Research On Compliance Non-prosecution System Of Enterprises Involved

Enterprises are an important subject of today ’s Chinese society.Actively and widely participating in various economic activities is the source of prosperity of the social economy.However,while participating in market competition,enterprises are also facing various legal risks.Among them,criminal legal risk has become the biggest risk faced by enterprises,especially private enterprises,in the development process.How to ensure the healthy and sustainable development of private enterprises has become a realistic problem.In this context,led by the Supreme People ’s Procuratorate,the exploration of the reform of non-prosecution of compliance of enterprises involved began.The purpose of this reform is to encourage enterprises to adopt compliance rectification,strengthen the construction of internal supervision system,eliminate management loopholes,and urge enterprises to operate in accordance with the law by giving preferential treatment to enterprises not to prosecute,so as to transform corporate crime governance from traditional ex post accountability to ex ante prevention.From the perspective of the reform pilot,it has certain positive significance for ensuring the sustainable development of private enterprises,especially small and medium-sized private enterprises.However,due to the pilot stage,the procuratorial organs in various regions have explored the compliance work of enterprises respectively,which makes the standards of carrying out various work not uniform,and then causes many problems.In order to better help the construction of China ’s enterprise compliance system,further enhance the risk prevention awareness of enterprises,and regulate the criminal legal risks that enterprises may encounter in market competition.At the same time,it also provides suggestions for the practice of non-prosecution reform of enterprises involved in the case that is now in full swing in China,so as to better promote the construction of the non-prosecution system of enterprises involved in the case.This paper focuses on the dual problems of theory and practice faced by the procuratorial organs in the reform of enterprise compliance non-prosecution,and then puts forward the idea of problem solving and clarifies the corresponding applicable standards.First of all,by clarifying the connotation of the non-prosecution system for compliance of enterprises involved,the development process outside the region and the value of its own existence,in order to achieve a holistic understanding of the system.Secondly,through the three theories of public interest consideration theory,effective crime prevention theory and legal interest restoration theory,the rationality and legitimacy of establishing the non-prosecution system of the involved enterprises are effectively demonstrated.Thirdly,from the typical cases issued by the Supreme People ’s Procuratorate and the procuratorial organs in various regions,two models are extracted,and the specific practices of the pilot procuratorial organs under the model and their advantages and limitations are analyzed one by one,and it is found that there are commendable experience practices and unreasonable operations that need to be improved urgently.Then,by combing the relevant pilot cases,the main problems in the pilot practice of non-prosecution reform were summarized.For example,whether the application of the system should adopt the mode of procuratorial suggestion or the mode of conditional non-prosecution,whether the entrepreneurs ’ criminal cases,major criminal cases and large enterprises can be included in the applicable objects,and how to regulate the applicable conditions of the compliance non-prosecution system in the face of different choices of compliance investigation objects in the pilot practice,how to choose a more practical supervision mode and how to achieve a smoother connection between executions in the compliance non-prosecution system of the enterprises involved.Finally,the construction direction of the compliance non-prosecution system of the involved enterprises is clarified.For example,the non-prosecution system for compliance of enterprises involved should construct a conditional non-prosecution model for enterprises involved;the applicable objects should be limited to enterprises rather than individuals,and should not be based on minor criminal cases sentenced to fixed-term imprisonment of less than 3 years.Serious crime cases should also be included,as well as small and medium-sized enterprises and large enterprises.The applicable conditions should not be too broad,and the public interest conditions,positive cooperation conditions,corresponding remedy conditions,and evidence standard conditions should be taken as strict consideration benchmarks,and then the qualified enterprises should be selected to enter the compliance inspection procedure;supervision in compliance inspection should be based on third-party supervisors;it is necessary to further optimize the execution connection mechanism,make full use of the relevant provisions of the law on mutual coordination and cooperation between departments,and set up special procedural channels to smooth the communication channels between procuratorial organs and administrative organs and public security organs,so as to better carry out enterprise compliance work.