Research On Compliance Of Criminal Compliance Without Prosecution

With the in-depth development of the modernisation of the national governance system and governance capacity,as well as the realistic requirements of the rule of law in the business environment,the compliance inspection in the criminal non-prosecution of corporate crimes takes the form of a compliance inspection initiated by the procuratorial authorities on the enterprises involved in the case,urging them to make compliance commitments,guiding them to formulate and implement compliance plans,establish and improve their compliance management systems,and ultimately achieve corporate compliance with the law.So far,after two pilot phases,excellent examples of compliance inspections have been provided and a great deal of practical experience has been gained.However,on the whole,it seems that the compliance inspection of noncriminal compliance in China is still in its infancy,and there is still a need to discover and solve its problems in theory and practice in the course of practical exploration,so as to provide sufficient impetus for the implementation of the system.Based on the practical exploration,this article discusses the major challenges of the compliance inspection of nonprosecution in the pilot project,and also proposes effective suggestions for improvement,divided into four parts:The first part examines the origins and connotations of nonprosecution compliance visits,the relevance of both prosecution-led compliance visits and decisions not to prosecute,and the intrinsic incentive of non-prosecution for compliance visits,and discusses the theoretical underpinnings of non-prosecution compliance visits as theories of crime prevention,balancing of legal interests,and the concept of consultative justice.The second part clarifies the necessity of implementing compliance inspection in China from two aspects: the need for a national rule of law strategy and the harmonisation of judicial legal effects with social effects,and discusses the feasibility of implementing compliance inspection in China from two aspects: the criminal justice policy of fewer arrests,more cautious prosecution and more cautious detention,and the experience of pilot compliance reform,Through the introduction of large enterprises as the object of investigation,independent regulators as the subject of investigation,and prosecutors’ discretion and judicial review,the characteristics of extraterritorial compliance inspection are expounded.The third part introduces the pilot practice of compliance inspection of criminal compliance non-prosecution in China,analyses the subjects,objects and standards of compliance inspection of criminal compliance non-prosecution through the practice level,and further discusses the operational obstacles of compliance inspection in practice,such as the interface between different subjects of compliance inspection,the controversial objects of compliance inspection application,the lack of compliance inspection evaluation standards,and the inadequate supervision inspection mechanism.The fourth part discusses how to improve the compliance inspection system in the non-prosecution of crimes.This part focuses closely on the specific problems in the practice of compliance inspection,proposes to coordinate the interface and cooperation between procuratorial organs,public security organs and administrative organs,standardise the applicable objects of compliance inspection,and develop compliance acceptance standards that vary from enterprise to enterprise.The operational procedures of compliance inspection will be further standardised in three aspects: investigation,inspection and review.Finally,we propose the establishment of a compliance supervision department within the enterprise,public hearings led by the procuratorate,and the improvement of the third-party supervision and evaluation mechanism to enhance the internal and external supervision and control system of compliance inspection.