暨南学报(哲学社会科学版)

作者：陶朗逍

单位：北京科技大学文法学院。

关键词：刑事合规,事前合规,事后合规,合规出罪,附条件不起诉

基金：司法部法治建设与法学理论研究部级科研项目“企业合规出罪的路径与限度研究”(22SFB4014)。

以合规为企业出罪事由的刑事法律制度,可以分为事前合规实体出罪和事后合规程序出罪两种。以企业犯罪暂缓起诉制度为核心的事后合规程序在美国、英国、加拿大、法国均具有出罪功能,但各国对是否还应确立事前合规无罪抗辩制度存在分歧。我国涉案企业合规改革开启事后合规程序出罪的本土化探索,在建立企业附条件不起诉制度时,应以企业与责任人分离追诉为基础,构筑以立法权和行政权限制检察官裁量权的制度。基于事前合规和事后合规在犯罪预防功能方面的互补性,应在“集体决策责任论”中纳入以事前合规为由判定企业无罪的法解释空间。在合规双重出罪模式的司法保障下,扩张企业犯罪圈和增设强制合规义务可以成为治理企业犯罪的有效立法手段。"/>template{display:none;}.mag-rich-xref-fn { cursor: pointer;}//长视频$(document).ready(function(){if($("#showLongArticleVideo") && $("#showLongArticleVideo").length && $("#showLongArticleVideo").length>0){mag_ajax_update({ele_id:'showLongArticleVideo',url:mag_currentQikanUrl() + "/CN/article/showLongArticleVideo.do?id="+$("#articleId").val()});}});$(document).ready(function(){window.metaData = {"journal":{"issn":"1000-5072","qiKanMingCheng_CN":"暨南学报（哲学社会科学版）","id":2,"qiKanMingCheng_EN":"Jinan Journal"},"fundList_cn":["司法部法治建设与法学理论研究部级科研项目“企业合规出罪的路径与限度研究”(22SFB4014)。"],"article":{"keywordList_cn":["刑事合规","事前合规","事后合规","合规出罪","附条件不起诉"],"juan":"45","zhaiyao_cn":"以合规为企业出罪事由的刑事法律制度,可以分为事前合规实体出罪和事后合规程序出罪两种。以企业犯罪暂缓起诉制度为核心的事后合规程序在美国、英国、加拿大、法国均具有出罪功能,但各国对是否还应确立事前合规无罪抗辩制度存在分歧。我国涉案企业合规改革开启事后合规程序出罪的本土化探索,在建立企业附条件不起诉制度时,应以企业与责任人分离追诉为基础,构筑以立法权和行政权限制检察官裁量权的制度。基于事前合规和事后合规在犯罪预防功能方面的互补性,应在“集体决策责任论”中纳入以事前合规为由判定企业无罪的法解释空间。在合规双重出罪模式的司法保障下,扩张企业犯罪圈和增设强制合规义务可以成为治理企业犯罪的有效立法手段。","endNoteUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=EndNote&id=6864","reference":"","bibtexUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=BibTeX&id=6864","abstractUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/10.11778/j.jnxb.20230037","qi":"12","id":6864,"nian":2023,"bianHao":"1703562207516-732016645","zuoZheEn_L":"TAO Langxiao","juanUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/Y2023","shouCiFaBuRiQi":"2023-12-26","qiShiYe":"81","qiUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/Y2023/V45/I12","lanMu_cn":"中国式现代化·刑事司法","pdfSize":"1284","zuoZhe_CN":"陶朗逍","risUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=Ris&id=6864","title_cn":"刑事合规出罪功能的比较考察与中国路径","doi":"10.11778/j.jnxb.20230037","jieShuYe":"91","keywordList_en":["criminal compliance","pre-compliance","post-compliance","decriminalization for compliance","a conditional non-prosecution system"],"endNoteUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=EndNote&id=6864","zhaiyao_en":"In recent years, in the field of criminal justice, China's procuratorial organs have taken the lead in carrying out compliance reforms for enterprises involved in cases. Many companies involved in crimes were not prosecuted by the procuratorial organs because they carried out effective compliance rectification afterwards. This makes compliance a legitimate basis for decriminalization. However, the criminal legal system that uses compliance as the cause of corporate crimes can be divided into two types: pre-compliance decriminalization by substantive laws and post-compliance decriminalization by procedural laws. What content China's compliance crime system should include and how it should be embedded into the current unit crime legal system are unresolved theoretical problems.This paper mainly adopts a comparative research method to discuss the legislative plan for decriminalization for compliance in China. On one hand, by comparing the differences in compliance decriminalization systems among foreign countries such as the United States, the United Kingdom, Canada, and France, it is summarized into two main practice models: the post-compliance procedural decriminalization model and the dual-compliance decriminalization model. On the other hand, by comparing overseas experience with the current situation in China, it is clear that China should choose the dual-compliance decriminalization model. In terms of procedural decriminalization, a system of conditional non-prosecution for enterprises should be established based on the experience of compliance reform of enterprises involved in the case. There shall be a separation of prosecutions between enterprises and responsible persons as well as a system that uses legislative and administrative