Research On Non-prosecution Third-party Supervision Of Enterprise Compliance Led By Procuratorial Organs

With the deepening of the pilot reform of enterprise compliance non-prosecution system,the third party supervision mode,which is led by procuratorial organs and participated by various parties,has been explored in China.The third-party supervision mode in the enterprise compliance non-prosecution system refers to that the procuratorial organ in handling cases selects professional third-party supervisors to supervise and evaluate the compliance rectification and construction of the enterprises that meet the applicable conditions of the third-party supervision mode,and the procuratorial organ decides whether to initiate public prosecution based on the evaluation and acceptance results.The leading position of procuratorial organs in the examination and prosecution stage and the leading role of procuratorial organs in the third party supervision are determined by their authority requirements and their responsibility requirements as the promoters of the pilot reform of enterprise compliance non-prosecution system.Chinese enterprise compliance non-prosecution system is applicable to small,micro,large and medium-sized enterprises,so in practice,small and micro enterprises and large and medium-sized enterprises compliance supervision mode differentiation.Small and micro enterprises have the characteristics of small business scale,small difficulty in compliance rectification,mainly based on simple compliance,simple compliance has the outstanding advantage of low cost.However,large and medium-sized enterprises are characterized by large scale of operation,complex internal management system and relatively large difficulty in compliance rectification.Large and medium-sized enterprises mainly focus on comprehensive compliance.The outstanding advantage of comprehensive compliance supervision mode is strong professionalism,but it has the disadvantage of high compliance cost.Under the guidance of the procuratorial organs,the simple compliance process of small and micro enterprises and the complete compliance process of large and medium-sized enterprises can be summarized into four links: procedure start-up,compliance rectification construction,compliance supervision and evaluation,and compliance review and acceptance.Moreover,the role and authority of the procuratorial organs will change with the different links of compliance supervision.At present,corporate non-prosecution system and third-party supervision and evaluation mechanism are still at pilot reform stage in our country.There are still many deficiencies in corporate non-prosecution third-party supervision mode led by procuratorial organs in practice.Firstly,due to the ambiguity of the period of compliance investigation and the lack of legal norms,it conflicts with the period of case handling of the procuratorial organ in the examination and prosecution stage.Secondly,under the guidance of the procuratorial organ,the boundary between the functions and powers of the procuratorial organ,the enterprises involved and the administrative organ is unclear.Thirdly,the compliance review and acceptance process led by the procuratorial organs also has certain defects.First,the written review and acceptance cannot really investigate the overall situation of the enterprise’s compliance rectification and construction;second,the unclear standards for compliance review and acceptance lead to low operability.Finally,due to the lack of compliance return visit system standards,there are questions in practice about whether compliance return visit should be carried out and how to carry out compliance return visit.In order to further strengthen the leading position of procuratorial organs,improve the third-party supervision mode,and maintain the fairness and justice of criminal justice,firstly,reference standards for the period of compliance investigation should be detailed to enhance rationality,and the period of compliance investigation should be included in the legislative agenda in a timely manner.Secondly,the power boundary between procuratorial organs,enterprises involved and administrative organs should be clarified.Third,it should adopt the compliance review and acceptance mode of "witness review as the main,written review as the auxiliary",and formulate quantitative acceptance standards for compliance review and acceptance,so as to enhance the operability of compliance review and acceptance work and the objectivity and fairness of the evaluation and acceptance results.Fourth,it should establish a compliance return visit system led by procuratorial organs and attract social subjects to participate in the return visit work.Although China’s enterprise compliance non-prosecution system and third-party supervision and evaluation mechanism are still in the pilot reform stage,they have played an important role in protecting private enterprises and creating good business circumstance in practice.In the future,it is necessary to incorporate the enterprise compliance non-prosecution system and third-party supervision and evaluation mechanism into the legislative agenda as soon as possible.Further promote the in-depth development of the enterprise compliance non-prosecution system and the systematization and coordination of the third-party supervision and evaluation mechanism.