Research On The Third-party Supervision Mechanism Of Criminal Complianc

Under the leadership of the Supreme People’s Procuratorate,criminal compliance has been pushed forward.As the most important link in criminal compliance work,the compliance supervision and investigation of the enterprises involved have achieved initial results after two rounds of pilot work.At present,our country explores a total of three kinds of regulatory modes of non-prosecution: the procuratorial organ mode,the administrative organ mode and the third party regulation person mode.And the third party regulation mode can be further subdivided into the independent regulation person’s mode(pure American model)and our country’s localization of the third party supervision mechanism.By analyzing the operation characteristics and applicable logic of the third-party supervision mechanism,starting with the pilot cases and various references made by procuratorial organs,this paper sorts out and analyzes the current situation and applicable predicament of the operation of the third-party supervision mechanism in our country.It mainly includes: unclear implementation mechanism,the management of local compliance supervision personnel list database needs to be refined,uneven acceptance standards,disputes over supervision costs,lack of long-term supervision after non-prosecution and poor connection between punishment and execution,etc.For the above problems,the author put forward the corresponding improvement suggestions according to the usual idea of handling cases.First,in the early stage of lack of experience,the third-party supervision mechanism can be used for all cases that apply criminal compliance,and for cases that can apply simple compliance inspection procedures,the result-oriented "truncated version" of compliance inspection can be used to reduce the "extracurricular tutoring" in the early stage.In the later stage,when the criminal compliance experience is more mature,detailed standards for use should be formulated through scientific research and judgment,so that the investigators can have a clear target;2.The selection and appointment conditions of the directory of compliance supervision personnel should refer to the relatively perfect parts of local practices,so as to achieve the essence of merit-based,open and transparent,hierarchical management,and make the management refined and transparent;3.Regarding the uneven acceptance standards,the acceptance standards combining specific rules and principles can be established by referring to the United States,which has a relatively mature criminal compliance system.4.The standard of supervision expenses can refer to the Provisions of the Supreme People’s Court on Determining the Remuneration of the Administrator for the Trial of Enterprise Bankruptcy Cases.The burden of the expenses can be jointly borne by the enterprises involved and the state finance in accordance with a certain proportion at the initial stage of the establishment of the criminal compliance system,and in the later stage when the criminal compliance system is relatively mature,the cost of supervision and regulation of the enterprises involved can be settled by commercial insurance.V.After non-prosecution in compliance with the law,it is not only necessary to establish a long-term supervision mechanism,but also to speed up the improvement of the connection system of punishment and execution,and establish a collaborative integration mechanism of punishment and execution.