Research On The Enabling Mechanism Of Third Party Supervisors For Enterprise Compliance

Under the policy guidance of safeguarding the development of private economy and creating a legal business environment,China has introduced a non prosecution system for enterprise compliance.At present,China is conducting pilot work on compliance non prosecution,and the third-party supervisor system is in full swing.Since the Supreme People’s Procuratorate issued the Guiding Opinions on Establishing a Third Party Supervision and Evaluation Mechanism for Compliance of Enterprises Involved in Cases(Trial)(hereinafter referred to as the "Guiding Opinions")on June 3,2021,the system of third-party supervisors for enterprise compliance has gradually become localized.The procuratorial organs in multiple regions and departments jointly establish a third-party mechanism management committee,establish a database of third-party professional personnel,and carry out pilot work on third-party supervision.There are some issues in this process.This article focuses on the research topic of Enabling Mechanism for Third Party Supervisors of Enterprise Compliance,hoping to improve this system.This article adopts research methods such as normative analysis,literature review,and comparative analysis,focusing on the limitations of the use of third-party mechanisms and the compensation of supervisors,in order to improve the implementation mechanism of China’s enterprise compliance third-party supervisor system.Firstly,the research background and significance,domestic and international research status,and research methods of this article were introduced.Secondly,elaborate on the theoretical basis of the corporate compliance non prosecution system,and sort out the basic legal principles that should be followed to improve the third-party mechanism.Once again,compare the pilot situation of third-party mechanisms in China with the application situation of third-party mechanisms in the United States,analyze their respective characteristics,and summarize the differences between the two.Finally,based on the above analysis,suggestions are proposed for the applicable limits of third-party mechanisms in China and the way in which third-party supervisors’ compensation should be borne.This article is based on the theory of organizational responsibility and the principle of statutory prosecution,closely following the provisions of the unit crime system and non prosecution system in the Criminal Entity Law and Criminal Procedure Law,and combining practical situations,the author envisions a "layered"third-party mechanism activation mode.Specifically,for enterprises within the current pilot scope that engage in minor offenses(natural persons may be sentenced to less than 3 years in prison)and draw on the relatively non prosecution procedure to conduct compliance inspections,the regulatory fees shall be borne by the public finance.If a company that applies the special non prosecution procedure for serious crimes(natural persons may be sentenced to 3-10 years in prison)uses a supervisor for compliance inspection,the supervision fees shall be borne by the company involved.For simple criminal cases involving small and micro enterprises,the procuratorial organs shall dispatch professional prosecutors through the procuratorial suggestion mode to carry out compliance supervision.