Research On The Non-prosecution System Of Corporate Compliance

As the pilot reform of the enterprise compliance non-prosecution system is carried out nationwide,the discussion and research on its scope of application,regulatory inspection and acceptance evaluation in theory and practice are also more and more in-depth.Based on the corporate compliance non-prosecution system,this paper studies the main controversial issues in the pilot reform of the corporate compliance non-prosecution system.The full text consists of six parts: introduction,theoretical description of the enterprise compliance non-prosecution system,evaluation and analysis of the current situation of the enterprise compliance non-prosecution system in China,comparative investigation of the enterprise compliance non-prosecution system in foreign countries,operation of the enterprise compliance non-prosecution system,and construction of the enterprise compliance non-prosecution system.In the introduction part,the research background and significance of this paper are briefly described,the research status at home and abroad are sorted out,and the research methods of this paper are introduced.The introduction briefly describes the research background and significance of this paper,combs the research status at home and abroad,and introduces the research methods of this paper.Chapter 1 is the theoretical elaboration of the enterprise compliance non-prosecution system.Enterprise compliance is a kind of self-management behavior carried out by enterprises in order to deal with administrative or criminal risks in the process of production and operation.However,with the development of economy,the increase of unit crime and the high cost of establishing compliance,it is necessary to promote enterprises to establish compliance management system through external incentive mechanism,among which compliance non-prosecution is one of the most important incentives,which not only protects the sustainable development of private economy and public interests.It is also a way for procuratorial organs to participate in social governance.Chapter 2 is an analysis of the current situation of China’s enterprise compliance non-prosecution system.After about three years of pilot reform,the enterprise compliance non-prosecution system has achieved some successful experience,issued some normative documents,and issued four batches of typical cases,which mainly formed two types of compliance non-prosecution models-procuratorial recommendations and conditional non-prosecution,but because the enterprise compliance non-prosecution system has not yet been established in the official national laws,Therefore,it is still controversial which model is more suitable for China’s national conditions in the future.Chapter 3 is a comparative study of the compliance non-prosecution system of foreign enterprises.The corporate compliance non-prosecution system,as an "imported product",has been relatively mature in foreign countries.Through the investigation of the compliance non-prosecution system in foreign countries in terms of mode selection,scope and object of application,evaluation criteria and punishment,it can be found that its scope of application is significantly different from that of China,and the evaluation criteria are still centered on whether the enterprises involved have established effective compliance plans.At the same time,In order to prevent procuratorial organs from abusing their discretion in compliance cases,many countries have restricted the suspension of prosecution agreement by strengthening the examination and approval of judges.Chapter 4 is about the operation of the enterprise compliance non-prosecution system.The enterprise compliance non-prosecution system still has a relatively narrow scope of application in the implementation process,and involves the participation of multiple subjects.In the coordination with the administrative authority,it should be the whole compliance rectification process.Both supervision and evaluation need the participation of the administrative authority.When applying the third-party supervision mechanism,it should improve its problems in terms of costs,responsibilities,etc,In the evaluation and acceptance process,it is not only necessary to give full play to the positive compliance incentive of compliance,but also to give full play to the negative incentive of non-compliance,so as to help the enterprises involved actively complete the rectification of the effective compliance plan.Chapter 5 is the system construction of enterprise compliance non-prosecution.One of the important problems of the compliance non-prosecution system is the lack of incentives.Therefore,when constructing the system,we should strengthen its incentives,expand its scope of application,appropriately extend the powers of the procuratorial organ in the procedure,start the rectification procedure as soon as possible for the qualified enterprises,and propose lenient treatment suggestions to the investigation organ in respect of the direct responsible person of the enterprises involved and the application of the property involved in the case in the compulsory measures,Ensure that enterprises "survive" to carry out compliance rectification.We will ensure the coordination of execution,ensure the diversity of participants in the hearing,and play a negative incentive role of non-compliance.The time limit and cost in the investigation and return visit procedure should also be studied in depth.