Research On The Third Party Supervision And Evaluation Mechanism For Enterprise Criminal Compliance

Since China launched the pilot reform of corporate criminal compliance in 2020,how to supervise the enterprises involved in the case to achieve effective compliance rectification has become a major issue for local procuratorial organs,and active exploration has been carried out on this basis.In June 2021,the Supreme People’s Procuratorate jointly issued the "Guiding Opinions on Establishing a Third Party Supervision and Evaluation Mechanism for the Compliance of Enterprises Involved in Cases(Trial)",which introduced the third party supervision and evaluation mechanism into the criminal compliance reform of enterprises and fully implemented it as the core and focus of the entire criminal compliance reform.At present,the third-party supervision and evaluation mechanism has become a general compliance supervision method and is being widely applied in practice.Different operating modes have also been created at various nodes of the mechanism operation in various regions.While achieving rich practical results,it is necessary to evaluate and summarize the current operational effectiveness of the mechanism,explore the main differences and difficulties in its operation,and further optimize and improve key issues to improve the effectiveness of its operation.Starting from the necessity and feasibility analysis of the third-party supervision and evaluation mechanism,this article elaborates on the practical value and construction significance of the third-party supervision and evaluation mechanism.Combining with the current operating status of the third-party mechanism,it analyzes the main differences and difficulties that arise during the operation of the mechanism,and proposes suggestions for refining the system operation process and improving the effectiveness of compliance rectification.In the process of practice,the practical value of third-party supervision and evaluation mechanisms for corporate criminal compliance reform has been fully confirmed.At the same time,the criminal compliance reform has been fully implemented through two different models,and the establishment of a third-party mechanism as a regulatory model has been ultimately determined.The feasibility of the third-party mechanism has also been confirmed.Based on the current judicial practice achievements and relevant supporting documents,the focus of subsequent reforms is on how to achieve the effectiveness of the involved enterprises through the operation of third-party mechanisms.Rectification.Therefore,based on this,the key links such as the applicable conditions,operating cost assumption,selection of regulatory personnel,and final acceptance standards of the third-party mechanism in the operation process still need to be refined.To address the above issues,optimize the rules for the operation of third-party mechanisms and refine the applicable conditions of third-party mechanisms;Determine the cost burden based on the scale of the enterprise and the social hazard burden;Set entry thresholds for third-party regulators and strengthen management;Simultaneously,establish a closer connection between the acceptance criteria and the rectification process;While optimizing the operation of third-party mechanisms,we should strengthen the connection between criminal compliance and administrative supervision,so that the operational results of third-party mechanisms can continue to be effective.During the operation of third-party mechanisms,we can help enterprises complete compliance rectification while enhancing their awareness of independent compliance capabilities,so that after completing compliance rectification,the established compliance system can still operate effectively for a long time.Ultimately achieving the goal of effective rectification of the involved enterprise.