Research On The Hearing System Of Enterprise Compliance

In order to serve the high-quality development,the Supreme People’s Procuratorate has launched a pilot of enterprise compliance non-prosecution reformation.For suspected criminal enterprises,the procuratortate makes relative non-prosecution decision and put forward procuratorial recommendations for compliance rectification;or conduct compliance inspection,then determine whether to file a public prosecution according to enterprise compliance construction.In the application of enterprise compliance non-prosecution system,procuratorial organ utilize public hearings to examine two ports of enterprise compliance,which include access criteria and acceptance check,so as to make sure the non-prosecution systems fair appplication.Based on this,through empirical study of present situation of hearing system and typical cases in enterprise compliance,this research analyzes the problems and consummation of enterprise compliance hearing system from institutional and implementation level,which can assist development of enterprise compliance reformation.This article is divided into four parts:The first part is an overview of the enterprise compliance hearing system.Interpret the concept of enterprise compliance from three levels and four dimensions,clarify the concept and basic content of the enterprise compliance hearing system.This system possesses multiple meanings for compliance: accurately master the applicable conditions of enterprie compliance;scientifically evaluate the operation of compliance construction;reasonably restrict procuratorial organs’ compliance discretion;protect publics rights to information and public interest.The second part is an investigation on the current sitution of enterprise compliance hearing system.By integrating the data of hearing cases on Procuratorial Hearing Network of China,this article summarizes the current situation of the application of hearing in enterprise compliance pilots in China.By analyzing typical cases of enterprise campliance issued by the Supreme Procuratorate,this article induces two modes in practice of China,namely“procuratorial hearing+third-party mechanism+non-prosecution” mode and “procuratorial hearing+non-prosecution+procuratorial suggestions+return visit” mode.The third part is an analysis of problems existing in the enterprise compliance hearing system.Through analyzing the existing regulations and typical cases,it is concluded that there are several problems at the normative level of the system,such as limited scope of hearing personnel,formalization tendency of hearing procedures,lack of evaluation criteria for compliance effectiveness and imperfect supporting mechanisms.There are also some problems in the implementation of the system,including the low proportion of application,the difficulty in substantive participation of hearing personnel and the conflict between hearing disclosure and bussiness information protection.The fourth part is the consummation path of enterprise compliance hearing system.Aiming at the problems in practice,this article puts forward a few suggestions for improvement:clarify three fundamental principles of full expression,case-by-case system and economic protection;establish a "double hearing" mechanism for enterprise compliance nonprosecution,carry out the hearing of compliance investigation start-up and acceptance assessment;fulfill the present regulations,including reform the selection system of hearing personnel,found a guarantee mechanism for expert participation,promote the litigation operation of hearing procedure;clarify evaluation criteria of enterprise compliance effectiveness;deepen the integration of compliance hearing and third-party mechanism;improve the information disclosure mechanism of compliance hearing system.