Research On Conditional Non-prosecution Of Corporate Compliance Involved In Criminal Cases

The corporate criminal compliance system has been proposed in theory and enforced in practice for many years,of which the theoretical research is continuously deepened.In practice,the Supreme People’s Procuratorate attaches great importance to it.Since March 2020,449 procuratorial organs have launched a pilot reform of the corporate compliance system.By the end of May 2022,a total of 1,222 corporate compliance cases have been conducted across the country,and a decision not to prosecute has been made with 333 companies and 1,106 people who have rectified and finished compliance.As an incentive model for procedural criminal compliance,from theory to practice,a number of companies involved in criminal cases have been able to operate normally after compliance rectification.In the environment of the current epidemic,it has played an active role in maintaining social stability and protecting public interests.The procuratorial organs take the lead in promoting and embedding the corporate criminal compliance system in the country,which is not only in line with the positioning of procuratorial power in the new era,but also maintains the responsibility and mission of implementing the concept of active judicial procuratorial and safeguarding social and public interests.In the localization of criminal compliance,both the procuratorial suggestion mode and the conditional non-prosecution mode are adopted to carry out compliance non-prosecution,which explores institutional innovation for the problems existing in the transplantation process.In practice,corporate compliance non-prosecution is still limited to the five categories of non-prosecution in the country,and relative non-prosecution is used as the legal basis.In terms of scope of application and discretionary logic,it follows the discretionary elements of ‘minority of circumstances’,and does not extend to companies involved in the case with serious circumstance.Compared with corporate compliance at the procedural level,the sinicization of corporate compliance at the entity level faces more problems,involving fundamental changes to the theory of unit crime responsibility,and reforming of unit crime punishment in the country’s criminal law system.It even involves the frontier issues of“execution of punishment”.Although the mainstream view affirms that criminal compliance is the reform direction of corporate crime governance in the future,due to the unrevised legislation and the insufficient preparations both in practice and theory,there are still doubts about whether the progress of the criminal compliance system can be implemented smoothly in practice.At present,non-prosecution for compliance is placed in relative non-prosecution,and the applicable procedures are refined by matching the compliance plan with the circumstances of the crime to ensure the steady progress of the criminal compliance reform.In view of this,this paper mainly analyzes the practice samples of non-prosecution application in the pilot work of corporate compliance reform of city C procuratorial organs,intends to investigate and review the judicial practice of corporate criminal compliance,and proposes a conditional non-prosecution model to build a system of relative non-prosecution for corporate crimes,for the purpose of providing a useful reference for the research on relative non-prosecution of corporate crimes.In addition to the introduction and conclusion,this paper is divided into four main aspects.Firstly,it mainly clarifies the relationship between corporate compliance and corporate criminal compliance,and expounds the leading role of the procuratorial function in the local construction of corporate criminal compliance.Second,it expounds the current situation of the procuratorial organs in various regions to carry out the pilot reform of compliance and non-prosecution,and focuses on analyzing the specific practices of the procuratorial organs in city C to conduct corporate crimes compliance and non-prosecution.Third,based on some problems found in the pilot process,it proposes some institutional obstacles and practical difficulties in the non-prosecution of corporate crime compliance.Fourth,in view of the difficulties in non-prosecution of compliance in practice,a clear point of view is put forward,that is,the establishment of a relatively non-prosecution system for corporate crimes with corporate compliance as the basic element.