On The Practice Of Enterprise Compliance Reform Under The Guidance Of Procuratorial Organs

Carry out the compliance pilot work for the enterprises involved in the case,guide and promote the enterprises involved in the case to establish compliance plans,rebuild the compliance system,actively transform the severe punishment after the event into prevention in advance,strengthen the law popularization of enterprises,deeply embed it in the enterprise compliance concept,and practically promote the traceability and governance of the enterprises involved in the case by means of no arrest,no prosecution,confession of guilt and punishment,and making and issuing procuratorial suggestions according to law.In order to give full play to the procuratorial function and protect the healthy development of China’s private enterprises,procuratorial organs began to focus on criminal compliance,explore the pilot work of enterprise compliance reform in judicial practice,and explore the relative non prosecution system of enterprise compliance.Proceeding from its functional orientation,the combination of corporate compliance with the system of relative non prosecution,leniency in confession and punishment,and the procedural discretion function of criminal reconciliation,gives full play to the role of pre-trial inspection and prosecution,makes full use of the discretion of prosecution,inspects and rectifies the compliance of the enterprises involved in the case that meet the provisions,and finally makes a decision on mitigation of punishment or non prosecution in combination with the opinions of the supervision and evaluation mechanism,Eliminate the loopholes and risks existing in the past management of enterprises,and effectively prevent enterprises from committing crimes again.Combine the internal management system of enterprise compliance with external criminal incentives to promote the enterprise to strengthen its internal operation and management from its own point of view,and help the enterprise to achieve standardized and sustainable development.Comprehensively sort out the pilot work of enterprise compliance in China.From theoretical preparation and research in the early stage to the start of the first batch of pilot work,and now to the spread of enterprise compliance work,the procuratorial organs have deeply integrated theoretical research and practical exploration,timely summarized experience,issued documents and strengthened guidance.At the same time,China’s enterprise compliance pilot work selects representative procuratorates to carry out work according to the enterprise and economic development in various regions of the country,and adjusts the pilot process according to the actual situation,showing the distinctive Chinese characteristics led and actively promoted by procuratorial organs.At present,although many enterprises have realized the impact of enterprise compliance on enterprise development,many enterprises have weak compliance awareness and have not fully realized the importance of constructing an effective compliance plan for enterprises’ standardized operation and management,crime prevention and crime risk reduction.At the same time,as for enterprise compliance reform,China’s criminal legislation has not yet made provisions on enterprise compliance,which is lagging behind.There are still many questions and problems in China’s procuratorial and judicial practice.For example,can we implement conditional non prosecution for the enterprises involved at this stage?How to apply the scope of corporate crime cases under compliance inspection?Is it applicable to large,medium and large enterprises,including minor criminal cases or major criminal cases?When punishing the enterprise,can the executives of the enterprise involved and relevant enterprises be handled separately?Can the public security organs and other administrative organs intervene in advance when investigating the enterprises involved?Who will supervise the implementation of the corporate compliance plan?When inspecting the compliance of the enterprises involved,is it necessary to adopt unified inspection measures and unified compliance standards?These issues should be taken into account in the construction of enterprise compliance in China,and should conform to Chinese practice.From the current relevant legal systems formulated in China,the institutional and practical basis for the compliance of the enterprises involved has been established.According to the pilot situation of enterprise compliance,relevant provisions of the criminal procedure law can be modified in real time to consolidate the pilot results in legal form.At the same time,we will further expand the applicable objects and scope of enterprise compliance,and investigate them respectively according to the type of enterprise and the situation of suspected crime,so as to expand the applicable scope of enterprise compliance;Separate the punishment of the enterprise from that of the relevant executives,and increase criminal incentives;Pay attention to coordinating the cooperation,connection and supervision between different subjects,especially the time connection between public security organs and procuratorial organs,and apply compliance to qualified enterprises in a timely manner;Improve the third-party evaluation mechanism,formulate compliance plans and different acceptance standards"depending on the case",ensure the "true rectification" and "true compliance" of the enterprise,and strengthen the construction of the Chinese mode of enterprise compliance in combination with local resources and practical practices.