Initiation Conditions of the Compliance Non-prosecution Inspection Process

LI Yu-hua; LI Hua-chen

doi:10.19979/j.cnki.issn10082689.2022040006

Volume 38 Issue 5

Oct. 2022

Turn off MathJax

Article Contents

Abstract

References

Article Navigation > Journal of University of Science and Technology Beijing ( Social Sciences Edition) > 2022 > 38(5): 563-570

LI Yu-hua, LI Hua-chen. Initiation Conditions of the Compliance Non-prosecution Inspection Process[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(5): 563-570. doi: 10.19979/j.cnki.issn10082689.2022040006

Citation:

LI Yu-hua, LI Hua-chen. Initiation Conditions of the Compliance Non-prosecution Inspection Process[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(5): 563-570. doi: 10.19979/j.cnki.issn10082689.2022040006

Citation:

PDF( 942 KB)

Initiation Conditions of the Compliance Non-prosecution Inspection Process-Taking the Typical Cases of Enterprise Compliance Reform Pilot of the Supreme People’s Procuratorate as a Sample

doi: 10.19979/j.cnki.issn10082689.2022040006

Law School, People’s Public Security University of China, Beijing 100038, China

Received Date: 2022-04-05
Available Online: 2022-10-10
Publish Date: 2022-10-25

Abstract

Abstract

In June and December 2021, the Supreme People’s Procuratorate issued two batches of model cases of enterprise compliance, showing that the procuratorial organs apply the compliance non-prosecution system, through the third-party supervision and evaluation mechanism to supervise and help enterprises to carry out compliance rectification and compliance construction to ensure the stable development of enterprises. In order to ensure the fair application of the compliance non-prosecution system and the smooth progress of the compliance inspection, certain conditions should be set for the start-up of the compliance non-prosecution inspection procedure. Three conditions should be met for initiating the compliance inspection procedure for the enterprise involved in the case: First of all, the enterprise involved in the case should plead guilty and admit the facts of the alleged crime; be willing to accept criminal or administrative punishment, actively cooperate with the investigation and conduct internal self-investigation, and take relevant restoration or remedial measures. Secondly, the enterprise should have the compliance ability, be able to operate normally, and ensure the smooth progress and steady progress of the compliance inspection. Finally, enterprises should make compliance commitments, promise to carry out compliance rectification, strengthen compliance construction, and actively cooperate with compliance supervision.
- compliance inspection,
- initiation condition,
- plead guilty and accept punishment,
- compliance ability,
- compliance commitment.

FullText(HTML)

References(21)

References

[1]	陈瑞华. 企业合规出罪的三种模式[J]. 比较法研究,2021(3):69-88.
[2]	最高人民检察院. 最高检发布企业合规改革试点典型案例[EB/OL]. （2021-6-3）[2022-3-11]. https: //www.spp.gov.cn/spp/xwfbh/wsfbh/202106/t20210603_520232.shtml.
[3]	最高人民检察院. 企业合规典型案例（第二批）[EB/OL]. （2021-12-15）[2022-4-20]. https: //www.spp.gov.cn/spp/xwfbh/wsfbt/202112/t20211215_538815.shtml#2.
[4]	陈瑞华. 企业合规不起诉改革的八大争议问题[J]. 中国法律评论,2020(4):1-29.
[5]	张军. 最高人民检察院工作报告−2021年3月8日在第十三届全国人民代表大会第四次会议上[J]. 中华人民共和国最高人民检察院公报,2021(2):1-10.
[6]	李勇. 检察视角下中国刑事合规之构建[J]. 国家检察官学院学报,2020,28(4):99-114. doi: 10.3969/j.issn.1004-9428.2020.04.007
[7]	李玉华. 以合规为核心的企业认罪认罚从宽制度[J]. 浙江工商大学学报,2021(1):61-71. doi: 10.14134/j.cnki.cn33-1337/c.2021.01.006
[8]	魏晓娜. 背叛程序正义——协商性刑事司法研究[M]. 北京: 法律出版社, 2014.
[9]	陈卫东. 从实体到程序:刑事合规与企业“非罪化”治理[J]. 中国刑事法杂志,2021(2):114-126. doi: 10.19430/j.cnki.3891.2021.02.007
[10]	朱孝清. 企业合规中的若干疑难问题[J]. 法治研究,2021(5):3-17. doi: 10.3969/j.issn.1674-1455.2021.05.001
[11]	陈瑞华. 论协商性的程序正义[J]. 比较法研究,2021(1):1-20.
[12]	陈瑞华. 刑事诉讼的合规激励模式[J]. 中国法学,2020(6):225-244. doi: 10.14111/j.cnki.zgfx.2020.06.012
[13]	MCCONNELL R D. Plan now or pay later:the role of compliance in criminal cases [J]. Houston Journal of International Law, 2011, 33(3):509-588.
[14]	陈瑞华. 企业合规不起诉制度研究[J]. 中国刑事法杂志,2021(1):78-96.
[15]	潘志成. 美国《反海外腐败法》最新发展及企业合规启示[EB/OL]. （2019-11-27）[2022-3-18]. https: //mp.weixin.qq.com/s/L8RDBni8mYaL4ttg5Tg_pg.
[16]	黎宏. 合规计划与企业刑事责任[J]. 法学杂志,2019,40(9):9-19.
[17]	陈卫东. 认罪认罚从宽制度研究[J]. 中国法学,2016(2):48-64.
[18]	赵恒. 刑事合规计划的内在特征及其借鉴思路[J]. 法学杂志,2021,42(1):66-79.
[19]	叶伟忠. 检察环节构建涉罪企业合规考察制度的探讨[J]. 人民检察,2021(5):32-36. doi: 10.3969/j.issn.1004-4043.2021.05.009
[20]	徐日丹. 促进“严管”制度化, 防范“厚爱”被滥用[N]. 检察日报, 2021-04-09（001）.
[21]	李本灿. 企业视角下的合规计划建构方法[J]. 法学杂志,2020,41(7):76-83. doi: 10.16092/j.cnki.1001-618x.2020.07.009

