Research On Non-prosecution System Of Enterprise Compliance

As an important subject in today’s society,enterprises are widely involved in various economic,cultural and even political activities,playing an important role in stabilizing growth,promoting innovation,increasing employment and improving people’s livelihood.However,while participating in a variety of complex social activities,enterprises also face a variety of legal risks,especially criminal risks,which are the most serious,but our country has long ignored the criminal risks behind enterprise operation.In fact,once an enterprise commits a crime,it is a disaster.It is not difficult to find that the lack of compliance system objectively and the lack of compliance consciousness subjectively is the root cause of enterprise crime.Therefore,the governance of enterprise crime should focus on the internal legal risk management of enterprises themselves.However,the traditional criminal law does not pay attention to the internal compliance of enterprises,and the single external control of penalties creates the situation of "handling a case,destroying an enterprise" in practice.To solve this problem,the Supreme People’s Procuratorate launched in March 2020 the reform of the system of corporate compliance not to prosecute,the corporate compliance incentive mechanism into the public prosecution system,making it to the suspected criminal enterprise to be the main basis of criminal processing,it is to change the single enterprise provides a possible criminal prosecution mechanism.Up to now,the enterprise compliance non-prosecution system is still in the pilot exploration stage,and many problems have not been concluded,so it is necessary to conduct in-depth research on it to provide ideas for optimizing the enterprise compliance non-prosecution system in practice.This paper is mainly divided into the following parts:The first part mainly summarizes the basic theory of enterprise compliance non-prosecution system.Firstly,it introduces the connotation of enterprise compliance non-prosecution,including the interpretation of basic concepts in practice and theory and the discussion of basic characteristics based on judicial practice.Secondly,it introduces the value and significance of enterprise non-prosecution system for strengthening the judicial protection of enterprises,strengthening the internal governance of enterprises,deepening the procuratorial function and carrying out criminal policy.Finally,the relationship between enterprise compliance non-prosecution,leniency system of guilty plea and criminal reconciliation system is discussed respectively.The second part focuses on the legal basis and practice of enterprise compliance non-prosecution.Firstly,this paper analyzes the legal basis for the operation of the non-prosecution system of enterprise compliance from substantive law,procedural law and procuratorial power.Secondly,it summarizes the two modes of non-prosecution by compliance in judicial practice,including procuratorial suggestion mode and conditional non-prosecution mode,and makes a comparative analysis of the two modes from the aspects of content,operation procedure and institutional advantages.Finally,it summarizes a more suitable mode for the operation of non-prosecution by compliance.The third part mainly discusses the problems existing in the practice of enterprise compliance non-prosecution.For example,the definition of the applicable object is not clear,which leads to the phenomenon of "double non-prosecution" applicable to both entrepreneurs and enterprises.Penalty conditions are limited to minor crimes,resulting in the lack of applicable space for non-prosecution system;The compliance inspection period is limited to the case handling period,resulting in unsatisfactory effect of compliance construction;The lack of effectiveness of criminal compliance plan causes compliance inspection to become a mere formality.The fourth part envisages the system design of enterprise compliance non-prosecution.This part mainly discusses from two aspects: the legislative path selection at macro level and the system content design at micro level.In the choice of legislative path,two paths are put forward: integrating enterprise compliance into conditional non-prosecution or establishing independent standard procedure of enterprise compliance non-prosecution;In the specific content design,mainly around the enterprise compliance non-prosecution of the applicable objects,penalty conditions,inspection period,inspection standards four aspects of the discussion.