Research On Corporate Criminal Liability From The Perspective Of Compliance

Because the enterprise is an artificial personality,its behavior and will need to be expressed through its members.The theory that "enterprises can commit crimes" was not recognized by the international community at the beginning.With the development of economy,the operation structure of enterprises has become increasingly complex,and the social influence has become more and more important.The social harm caused by the criminal acts committed by enterprises has gradually been taken seriously.Countries have begun to recognize corporate crime,and China has also established the unit crime system in 1997.Under the strict criminal policy,unit crime cases continue to increase,and major corporate crime cases occur frequently,all of which indicate the shortcomings of corporate crime governance in China.In view of the problems existing in the criminal liability of enterprises in China,such as the neglect of the independent criminal subject status of enterprises,the confusion of the will of enterprises and members of enterprises,and the different punishment of enterprises and natural persons for the same crime,the rise of compliance provides the possibility to solve the above problems.From the perspective of compliance,this paper takes the issue of corporate criminal responsibility as the research object,analyzes the rationality of introducing compliance into corporate criminal responsibility,and puts forward suggestions to improve the norms of corporate criminal responsibility.The full text is divided into four parts,as follows:The first part describes the basic theory of enterprises compliance.First of all,Starting from the connotation of compliance,it is clear that compliance is not only a static standard compliance,but also an internal prevention and control mechanism established to prevent,identify,and respond to legal risks of enterprises.Currently,in order to overcome the lack of motivation for compliance,it has developed from administrative and civil compliance to the advanced stage of criminal compliance.Then it explores the development process of enterprises compliance at home and abroad,with a view to drawing on the experience of mature countries to promote China’s compliance process.The second part analyzes the existing problems of criminal liability fixation in enterprises.By analyzing the current situation of legislation and it is found that there are problems in the criminal liability of enterprises in China,such as ignoring the independent criminal subject status of enterprises,confusion of the will of enterprises and members of enterprises,and different penalties for the same crime of enterprises and natural persons.The third part is to demonstrate the rationality of introducing compliance into corporate criminal liability.The effective compliance of the enterprise in advance indicates that the enterprise has taken preventive measures and fulfilled its regulatory obligations,and that there is no subjective intention or fault for the occurrence of criminal acts,which can be the cause of the crime of the enterprise.The compliance of enterprises after the event reflects their sincere repentance attitude,and lenient punishment can activate the willingness of enterprises to prevent crime independently,and also make the execution of punishment more flexible.Finally,compliance can create a new model for countries and enterprises to jointly control crime.The last part is to put forward suggestions to improve the norms of corporate criminal responsibility from the perspective of compliance in view of existing problems.First of all,it is necessary to establish the division rules of corporate responsibility and natural person responsibility,choose different accountability paths according to the different criminal subjects with a dualistic approach,still use the traditional responsibility judgment path for the attribution of natural persons,and mainly judge the compliance construction situation for the attribution of corporate responsibility.Secondly,it is clear that compliance is the reason for reducing criminal liability,specifically stipulates that prior compliance is the reason for the defense of the crime,and subsequent compliance and insufficient prior compliance are the discretionary circumstances of sentencing.Finally,we should build a compliance-oriented penalty system,mainly including the addition of qualification penalty and the introduction of unit probation.