Research On The Localization Path Of Criminal Compliance System Construction

Under the background of China’s sustained economic and social development and more and more enterprises going abroad,in order to better activate the vitality of the socialist market economy,optimize the business environment and prevent enterprises from breaking the law and crime,the criminal compliance system has become one of the focuses of discussion in the academic and practical circles in recent years.With the promotion of the Supreme People’s Procuratorate,procuratorial organs in many places have also accumulated certain pilot experience,but also inevitably exposed some problems.This paper will make a systematic study on the localization of the criminal compliance system,in order to provide a useful reference for the construction of the criminal compliance system with Chinese characteristics.In addition to the introduction,conclusion and references,the research content of this paper is divided into four chapters.The first chapter will sort out the development status of China’s criminal compliance system.Firstly,there are disputes on the connotation and scope of application of criminal compliance in China’s current academic and practical circles.After summarizing the key points that should be included in criminal compliance,combined with the reality of our country,we can determine the localization connotation and scope of application of criminal compliance.Secondly,it collects and analyzes the development of the existing criminal compliance system pilot work in China,summarizes the progress and development trend,and expounds its existing contradictions and deficiencies,so as to pave the way for the later discussion on how to build the localization of the criminal compliance system.The second chapter explains the value basis of the localization of criminal compliance,and clarifies the practical significance of the criminal compliance system to our country from three aspects: criminal law governance,national control and enterprise management.First of all,from the perspective of criminal law,it emphasizes that the ultimate purpose of criminal law is different from that of criminal law;Secondly,for the state control,the criminal compliance system integrates the state’s external control means with the enterprise’s own internal control means to realize complementary advantages and further optimize China’s state-owned business environment through comprehensive management;Finally,the criminal compliance system can enhance the effectiveness and enthusiasm of enterprise risk prevention and control,and promote the healthy development of enterprises.The third chapter discusses the theoretical adjustment of the localization of criminal compliance system.At the entity level,it combs and clarifies the theoretical logic of unit criminal responsibility in China.By analyzing the legislative purpose of unit crime,taking the risk society and modern enterprises as the background,the disputes and problems existing in the judicial practice of unit criminal responsibility in China,and after summarizing and evaluating the development of unit criminal responsibility outside the territory,this paper puts forward that the theory of unit criminal responsibility in China should be improved and amended,and the "unitary" model should be changed to the "dual" model,Take the enterprise criminal compliance as an important reference basis,and improve the criminal liability of unit crime with a more reasonable mechanism.At the same time,prove the legitimacy of the criminal compliance system to reduce the unit penalty.At the procedural level,we should think about the mode in which the enterprise compliance non prosecution system should be constructed.Combined with China’s leniency system of guilty plea and punishment and conditional non prosecution system,this paper puts forward the rationality of taking conditional non prosecution system as the basis of constructing enterprise compliance non prosecution system compared with relative non prosecution system.The fourth chapter designs the localization of criminal compliance system on the basis of the previous chapter.Under the general requirements of implementing the criminal policy of tempering justice with mercy and establishing the concept of differentiated application,the criminal compliance system is divided into two aspects:pre criminal compliance system and post criminal compliance system.In the localization construction of the ex ante criminal compliance system,combined with foreign experience and China’s reality,clarify the due basic contents and consideration elements of the internal effective compliance plan,and take the ex ante compliance plan as the reason to prevent the establishment of a crime or lenient punishment.In addition,the establishment and improvement of the compliance officer system is an important link for the implementation of the ex ante compliance plan.Starting from the appointment and removal mechanism,main responsibilities,rights and obligations,accountability,performance guarantee and other contents,it conducts interdisciplinary research on the whistleblower system and retaliatory dismissal in the labor law,and clearly regulates their performance of duties.In the localization construction of the afterwards criminal compliance system,based on the conditional non prosecution system,it stipulates the applicable conditions and procedures of the enterprise compliance non prosecution system,carries out the "typed" criminal compliance construction of the enterprise,and takes the afterwards compliance rectification of the enterprise as the reason for its reduction or exemption of punishment or non prosecution,It should be clear that the criminal compliance system is aimed at enterprises,not entrepreneurs.The two systems are different,and the "double non prosecution" can be implemented according to the specific situation.In addition,as a supporting measure for non prosecution of enterprise compliance,the third-party supervision and evaluation mechanism should be refined and improved in the establishment of directory database,the selection method of third-party organizations,the payment of criminal compliance investigation expenses and supervision measures.Finally,in the process of the localization of the criminal compliance system,in addition to the compliance standards,attention should be paid to the handling of the connection of execution in the stage of enterprise crime filing and investigation,the stage of enterprise compliance non prosecution and the decision of enterprise compliance non prosecution,so as to realize the systematic arrangement.