Research On The Application Of Non-Prosecution In Corporate Compliance

At present,our research on the application of Deferred Prosecution and Non-Prosecution Agreement in the United States has entered the experimental stage from the theoretical stage to the practical stage.In March 2020,the Supreme People’s Procuratorate carried out the first phase of pilot work on the application of the compliance non-prosecution system to enterprises suspected of criminal crimes in China,based on the suspension of prosecution and non-prosecution system in the United States in six grass-roots procuratorates in four regions of Shanghai,Jiangsu,Shandong and Guangdong.By 2021,the pilot units were expanded to10 provinces(cities),27 municipal procuratorates and 165 grass-roots procuratorates,and until April 2022,The pilot work of enterprise compliance reform has been carried out in all regions of China.Now with the theoretical research as the background,the development of compliance pilot will face a series of problems,such as: Based on the Deferred Prosecution Agreement and Non-Prosecution Agreementin the United States,Non-Prosecution Complianceand the existing system of our country will produce what contradictions and how to solve,in addition,what conditions should be met for the authority to make the decision of Non-Prosecution Compliance,how to divide the categories and how to division of labor and cooperation among various agencies,of course,this thesis will study in addition to such problems,This thesis mainly analyzes the system from the theoretical level to the practical application and the cooperation among the agencies that make the decision not to prosecute.This thesisis is manily divided into five parts.The first chapter is the introduction,which introduces the background and significance of the application research subject of compliance in enterprises,as well as the theoretical research carried out by domestic and foreign scholars on this subject.It provides an overview of research methods and innovations to complement this article.Chapter two Outlines the Non-Prosecution in Corporate Compliance agreement,analyzes the characteristics and theoretical basis of the Deferred Prosecution Agreement and Non-Prosecution Agreement of various countries.Based on this,it expounds the necessity of introducing Non-Prosecution Agreement,existing theoretical basis and governance value at the judicial level.Chapter three Analyzes the present situation of Non-Prosecution in Corporate Compliance,based on the analysis of applicable mode of Deferred Prosecution Agreement or Non-Prosecution in overseas,and complex problems of Non-Prosecution Agreement selection and applicable system in pilot in our country,and analyzes its advantages and disadvantages.In addition,the cohesion and coherence between compliance Non-Prosecution,conditional Non-Prosecution,relative Non-Prosecution and guilty plea system is discussed.The fourth chapter takes the pilot case as the entry point,interprets the whole process of the application of the Non-Prosecution in Corporate Compliance involved in the case,including the starting procedure,effective evaluation,and the process of prosecution or non-prosecution,and analyzes the difficult problems faced by the application process,such as system selection,procedure start-up and personnel composition.Based on the difficult problems reflected in the fourth chapter,the fifth chapter puts forward constructive suggestions on the improvement of the agreement from the aspects of the provisions of the Non-Prosecution in Corporate Compliance,the limitation of the procurator’s discretionary power,and the improvement of the third-party supervision system.