Relative Articles

[1]	YIN Jiang-Cheng. Personality, Method, Identity: “Person in Abstract” and the Stray of Intellectual Reality[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2022, 38(6): 613-620. doi: 10.19979/j.cnki.issn10082689.2022060120
[2]	ZHANG Jian, YE Lan. The Influence of Employees' Occupational Stress on Parents' Childcare Affect[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2013, 29(6): 74-81.
[3]	REN Yun-xia. Investigation on the Occupation Burnout of Social Workers——With the Social Workers in Shenzhen as Examples[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2013, 29(2): 40-45.
[4]	WANG Jiu-gao, ZHANG Shun-yue. The Dissension and Introspection about Intelligentsia Issue in CCP around 1956[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2013, 29(3): 104-108.
[5]	WU Fan, LIN Chuan. Gender Differences of Occupational Stress and an Intervention Model from Social Work Perspective[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2012, 28(3): 113-121.
[6]	LIU Jing, HAN Chen-guang, GE Hai-yan. Employment of College Graduates and Its Inspiration for Career Development Education[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2012, 28(1): 93-97.
[7]	WANG Li-qun. A Study of the Modern Chinese Intellectuals’Thought Process of Accepting the Western Culture Through Wang Tao’s Letters in the London Mission Society Press Period[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2009, 25(4): 125-132.
[8]	ZHANG Zhong-li. On the Professionalism System of Public Human Resources Management in America[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2008, 24(1): 50-53.
[9]	YANG Xiao-ming, JIN Long, ZHANG Yan. Survey on British National Student Satisfaction[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2008, 24(1): 145-148.
[10]	WANG Xiao-ying. Intellectuals' Criticism, Self-confidence and Status——From a Perspective of “Updike in China”[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2008, 24(2): 88-91.
[11]	CHENG Mei-dong, HU Shang-yuan. Chinese Intellectuals and the CPC During the Anti-Japanese War: WEN Yi-duo, WEI Jun-yi, ZOU Tao-fen and LI Ding-ming[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2007, 23(1): 117-123,161.
[12]	WANG Si-bin. The Professionalization of Social Work in System Transformation[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2006, 22(1): 1-5,12.
[13]	ZHANG Xiao-mei, TONG Ren-cheng, XU Jian. An Analysis of the Typical Profit Models for the European Professional Soccor Clubs[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2005, 21(4): 122-126.
[14]	QIAN Da-yi. The Nonparty Intelligentsia's Cognition and Opinion about College's Reformation[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2001, 17(2): 92-94.
[15]	GAO Li-peng. A Study on the Mental Support of the Old Intellectuals——A Surrey of the Retired Teachers of a University[J]. Journal of University of Science and Technology Beijing ( Social Sciences Edition), 2001, 17(1): 9-13.