Study On Non-prosecution System Of Enterprise Compliance

In the context of the impact of the epidemic on Chinese enterprises,the non-prosecution compliance system is an important measure to optimize the business environment in China,implement the criminal policy of tempering leniency with severity,cope with the risk society,and encourage enterprises to "go global".However,the non-prosecution system of enterprise compliance faces many challenges in theory: the conflict between the system and the principle of statutory punishment and the principle of adapting crime to crime,the difficulty to determine the will of unit crime,and the ambiguity of the qualitative nature of the system.This paper tries to weaken the conflict between the system and the two principles of criminal law with the principle of substantive punishment and the principle of organizational responsibility.It determines the will of unit crime from the scope of authority of the responsible person and the tendency and feasibility of the provisions of the company’s articles of association,and clarifies the orientation of the system with the condition that both procedural and substantive crime are satisfied.It can be applied as the condition of conditional non-prosecution and the grounds of defense in post-civilization.In the pilot practice of enterprise compliance,the system is often applied to economic cases and misdemeanor cases,and also exposed the problems such as the invisibility of the court under the guidance of the procuratorate,the lack of supervision of the procuratorate,the inadequacy of the upper level law which leads to the difficulty in achieving the effect of compliance,the superficial compliance of the enterprise and the unitary incentive mode of compliance.Problems in practice mainly come from lack of unified and clear,effective enterprise compliance standard,and the lack of diversified and flexible compliance mode in our country,so our country should construct local enterprise compliance system with the unification and flexibility simultaneously.At the same time,there is no enterprise compliance non-prosecution system in China at the beginning.The proposal of this system comes from the ZTE case,in which ZTE was sanctioned by the United States for violating the Export Restriction Regulations of the United States by exporting telecommunication hardware and software to Iraq,and paid a fine of 1.192 billion yuan,and was listed in the special examination list of the United States.It has legal transplanted genes at the beginning of the system,learning from outside the experience and reflecting on its lessons are also conducive to our country to build a perfect and mature enterprise compliance non-prosecution system.Britain decides whether non-prosecution with the charge types,America introduces the independent regulation system in the compliance,Japan’s applicable principle of criminal purpose and the good operation of French compulsory regulation system in our country all provide good reference for perfection of enterprise non-prosecution system in our country.Meanwhile,the stealth of American court in the system led to the expansion of procuratorate power,Japan’s failure to establish compliance inspection period and conditions that should be followed during compliance so that the purpose of compliance is difficult to achieve also provides a lesson for our country.Therefore,in the construction of enterprise compliance system in our country,we should determine the scope of applicable non-prosecution based on the criminal nature so as to achieve the purpose of incentive compliance,take responsibility as well as small and micro enterprises into consideration of non-prosecution,so as to ensure fairness and the logical unification of criminal law.Comprehensive compliance and partial compliance should be applied at the same time to meet the demands of many types of enterprises.With conditional non-prosecution as the main starting mode to ensure the implementation of compliance follow-up supervision,enterprise compliance as a condition for the application of crime,adopt mixed supervision mode,procuratorate supervision is the main,administrative organs and third party agencies to assist,record in the court and form review to limit the power of the procuratorate,clarify the appeal process of non-prosecution parties.And the status of the victim in the case to ensure that the parties in the case have access to relief.