The Update Of The Compliance Plan And The Principle Of Criminal Liability For Unit Crimes

The crime of legal person(unit)is a new type of non-traditional crime,which is accompanied by the diversification of market subject form in the development of market economy.It explores and constructs the effective management strategy of legal person crime.It is an important part of the development of human criminal legal system.Looking back on the history,since its birth,the crime of legal person unit has taken the operation security of the national economic order as the harm object,and its harm to the modem society has also been accompanied by the increase of the size of the legal person and its position in the development of the national economy.In order to manage the problem of unit crime well,we must trace back to its origin and explore it from its emergence and development.The crime of legal person unit originates from the market economy.Therefore,it is also the western European and American countries that first met the unit crime and produced the corresponding control measures.Britain is the starting country of the legal person crime,which gave birth to the earliest criminal system to regulate the legal person crime in the world.Among them,as the center country of the second industrial revolution,the United States has appeared the wave of legal person crime in the economic development,which also first opened up the pioneer of constructing legal person crime,because it has the foreshadowing of various industries in history.The process of the legislative system,such as the establishment of the Interstate Commercial Law to regulate the railway field,the Securities Act of 1933,the Securities Act of 1934 to solve the regulatory problems in the field of securities investment,etc.In the management of corporate unit crime,self-discipline policy can also be used to regulate it.The self-discipline policy relies on the evolution of the principle of criminal liability inherent in the crime of legal person units from the "monistic" mode to the "dual" mode,that is to say, whether the existence of individual criminal responsibility is directly bound or not.As a direct basis for judging the existence of corporate criminal responsibility,excessive for the "dual" model.The latter means that the judgment of the existence of criminal liability of corporate units is not directly related to individuals,but is judged by whether the enterprise has formed pre-emptive self-restraint or whether there is a corporate cultural compliance plan.This change in the principle of criminal responsibility makes the United States put forward a more effective and reasonable unit crime governance model in the new period of economic development,and its advantages and functions are being studied,emulated and adopted by more countries in the world.Compliance plan is conceived in the process of changing the principle of criminal liability of legal entity crime,and is based on the new mode of separation of individual and corporate criminal responsibility.Compliance plan not only supports the rationality and feasibility of the theory.At the same time,as a new means of criminal sanctions,it can not only make it possible for the unit to restrain itself,so as to reduce the possibility of taking responsibility for the crime of a legal person and reducing the penalty,but also echoes the prevention in the purpose of the penalty.Companies that fail to achieve self-restraint are subject to greater penalties and sanctions for failing to implement compliance plans.On the basis of the legal person crime punishment function of the criminal law itself,it deepens and perfects the prevention function,and makes the internal and external joint action,not only from the forced force of the state,but also from the enterprise itself.The criminal compliance plan can be designed from point to face to different industries and different fields.How to use criminal compliance means to construct crime or sentence,so as to better realize the organizational self-management of the unit,and can improve the relevant legislation.It has become an important means to effectively solve or reduce the unit crime rate.According to the experience of international corporate governance and the positive results of compliance plan system,China is constructing and perfecting a standardized compliance system to meet the needs of corporate governance,so it is facing the problem of the construction of criminal compliance plan system in unit(legal person)crime governance.It is very important to set up an effective compliance plan China construction plan.The first is to draw lessons from the design of penalty forgiveness system in the criminal compliance plan of the United States and other countries,so that the units that formulate and strictly implement the compliance plan can be reduced by the legal degree of criminal responsibility after the commission of the unit crime.Second,according to the institutional framework of constructing mandatory and selective compliance plan construction obligations,we should take the lead in putting forward the system requirements of setting compliance special obligations in the fields or industries that maintain national strategic security.On this basis,we shall deal with crimes if the unit refuses to fulfill or passively fails to perform the legal compliance plan obligations,resulting in serious harmful consequences.