Research On Unit Crime From The Perspective Of Corporate Complianc

Generally speaking,the compliance plan is a systematic measure taken by the enterprise itself to optimize its own management while obeying the law.Since the United States imposed sanctions on ZTE in 2018,as well as the various barriers faced by Chinese enterprises in the process of going abroad,the role of compliance programs in criminal justice has attracted extensive attention from the academic community.At present,in the field of criminal litigation,enterprise compliance has made a positive exploration in crime finding and sentencing.In the field of criminal substantive law,how to make enterprise compliance as an objective judgment standard for the overall will of the unit,update the identification path of the unit crime,and on this basis,make the unit that has implemented effective risk management or formulated and implemented the compliance plan to be able to "guilty" criminal incentive,In addition,strict criminal punishment will be imposed on the units committing crimes because they have not established a complete corporate compliance plan,so as to provide a negative criminal incentive for enterprises to accelerate the establishment of a complete corporate compliance plan.Firstly,in the first part,some concepts related to the paper are clarified,and the concept of corporate compliance is defined first,and the difference between precompliance and post-compliance is analyzed from the relationship between corporate compliance and criminal compliance.This paper focuses on giving full play to the preprevention function of penalty.Leads to below for unit crime system and adopts the system of corporate compliance now doesn’t fit the introduction,in view of the three major problems,namely,the unit crime,imputation principle system of lack of compliance as a unit of crime reason,the penalty system is not sound,and in the next few chapters,respectively,for the questions in each chapter analyzed and countermeasures are put forward.From the second part,the paper discusses the above three problems respectively.Firstly,the principle of accountability for unit crime is studied under the background of compliance.First sums up the relevant unit crime imputation related basic theory research at home and abroad,and on this basis,the unit crime in China,put forward the existing problems of imputation principle of unit crime,there are fuzzy,the main responsibility imputation of current law natural person will replace the unit will not reasonable,the compliance program and the current compliance plan for imputation decay into three aspects,the influence of Reviewed,and on this basis the imputation principle of unit crime in our country related theory redesign,respectively from the Angle of unit intentional crime and criminal negligence,emphasized the overall judgment of the unit will need,from the perspective of the compliance program,which will be the will of the unit and natural person separation,the independent will of the enterprise,the introduction of the compliance plan for unit in the overall judgment of will,It is necessary to separate the subjective intention and fault of the unit.In the intentional crime of the unit,the overall will of the unit is mainly reflected in the unit without compliance plan.The collective decision of the unit or the intentional criminal intention of the main leading members is increased to the overall will of the unit,while in the enterprise with compliance plan,Unit overall crime intentionally is to corporate compliance program or unit as a whole is not good for baby the meaning of this crime occurs,a unit of the whole crime intentionally,but in the criminal negligence,owes a duty of supervision and management of the unit,if the enterprise did not complete corporate compliance plan,there is no good to perform the obligation of supervision and management.The third part aims at the cause of crime of unit crime in the context of corporate compliance,and draws on the institutional design of corporate compliance as the cause of crime abroad.Among them,the United States,The United Kingdom and Italy have a more comprehensive design of corporate compliance system as the cause of crime,which is also introduced in detail in this paper.For corporate compliance from sin the necessity of the system set up and the applicable scope,of the criminal law about corporate compliance crimes related to the system design,will be conducive to encourage enterprises through the establishment and implementation of effective compliance plans,give full play to the criminal law on crime prevention function,clarifying the two modes of the unit crime the unit on the basis of intentional crime and criminal negligence,To refine the applicable scope of the compliance from sin,this paper argues that the compliance program from sin,intentional crime in the unit and the unit criminal negligence are applicable in the space,the mode of practical application in the third quarter,the unit system in the building of the crime reason is clear,and it puts forward the model of subjective fault exemption unit and the legal and administrative obligations pattern,The specific application path of compliance plan is put forward respectively for intentional crime,negligence crime and dereliction of duty crime.Chapter four discusses the unit penalty mechanism under the background of corporate compliance,gives criminal punishment measures to the units that have committed unit crimes,and requires them to speed up the construction of effective corporate compliance plans from the perspective of corporate compliance.The first section firstly proposes the existing shortcomings of the punishment mechanism of unit crime in China,mainly including single fine penalty,unreasonable mixed system and lack of targeted punishment measures,which are inconsistent with the background of the introduction of compliance plan in China.The second section analyzes the relatively lenient punishment measures in the U.S.Foreign Corrupt Practices Act(FCPA)and the Federal Sentencing Guidelines,which can be used as a reference for the punishment mechanism of related corporate crimes in China.Third section is the research of unit crime punishment mechanism to build the diversification,from the perspective of corporate compliance,questions such as reference to the United States is relatively high fines imposed on unit crime,to punish the unit crime,and to improve the system of corporate compliance related afterwards design units to different levels of fine relief,at the same time,put forward to cancel the unit crime punishment,In order to strengthen the supervision and management of the unit crime in the criminal negligence liability,finally put forward the unit did not establish a complete corporate compliance program,ask its targeted construction and implementation of effective compliance plans,and puts forward relevant qualification punishment punishment punishment measures,these measures for the establishment of the enterprise internal compliance system from negative level to the stimulus.