Research On Enterprise Compliance Non-prosecution

With the further deepening of the market economy,corporate crime has become an important area of crime governance.Faced with the social reality of the increasing number of corporate crime cases,judicial measures can only play the role of "fire extinguishers" after the event,and the impact of corporate crime on enterprises cannot be ignored.Once an enterprise commits a crime,in addition to facing various punishment measures stipulated in the criminal law,there are also a series of attendant consequences,even leading to the shutdown and bankruptcy of the enterprise.As a reform measure for corporate crime governance,non-prosecution of corporate compliance provides a new solution for governance of corporate crime criminal liability,and serves as a bridge between external judicial governance and internal supervision and management of enterprises.This system promotes the governance of corporate crime from external criminal law regulations to internal management reform,making it legal and compliant,not only reducing the difficulty of implementing external governance in criminal law,It is more beneficial for enterprises to prevent criminal crime risks through their own management.In order to better promote the construction of corporate compliance in China,reduce the risks faced by enterprises after committing crimes and the ripple effect caused by judicial procedures,and reduce the potential criminal risks of enterprises in the future,it is necessary to provide suggestions and suggestions on the non-prosecution system for corporate compliance in China,in order to promote the construction and operation development of corporate compliance in China.This article analyzes the practices adopted in the current practice of non-prosecution of corporate compliance in China,and summarizes two modes used in the operation of non-prosecution of corporate compliance in practice,namely,the "relative non prosecution+procuratorial advice" mode and the "conditional non prosecution+regulatory review" mode.I have discovered the problems existing in the current practice of non-prosecution of corporate compliance in China,and have made some suggestions based on similar foreign systems.There are many problems in the implementation of the corporate compliance non prosecution system.Currently,whether enterprises or procuratorial organs,there is a lack of enthusiasm and motivation in applying corporate compliance non prosecution.The regulatory review mechanism for non-prosecution of corporate compliance is not yet sound,making it difficult for companies to perform their compliance rectification obligations well.The authority of the third-party management committee is unclear,and it is difficult to ensure the independence of third-party organizations.The provisions of enterprise compliance inspection standards are too general to make effective and objective evaluation judgments based on them,which is not conducive to the normal development of the procuratorial organ’s work to promote the compliance non prosecution system.The procedures for judicial authorities to exercise their powers are not smoothly connected,resulting in the inability to achieve compliance objectives.In response to the problems that arise in practice,this article suggests that: in terms of application dynamics,it is necessary to improve legislation to enhance the enthusiasm of enterprises in applying the compliance mechanism,and clarify the scope of application to enhance the operability of procuratorial organs when applying.For regulatory inspections,it is necessary to appropriately extend the testing period to provide sufficient time for corporate compliance rectification,while improving the provisions of third-party mechanisms to standardize them.For inspection standards,China should establish compliance effectiveness standards with Chinese characteristics based on reference to foreign compliance effectiveness standards.For the connection of procedures and systems,it is necessary to strengthen the close cooperation between procuratorial organs and investigative organs,and build a channel for judicial organs to participate in non-prosecution of enterprise compliance.This article is divided into four parts:The first part introduces the basic content and practical significance of corporate compliance non prosecution,and demonstrates the legitimacy and rationality of promoting corporate compliance non prosecution in China from both practical and theoretical aspects.The second part introduces the two models adopted by the procuratorial organs in the pilot practice of non-prosecution for corporate compliance in China,and explores the problems faced by non-prosecution for corporate compliance in China based on the two models combined with procuratorial practice.The third part introduces the main content of the extraterritorial suspension of prosecution agreement system,from the scope of application,regulatory review mechanisms,effectiveness standards,judicial power distribution,and other aspects,to find reference elements for improving China’s enterprise compliance non prosecution.The fourth part introduces some ideas for improving corporate compliance non prosecution in China,and proposes to strengthen the applicable motivation for corporate compliance non prosecution,improve the regulatory and inspection mechanism for corporate compliance non prosecution,establish reasonable compliance effectiveness standards,and strengthen the process and institutional linkage of corporate compliance non prosecution.