Let corporate compliance reform better release institutional dividends,
Introduce corporate compliance mechanisms into administrative reconciliation
Professor of Peking University Law School (Chen Ruihua)
As an administrative law enforcement method of consultation, cooperation and compromise, the administrative reconciliation system has been initially established in the fields of anti-monopoly law enforcement and securities supervision in my country after several years of pilot work. It is important for improving the efficiency of administrative law enforcement and optimizing administrative law enforcement. It is of positive significance to allocate resources, safeguard the interests of operators and investors, and restore market order. However, the current administrative reconciliation system does not clearly introduce a corporate compliance mechanism. In addition to ordering companies to pay commitments and take necessary remedial measures, it does not require changes in corporate governance structures and transformation of corporate culture, which weakens the role of the administrative reconciliation system in discovery. and its role in preventing administrative violations. In the future, we can absorb the concept of administrative reconciliation systems in European and American countries, evaluate the effects of administrative reconciliation experiments in the securities field in my country, learn from the successful experience of the corporate compliance supervision and inspection system of procuratorial organs, introduce compliance mechanisms into administrative law enforcement commitments, and regard compliance commitments as fulfillment Commit to the important conditions of the license agreement and regard the effect of compliance rectification as a prerequisite for terminating the administrative investigation. This will be a major legal reform issue worth exploring.
Continue to optimize the compliance and penalty linkage mechanism for the companies involved.
Professor of the Law School of Renmin University of China (Li Fenfei)
The implementation and deepening of the compliance reform of the companies involved in the case cannot be separated from the comprehensive cooperation of the administrative regulatory authorities. In the process of exploring enterprise-related compliance reforms, the procuratorial organs have also paid more attention to the role of administrative supervision departments and tried to use the existing institutional space to solve the problem of connection and cooperation with administrative supervision departments. However, since administrative supervision departments have no legal obligation to cooperate with criminal law enforcement agencies when handling corporate compliance cases, the rules and procedures for coordination and cooperation are poor, and it is inevitable that the procedures for connecting punishment and execution will not be smooth. Moreover, in terms of the connection between entities and compliance standards, there are also problems such as the difficulty in ensuring the effectiveness of compliance incentives and the difficulty in uniformly preventing illegal and criminal activities. In order to effectively solve the problem of the connection between compliance and punishment of the enterprises involved, it is not only necessary to clarify the legal responsibilities of the administrative supervision departments in law and refine the rules and procedures for connection and cooperation, but also to formulate effective connection between compliance and punishment with the relevant administrative supervision departments. Special compliance and rectification standards will be established, a "prosecutorial guidance" system in corporate crime investigations will be established, and the "two-way connection" mechanism will continue to be optimized.
Criminal compliance is consistent with rational criminal policy goals.
Professor of Nanjing University School of Law (Sun Guoxiang)
Since the new era, the criminal policy for governing unit crimes is changing. An important sign of this is that the judicial organs are taking corporate compliance reform as a current issue. An important system for controlling unit crimes has been put into practice at this stage, which reflects the joint efforts of the state and enterprises to "govern unit crimes". The punishment system for unit crimes is also quietly changing. However, in the transformation of criminal policies on unit crimes, there is also the risk of conflict between legislation and justice. The regulatory function of criminal law on unit crimes is weakened or eliminated by criminal policies. The goal of a rational criminal policy for unit crimes is that the judiciary cannot surrender to unit crimes without principles and organization, nor can it be blindly lenient or even legislate incorrectly; it cannot be strict and cannot be beaten to death with a stick, but the guilty units must be given a A chance to be reborn. Criminal compliance is consistent with this policy goal. Corporate compliance reform is not about one-way leniency for corporate crimes, but should also implement a criminal policy that combines leniency with severity.
Using green governance concepts to build a criminal compliance system
Associate professor at Fudan University Law School (Li Chuanxuan)
In recent years, my country has strengthened criminal regulations on the corporate environment , but the concept of corporate environmental criminal compliance has not yet been established, the legislative basis is insufficient, practice is limited, and the system is still lacking.
In this regard, we can try to use the concept of green governance to provide a new perspective and new ideas for its system construction. Correspondingly, the introduction of green legal governance concepts can guide and support the gradual improvement of corporate environmental criminal compliance in terms of the establishment of value concepts, the design of top-level systems, and the coordination of mechanisms and means. In short, a corporate environmental criminal compliance system based on internal governance should include basic rule design, organizational team building and supporting supervision mechanisms. The corporate environmental criminal compliance system based on external governance should mainly include the environmental criminal compliance system led by the procuratorate at the prosecution stage and the environmental criminal compliance system led by the court at the trial stage, and should include classification, incentive forms and their applicable conditions, compliance Coordinate with each other in the formulation and implementation, supervision, evaluation and acceptance of plans.
To learn more, search "International Registered Anti-Fraudster".