Research On Corporate Copliance Prosecutorial Recommendations

At present,there is a general lack of or inadequate compliance management system in China’s enterprises,which leads to great legal risks in the process of operation.Criminal laws have woven a dense net to pursue corporate crimes,and this strict form of criminal liability prosecution often deals a devastating blow to enterprises and has a certain negative impact on the development of the economy and social harmony and stability.Therefore,in order to avoid enterprises being disqualified from operating due to criminal liability prosecution,China is paying more and more attention to the establishment of a sound compliance management system for enterprises.In this regard,the Supreme People’s Procuratorate has launched a pilot compliance reform for enterprises involved in cases,and local procuratorial organs have actively extended their procuratorial functions to participate in the social governance of enterprise compliance,making compliance procuratorial suggestions to enterprises involved in cases and relevant authorities on the management loopholes existing in enterprises or industries,and providing road guidance for enterprise compliance rectification.In addition to the introductory part,this paper focuses on five parts of the research on issues related to corporate compliance prosecution recommendations.In the first part,by explaining the concept and basic content of corporate compliance inspection recommendations and sorting out the basic relationship between corporate compliance inspection recommendations and adjacent concepts,the basic issues of corporate compliance inspection recommendations are properly understood.In the second part,this part considers the value of the existence of corporate compliance inspection recommendations,and clarifies that it has the unique advantages of flexible issuance time and multiple issuance targets,which can guide the compliance and rectification of single enterprises involved in the case,while radiating compliance benefits,improving the legal risk prevention and control ability of the industry,thus reducing the crime rate of enterprises,optimizing the business environment,and achieving the organic unity of legal and social benefits.This part also clarifies the basis for the development of the system through an analysis of the relevant legal basis,as well as the functional fit of the procuratorial organs implementing the system.In the third part,this section introduces the scope and applicability of corporate compliance recommendations in judicial practice,focusing on the impact of criminal prosecution mechanisms such as non-approval of arrest,non-prosecution and deferred sentencing on the effectiveness of compliance recommendations,and classifies the types of corporate compliance recommendations from multiple perspectives,including when the recommendations are made,to whom they are issued and their content.The fourth part summarizes the difficulties faced by corporate compliance prosecution recommendations in terms of the quality of the instruments,the enthusiasm of enterprises to perform and the implementation of safeguards,and analyzes the causes of these difficulties in terms of the preparation of instruments,the motivation of compliance recommendations,the compliance rectification period and the implementation supervision mechanism of compliance recommendations.In the fifth part,this section first clarifies the position of improving the compliance inspection suggestion system,and proposes improvement measures in terms of establishing a quality assurance system for compliance suggestions,enhancing the incentive effect,improving the implementation guarantee mechanism and strengthening the construction of inspection teams,with a view to providing solutions to existing practical dilemmas and promoting compliance inspection suggestions to better serve corporate compliance reform practices..