An Analysis Of The Status Of Criminal Law Doctrinal System Of Criminal Compliance

Economic globalization has intensified the criminal risks that enterprises may face,and the demand for reducing criminal risks is gradually increasing.The mechanism of reducing criminal responsibility through criminal compliance provides a channel for enterprises to reduce risks.The era background of risk society makes the criminal law transform to prevention,and unit crime is an important feature and manifestation of prevention criminal law.The risk society and the change of criminal law undoubtedly become the background for demonstrating the legitimacy of the enterprise criminal compliance system.The state uses positive incentives or reverse accountability in criminal policies as a means to avoid criminal liability caused by the behavior of enterprises or their members,thus achieving the goal of crime prevention.The implementation and practice of the criminal compliance system in China need to find substantive legal basis,otherwise it will become a passive water and a tree without roots.To define the systematic status of criminal compliance,it is necessary to correctly examine the relationship between criminal compliance and the doctrine of criminal law.Criminal compliance cannot be separated from criminal law and traditional criminal law doctrines based on criminal law.Criminal law doctrine is the foundation of criminal compliance,and criminal compliance is the development of criminal law doctrine.In terms of constituent elements,the construction of a corporate criminal compliance plan is a positive defense for its offense.The construction of an effective criminal compliance system and the examination of corporate supervisory negligence become the basis for determining corporate criminal responsibility.In terms of reasons for obstruction,the establishment of a criminal compliance system cannot become a reason for obstruction of illegal activities,but can only be used as a discretionary circumstance for sentencing and as a reason for liability obstruction in specific circumstances.Even if the enterprise has established and effectively implemented a criminal compliance system,it cannot be concluded that the enterprise is innocent based on this.The reasons for illegal obstruction in criminal law must have a clear legal basis.The principle of trust and the theory of expected possibility in modern criminal law theory have become the connecting points of the justification of criminal compliance,providing positive incentives for enterprises to implement criminal compliance plans.In terms of punishment theory,the criminal compliance system promotes the self-management of companies and provides positive sentencing incentives to enterprises that develop and implement compliance plans.Specifically,it includes two modes: reduction of punishment and suspension of prosecution.In addition to exerting a positive sentencing incentive mechanism,criminal compliance also provides a driving force for enterprises to construct the plan from the reverse,and promotes the improvement of institutional effectiveness by increasing the negative consequences of criminal compliance.The main innovation of this article lies in defining criminal compliance from the perspective of criminal substantive law,and discussing it based on the logical system from conviction to sentencing,in order to seek the substantive legal foundation of criminal compliance.