The Research On Criminal Incentive Of Enterprise Compliance

The corporate compliance reform initiated in 2020 has become a significant and far-reaching judicial reform topic.However,the current compliance reform mainly focuses on procedural incentives,with less attention paid to the level of physical incentives.In addition,the compliance criminal incentive mechanism has not yet been truly established in law,and its scope of application is also controversial,greatly constraining and hindering reform and development.Foreign countries often engage in two dimensions of pre compliance and post compliance,with positive and negative incentives as the content to establish compliance incentive rules,thereby giving enterprises pressure and motivation to carry out compliance management.Drawing inspiration from relevant ideas,the compliance criminal incentive mechanism of the Chinese model should be positioned as a comprehensive system that includes both physical and procedural incentives,with both positive and negative incentives to urge enterprises to carry out self-management and crime prevention.We should also strengthen the combination of compliance and leniency systems for confession and punishment,integrate the incentive elements of the two,and build a compliant criminal incentive mechanism that runs through the entire litigation process to achieve the maximum incentive effect.The construction path of China’s compliant criminal incentive mechanism is as follows: Firstly,Clarify the scope of compliance incentives.Overall,the target of compliance criminal incentives is enterprises rather than individuals;Compliance incentives should be applied to a wider range of groups,including large,medium,and small enterprises;The application of compliance incentives should not be limited by the severity of the crime and punishment.However,it is not necessary to apply criminal compliance to every enterprise involved in the crime in individual cases,but rather to distinguish between pre compliance and post compliance,and determine the screening conditions for the applicable objects of compliance incentives.Secondly,From the perspectives of criminal substantive law and procedural law,collaborate to explore institutional resources for compliant incentives,and coordinate the construction of a compliant criminal incentive system.At the level of substantive law,establish incentive rules for compliance based on effective compliance as a positive defense;Increase the amount of fines,enrich the content of penalties,and form a diverse incentive mechanism for compliant penalties;Make compliance construction a legal sentencing circumstance-heavier or reduced circumstances,to deter and encourage enterprises to carry out compliance management through punishment.At the level of procedural law,compliance is considered as a factor in determining the application of mandatory measures,and the effectiveness of compliance incentives is released through mild enforcement measures;Strengthen the binding force of procuratorial recommendations by activating administrative penalty mechanisms,and establishing a regular reporting system for enterprises;Establish a compliance inspection non prosecution system,clarify the inspection period,expand the scope of criminal punishment application,and further demonstrate its incentive effectiveness.