| In recent years,with the modernization of national governance capacity,the legal and regulatory system had become increasingly perfected,and the state’s regulation and law enforcement in various industries had been gradually strengthened.In the context of increasingly fierce competition in the economic market,it was imperative to strengthen corporate compliance management.In 2017,China’ s ZTE export control case marked a new stage of compliance management for Chinese enterprises.In 2018,relevant state departments Authoritative documents such as "National Standards for Corporate Compliance Management","Guidelines for Compliance Management of Central Enterprises" and "Guidelines for Compliance of Overseas Operations of Enterprises were promulgated successively,and Chinese enterprises began to implement corporate compliance management on a large scale.Since 2019,with the increasingly complex international situation and China facing a major change unprecedented in a century,strengthening compliance management and enhancing competitiveness had become an inescapable proposition of the times for Chinese enterprises.In the past decade,the crime rate of enterprise units had been increasing,and the criminal risk run through the whole process from the establishment to the cancellation of the enterprise,the court not only sentenced the enterprise to fines,but also sentenced the main person in charge to penalties;In many cases,the criminal law not only did not "cure" the enterprise’ s crime problem,but also“cured”the enterprise.Under the role of the economic market mechanism,the social effect of holding enterprises criminally responsible for crimes was not only the closure of enterprises,cooperation failure,etc.,and then affect the livelihood of employees,the development of the industry,and even affected the country’s economic development.In addition,in China’s criminal justice reform,corporate compliance building guidance had become a top priority in the reform efforts of the judiciary.Currently,the Supreme People’s Procuratorate was attempting to implement a system of corporate compliance non-prosecution,with expanding pilots nationwide to explore new governance models.In 2021 June,the Supreme People’s Procuratorate,the Ministry of Justice,the Ministry of Finance,the Ministry of Ecology and Environment,the State-owned Assets Supervision and Administration Commission of the State Council,the State Administration of Taxation,the State Administration of Market Supervision and Administration,the All-China Federation of Industry and Commerce,and the China Council for the Promotion of International Trade researched and developed and jointly issued the "Guiding Opinions on the Establishment of Third-Party Supervision and Assessment Mechanism for Compliance of Corporations Involved in Cases(for Trial Implementation)",which marked a new stage of criminal compliance in China.Therefore,the management of corporate criminal compliance plays an important role for enterprises themselves,the market economy and national governance.The paper was divided into four parts.The first part was an overview of corporate criminal compliance.The first part introduces the overseas origin and development of corporate criminal compliance and the development of corporate criminal compliance in China,and then introduced the concept of corporate criminal compliance and the role of corporate criminal compliance.The second part was an analysis of the characteristics of crimes committed by corporate units in the last decade and the reasons for the high crime rate of corporate units,thus proving the necessity of establishing criminal compliance for enterprises.The third part was an analysis of the current problems of corporate criminal compliance in China.The problems of corporate criminal compliance in China are analyzed from the perspectives of enterprises’own problems and institutional level,respectively.The fourth part was the author’s proposal for the improvement of China’s corporate criminal compliance in view of the current problems of China’s corporate criminal compliance.By establishing the concept of compliance and practicing it at the top level,bringing in professionals for corporate criminal compliance,and further communicating and promoting compliance to improve the problems of corporate criminal compliance,the system level solves the problem of not giving sufficient motivation to corporate criminal compliance at the system level by increasing the criminal liability of unit crimes,making compliance a legal sentencing circumstance,and introducing the system of deferred prosecution for enterprises. |
