Research On The Compliance Of Enterprises Involved Criminal Cases From The Perspective Of Criminal Law

Most ofthe studies on the compliance ofenterprises involved criminal cases in China have focused on the field of procedural law,but the compliance of case-involved enterprises is fundamentally related to the issues of crime,criminal liability and penalties.From the perspective of criminal law,this paper provides an in-depth analysis of the compliance system of case-involved enterprises and tries to put forward relevant legislative improvement suggestions from two major sections: criminal theory and penal theory.The paper mainly includes the following four parts:The first part introduces the overview of the compliance system of case-involved enterprises,starting from the logical starting point ofthis paper,the concept and characteristics of the compliance of case-involved enterprises are elaborated,and a brief analysis of the compliance system of case-involved enterprises in foreign countries is made,introducing the compliance models of the United States,Italy,Britain and France respectively,analyzing their respective characteristics and listing their shortcomings.The second part introduces the compliance of case-involved enterprises under the perspective of crime theory,focusing on the three paths of ex ante compliance out of crime.Firstly,it starts from introducing the theory of attribution of unitary crime,focusing on the principle of organizational responsibility and the degree of fit with the compliance of the enterprises involved in the case.Secondly,we analyze the application of the principle of reliance,the possibility of expectation,and the inevitable error ofperception of illegality in the compliance system ofthe enterprise involved in the case,starting from the deterrence ofliability.Third,by analyzing the proviso clause of Article 13 of the Criminal Law,the third path of ex ante compliance out ofguilt is elaborated in conjunction with the substantive theory.The third part introduces the case-involved enterprise compliance under the view of criminal theory.Firstly,an in-depth discussion is made on the fit of case-involved enterprise compliance with the purpose of penalties in China.Then,the shortcomings of China’s singlepunishment model and the logical loopholes of the dual-punishment system are discussed in depth,and the opportunity is taken to advocate the independent responsible subject of the responsible person under the dual-punishment system.Finally,the analysis of China’s unit compliance probation and unit compliance recidivism system is conducted,and the disadvantages ofthe absence ofthe two systems are enumerated.The fourth part puts forward the corresponding legislative proposals on the introduction of the compliance system ofthe enterprises involved in the case.The fourth part puts forward the corresponding legislative proposals on the introduction ofthe compliance system.The criminal legislation should adhere to the principle ofleniency and severity,clarify the principle of "spare the unit and prosecute the natural person" and the principle of sentencing incentive for the compliance of the enterprises involved in the case,abandon the different modes of statutory penalties in the single-penalty system and double-penalty system for the unit crime,and introduce the unit compliance probation system and the unit compliance recidivism system,and fullyjustify the reasons for the above legislative proposals.The above legislative proposals are fullyjustified.