Research On Conditional Non-Prosecution System Of Corporate Compliance

Facing the development of economic globalization,in order to ensure the development of domestic enterprises and multinational enterprises,China has started the pilot work of enterprise compliance reform.In the process of corporate compliance non-prosecution reform,China ’s exploration of compliance non-prosecution has achieved excellent results.The procuratorial organs in various places have successively issued a large number of relevant documents.The applicable standards for non-prosecution of compliance have been continuously refined,and the applicable procedures for non-prosecution of compliance have been continuously optimized,which provides important practical experience for the construction of enterprise compliance and non-prosecution system.The promotion and application of the enterprise compliance non-prosecution system has injected new vitality into the development and management of Chinese enterprises.The pilot procuratorial organs have gradually formed two modes in the process of exploring the enterprise compliance non-prosecution system.These two models have played an important role in the governance of corporate crime,but the conditional non-prosecution model has a unique function of ensuring compliance planning and actively promoting the compliance rectification work of the involved enterprises than the procuratorial suggestion model,which is conducive to the long-term supervision of the relevant enterprises involved by the procuratorial organs.To combine enterprise compliance with conditional non-prosecution system is a new exploration model in the governance of enterprise crimes,which can give full play to the criminal incentives of this system.This thesis proposes that the establishment and improvement of the conditional non-prosecution system for corporate compliance has played an irreplaceable role in preventing corporate crime,protecting private enterprises,and optimizing the allocation of judicial resources.The criminal policy of tempering justice with mercy,the concept of restorative justice,the theory of prosecution convenience,the system of leniency on admission of guilt and acceptance of punishment,the system of conditional non-prosecution for minors,the system of criminal reconciliation and other systems provide the feasibility of construction.However,in the process of applying non-prosecution of compliance in China ’s procuratorial organs,it is found that there are still some difficulties,such as insufficient effectiveness of compliance plan,unclear scope of application,too short investigation period and imperfect compliance supervision system.Based on China ’s practical experience in exploring corporate compliance and the relevant experience of extraterritorial countries on the suspension of prosecution agreement system,China ’s corporate compliance conditional non-prosecution should be improved from the following aspects : formulating different corporate compliance effectiveness standards;there should be no restrictions on the specific types of enterprises applicable to achieve equal treatment;the applicable specific charges should not be limited;the applicable case should be sentenced to fixed-term imprisonment of less than 3 years;in addition to adopting the way of self-supervision and management of procuratorial organs,the third-party organization supervision mode should be applied in practice and the supervision mode of enterprise compliance should be further improved from the aspects of supervision subject and supervision content.