摘要
企业合规制度的建构目的,是通过非犯罪化和非刑罚化的优惠奖赏,激励涉案企业积极进行合规化改造。这一制度所带来的司法优待,何以不违反罪刑法定、罪刑均衡等刑法基本原则,仅以认罪认罚从宽制度等来阐释,尚难以充分地证成。刑事一体化思想与企业合规制度具有高度契合性,可以为后者提供理论根据。从宏观层面来看,前者关于犯罪治理是社会治理的基本主张,是后者预防和治理企业犯罪的理论根据;从微观层面来看,前者关于犯罪化、轻刑化、非监禁刑、动态性、开放性等具体主张,可以为后者提供精细的规则根据。以刑事一体化思想为指导,需要明确企业合规的制度定位和路径选择问题。
Enterprise compliance is a judicial incentive institution established for the enterprises involved in committing crimes.Its purpose is to encourage enterprises to actively reform compliance by preferential rewards of non-criminalization and non-penalization.Currently,the biggest obstacle to implementation is the institution’s legitimacy.The reason why the judicial preferential treatment brought by this institution does not violate the basic principles of criminal law,such as statutory punishment and balanced punishment,is difficult to prove adequately if only explained by the institution of leniency in pleading guilty.The idea of criminal integration is highly compatible with the institution of enterprise compliance,which can provide a theoretical basis.From the macro level,“crime governance is social governance”,which is a basic claim of the former,is a theoretical basis for the latter to prevent and control corporate crime.From the micro level,the former’s claims of criminalization,light punishment,non-incarceration punishment,dynamism,and openness can provide specific rules for the latter.Guided by the idea of criminal integration,it is necessary to clarify the institution’s target and path during its localization construction.
作者
叶良芳
Ye Liangfang(Guanghua Law School,Zhejiang University,Hangzhou Zhejiang 310008)
出处
《政法论丛》
CSSCI
北大核心
2023年第2期113-123,共11页
Journal of Political Science and Law
基金
国家社会科学基金重大项目《总体国家安全观视域下网络犯罪治理对策研究》(项目编号:20&ZD200)的阶段性成果
关键词
企业合规
涉案企业
刑事一体化
第三方监督机构
非刑罚化
enterprise compliance
criminal enterprise
criminal integration
third-party supervision organization
non-penalization
