西南石油大学学报(社会科学版) ›› 2022, Vol. 24 ›› Issue (2): 84-91.DOI: 10.11885/j.issn.1674-5094.2021.11.21.01

• 政治与法律 • 上一篇    下一篇

企业刑事合规的路径思考

刘方可   

  1. 湘潭大学法学院, 湖南 湘潭 411105
  • 收稿日期:2021-11-21 发布日期:2022-04-02
  • 作者简介:刘方可(1988-),男(汉族),山东济南人,博士研究生,研究方向:刑事法学。
  • 基金资助:
    国家社会科学基金一般项目“环境犯罪刑事政策转换、刑罚体系调适与制裁模式多元化研究”(21BFX179)。

Problems and Reflections on the Theory and Practice of Corporate Criminal Compliance

LIU Fangke   

  1. Law School, Xiangtan University, Xiangtan Hunan, 411105, China
  • Received:2021-11-21 Published:2022-04-02

摘要: 刑事合规的初衷是预防和监控单位内部违法犯罪行为,目前已经全面进入我国理论与实践的视野。企业刑事合规对于企业犯罪预防与治理具有重要意义,可以凸显企业在犯罪预防实践中的主体地位,有效缓解刑事法对企业犯罪惩治的不利影响。但是,刑事合规理论与实践面临诸多困境。从国际上看,存在着有效刑事合规标准不统一、无法满足全覆盖要求、刑事合规负面影响遭忽视等问题;从国内来看,存在着组织体责任冲击传统的单位刑事责任认定、企业合规刑事激励制度试点不顺畅等问题。当前,应当通过构建相对统一的合规标准、适当调整合规计划具体要求、切割单位与成员的刑事责任等措施,构建具有中国特色的合规不起诉制度。

关键词: 企业犯罪, 刑事合规, 单位责任, 合规不起诉, 犯罪预防

Abstract: Criminal compliance is intended to prevent and monitor the illegal and criminal acts within corporate, which has aroused interest in theory and practice in China. Corporate criminal compliance is of great significance for corporate crime prevention and governance. Highlighting the main role of enterprises in crime prevention can effectively alleviate the adverse effects of criminal law on corporate crime punishment. However,the theory and practice of criminal compliance are faced with many difficulties. Globally,there exist problems of unified effective criminal compliance standard,failure of full coverage,and ignorance of criminal compliance, etc. In China, organizational responsibility challenges the traditional unit responsibility for crimes,and difficulties in corporate criminal compliance pilot program. In this regard,non-prosecution compliance system with Chinese characteristics should be constructed by constructing a unified compliance standard,adjusting the specific requirements of the compliance plan, separating criminal responsibility of the unit and its members.

Key words: corporate crime, criminal compliance, unit responsibility, non-prosecution in compliance, crime prevention

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