Research On The Institutionalization Of Corporate Criminal Compliance

Since 2020,the Supreme People's Procuratorate has successively carried out two batches of pilot projects for corporate compliance reform.At the same time,local procuratorates have also started to reform and explore the corporate compliance non-prosecution system based on the situation of the company,and have achieved phased results.progress has formed two modes of corporate criminal compliance system: one is the compliance inspection and suggestion mode;the other is the compliance inspection mode,the former follows the existing legal norms,but there is no post-event supervision,and the latter forms a dual mode.Incentives,but their justification is problematic.The purpose of this paper is to study the problems existing in the process of pilot exploration of the corporate criminal compliance system,and to propose corresponding solutions,so as to explore and research a corporate criminal compliance system suitable for the actual situation in China.The first part discusses the theoretical analysis of the corporate criminal compliance system.As a form of corporate governance,the corporate compliance system has gradually transitioned from industry self-discipline and company supervision to an internal control system that focuses on deterring and preventing illegal and criminal acts within the company,and has shown a trend of criminalization.Criminal compliance is an innovative and exploratory achievement of procuratorial organs actively expanding their functions and actively participating in corporate social management in the new era.It is an internal mechanism formed by enterprises to prevent,supervise and correct illegal and criminal behaviors.At present,there are different understandings of corporate criminal compliance in the theoretical and practical circles.The second part is an introduction to the criminal compliance of extraterritorial enterprises.It mainly analyzes the administrative reconciliation system,plea bargaining system,and deferred prosecution agreement system in the United States,the United Kingdom,Germany and other countries,and summarizes the results that can be used for reference in my country,such as the compliance plan as a reason for guilt or mitigation of punishment.etc.,to provide extraterritorial experience for the construction and development of my country's corporate criminal compliance system.The third part mainly introduces the exploration results of the corporate criminal compliance system in our country's practice.Since the Supreme People's Procuratorate launched the pilot work of corporate compliance reform,local procuratorial organs have been actively exploring,creating two modes of compliance non-prosecution,and exploring four compliance supervision modes,which is a further step in compliance non-prosecution.The reform and development of China provides a model of experience.The fourth part mainly analyzes the problems that occurred in the pilot process of my country's corporate criminal compliance.Due to the lack of corresponding theoretical preparations and institutional foundations in the early stage,a series of institutional connection and supporting problems have been raised in the reform process.Analyze the results of practice,discuss the issue of corporate criminal responsibility,lack of justification for compliance crimes,ambiguous applicable objects for compliance and non-prosecution,and lack of standards for compliance rectification and compliance acceptance.The fifth part is based on the discussion of the above four parts,and discusses the way to solve the related problems.Combined with experience outside the territory,summarize and analyze the practical results in the reform and exploration,draw the advantages and application scope of the two modes of compliance inspection advice and compliance inspection,and put forward corresponding suggestions for the above theoretical and practical problems,including separation of corporate responsibility and compliance.Personal responsibility,clarify the justification of compliance crimes,define the applicable objects of compliance and non-prosecution,and formulate compliance rectification and compliance acceptance standards.