Research On The Construction Of China’s Criminal Compliance System

Criminal compliance is a criminal incentive for the state to use criminal compulsory means to deter and promote enterprises to actively establish compliance plans in normal production and operation or after committing crimes on the condition that criminal compulsory measures or the reduction or exemption of criminal liability are the conditions.As a crime governance method born in a risk society,criminal compliance is not only a "state-enterprise" dual co-governance crime model,its compliance content will be adjusted for different criminal risks,but also a criminal incentive measure to promote the production and operation of enterprises in accordance with laws and regulations.In general,the establishment of a criminal compliance system is conducive to preventing corporate crime risks and promoting enterprises to carry out production and operation in accordance with the law;Escort the high-quality development of enterprises and the economy,and finally promote the rule of law from the track of legalization.From the perspective of the necessity of system construction,the construction of criminal compliance is first of all the need to counter foreign "long-arm jurisdiction" and enhance the international competitiveness of Chinese enterprises;Secondly,China’s current criminal laws are insufficient to control corporate crimes,and it is urgent to introduce or improve the existing system design;Finally,through criminal compliance,it is a powerful means to build a business environment based on the rule of law and protect the survival and development of small and medium-sized enterprises.From the perspective of the feasibility of system construction,first,the state’s protection strategy for private enterprises provides policy support for criminal compliance;Second,the prior experience of administrative compliance provides a blueprint for criminal compliance;Third,the concept of criminal compliance has been demonstrated in China’s criminal law and judicial practice.In addition,the legitimacy of criminal compliance also needs to be explored from both substantive and procedural perspectives.Criminal compliance in China’s reform pilot is mainly divided into two stages:procuratorial recommendations and conditional non-prosecution model and the emergence of third-party mechanisms,and the compliance non-prosecution pilot is actively integrated with the leniency system of guilty pleas and punishments.While the reform has achieved certain results,it has also revealed a number of problems.For example,criminal compliance is confused with a lenient plea system;Compliance conditional non-prosecution is not supported by existing legal provisions;Situations such as poor connection and coordination between the pilot practices and the procedural provisions of criminal proceedings have affected the due role of criminal compliance.Referring to the extraterritorial experience of criminal compliance regimes,countries mainly carry out incentive measures from the level of substantive criminal law and procedural law.From the perspective of substantive law,criminal compliance can be used not only as a crime model for constituent elements,but also as a crime mode for defense causes,and can also become a sentencing circumstance for enterprises to mitigate criminal punishment.From the perspective of procedural law,criminal compliance can also be applied to the prosecution link,as the core rectification content of the non-prosecution or suspension of prosecution agreement between the procuratorate and the enterprise.To build a criminal compliance system,the overall thinking should follow three directions:first,it is necessary to distinguish between the criminal liability of the designated unit and the natural person in accordance with the law;Second,both criminal entity incentives and procedural incentives should be given equal attention;Finally,it is necessary to advance the construction phase of corporate compliance programs.The specific construction path can be considered in terms of substantive law and procedural law.From the perspective of substantive law,the principles for the identification and punishment of unit crimes should be improved,a diversified system of unit criminal punishment should be established,and the reasons for compliance and leniency should be added.From the perspective of procedural law,the stage of compliance incentives in criminal proceedings should be expanded,the third-party supervision and evaluation mechanism should be improved,and a conditional non-prosecution system should be added for units.