conduct subsequent inspections of enterprises that have passed the acceptance inspection.