powers to limit the discretion of prosecutors. In terms of substantive decriminalization, the “collective decision-making responsibility theory” should be established for unit crimes, and the legal interpretation space should be included on the grounds of prior compliance.Compared with existing literatures, this article mainly expands on the following two aspects. Firstly, it adopts the research perspective of criminal integration, in order to solve the legislative revision problems of Criminal Law and Criminal Procedure Law simultaneously. Previous researches only focused on a single aspect of substantive law or procedural law, lacking suggestions based on the linkage of the two laws. Therefore, it is difficult to comprehensively solve the problem of involving compliance into Chinese laws. Secondly, it puts forward research conclusions on the combination of criminalization and decriminalization, advocating that “legislative criminalization with judicial decriminalization” should be used to optimize the effectiveness of corporate crime management in China. Previous researches have focused more on the legitimacy and methods of compliance with decriminalization, without fully considering the cooperative relationship between criminalization and decriminalization. This paper advocates that on the basis of establishing the dual-compliance decriminalization model, expanding the corporate crime zone and adding mandatory compliance obligations can be used as effective legislative means to control corporate crime.The research contained in this paper reveals to a certain extent that the feasible solutions to constituting China's compliance-based decriminalization system. It can be used as a reference for criminal justice organs when deepening the compliance reform for enterprises involved in the case. In the meantime, it will be useful for the legislative organs to determine a compliance-based legalization plan. In short, the “collective decision-making responsibility theory” should be used to encourage enterprises in terms of establishing daily compliance management programs. By doing so, the enterprises can involve the prevention of illegal crimes into daily operations and management. Moreover, the conditional non-prosecution system of enterprises should embedded into the existing Criminal Procedural Law, which will encourage enterprises to conduct a management rectification activity based on compliance after the illegal and criminal acts occur. By forming an effective compliance program, the enterprises can correct the root causes in the management system that causes the illegal and criminal acts.","bibtexUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=BibTeX&id=6864","abstractUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/10.11778/j.jnxb.20230037","zuoZheCn_L":"陶朗逍","juanUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/Y2023","lanMu_en":"","qiUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/Y2023/V45/I12","zuoZhe_EN":"TAO Langxiao","risUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=Ris&id=6864","title_en":"A Comparative Study and the Chinese Illustration on the Function of Decriminalization for Criminal Compliance","hasPdf":"true"},"authorNotes_cn":["陶朗逍,北京科技大学文法学院。"]};if(window.metaData && (!window.metaData.authorNotesCommon_cn && !window.metaData.authorNotesCorresp_cn && window.metaData.authorNotes_cn)){window.metaData.authorNotesCommon_cn = window.metaData.authorNotes_cn;}if(window.metaData && (!window.metaData.authorNotesCommon_en && !window.metaData.authorNotesCorresp_en && window.metaData.authorNotes_en)){window.metaData.authorNotesCommon_en = window.metaData.authorNotes_en;}var _nlmdtdXml = $("#article_nlmdtdXml").val();var magDir = _nlmdtdXml.replace(/\/[^\/]+$/,'');window.metaData.magDir = magDir;new mag_vue({ el: '#metaVue', //dataUrl: mag_currentQikanUrl() + '/EN/article/getRichHtmlJson.do?articleId='+$("#articleId").val(), data:window.metaData, loading:true, doTextFun:function(text){ return doDataJsonText(text); 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来源：2023年第12期

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