So, what are the benefits of these measures for enterprises? For enterprises, what is the focus of the Measures?
First, it is clearly stipulated that if the compliance construction of the enterprises involved meets the standards, the procuratorate can make a decision not to approve the arrest, change the compulsory measures or not to prosecute, and can put forward sentencing suggestions for lenient punishment; In terms of administrative violations, procuratorial opinions on lenient punishment can be put forward to the relevant authorities.
This shows that if the enterprises involved are effectively compliant, they can get lenient treatment or even a decision not to prosecute without guilt. This actually gives the enterprises involved a chance to be reborn after the case. The enterprises involved can no longer be like before. Once criminal cases are involved, they will basically face the situation that the person in charge is arrested, the enterprise closes down and the employees are unemployed. There used to be a saying that "entrepreneurs are either in prison or on their way to prison." I believe that with the promotion of corporate compliance system, this situation will gradually become history.
Nowadays, the judiciary pays more attention to crime prevention, governance effect and corporate goodness. Therefore, it shows a new and better judicial concept and compliance system for enterprise-related crimes.
Second, pay attention to combining leniency with severity, emphasize the effectiveness of compliance, and strictly prohibit becoming a mere formality.
Article 2 and 17 of the Measures clearly state that attention should be paid to the effectiveness and timeliness of compliance.
Article 5 of the Measures stipulates: "The special compliance plan formulated by the enterprises involved should be able to effectively prevent the recurrence of the same or similar illegal and criminal acts."
Article 14 of the Measures clearly stipulates that the focus of compliance evaluation is effectiveness evaluation.
At the same time, according to the provisions of Article 2, the procuratorate can not only make a decision to approve the arrest and prosecution according to law, but also make suggestions for heavier punishment. It can be seen that the effectiveness of compliance is the most important and the finishing touch.
Third, the scope of enterprises involved in compliance is specific.
Including the following two categories: first, enterprises suspected of unit crime; Second, enterprises suspected of committing crimes such as actual controllers, managers and key technicians closely related to production and business activities.
Therefore, if the enterprise is not suspected of unit crime, or if the enterprise commits a crime but has little connection with production and business activities, it does not belong to the scope of enterprise compliance.
It can be seen that the focus of enterprise compliance is to help enterprises effectively control and prevent production and operation risks and decision-making risks in company operations, and to help enterprises achieve stable and long-term success.
The fourth is to clearly define the key points of compliance construction of the enterprises involved.
1, stop the behavior, refund the income, pay the fine and cooperate with the work.
According to the provisions of Article 3, the enterprises involved in the case need to completely stop illegal and criminal activities, return illegal income, pay back taxes and late fees and pay related fines, and cooperate with the relevant work of judicial organs, administrative organs and third-party institutions.
2. Establish a compliance construction leading group.
According to the provisions of Article 4, the group consists of the actual controller, the principal responsible person and the directly responsible person in charge. When necessary, external professional organizations or professionals can be hired to participate or assist.
3. The actual controller and principal responsible person of the involved enterprise shall make a compliance commitment in the compliance plan, and clearly swear that compliance is the priority value of the enterprise.
This is clearly stipulated in article 6. It actually expressed the idea first. Before implementing compliance in your actions, accept and value compliance in your mind.
4. Compliance management institutions or managers shall be established.
This is clearly stipulated in article 7. This is an effective and compliant organizational guarantee.
5. Establish compliance management norms and other institutional mechanisms.
This is clearly stipulated in Article 8. This is the institutional guarantee for effective compliance.
6 to provide personnel, training, publicity, places, funds and other necessary human and material resources.
This is clearly stipulated in Article 9.
7. A monitoring, reporting, investigation and handling mechanism shall be established to ensure timely detection of compliance risks and timely correction and handling of violations.
This is clearly stipulated in 10. This is an effective and compliant handling guarantee.
8. A compliance performance evaluation mechanism shall be established to assess the principal responsible persons, management personnel and key technical personnel of the enterprise.
This is clearly stipulated in 1 1. This is the core guarantee of effective compliance. Only by linking compliance with the core personnel of the enterprise can we better promote compliance and realize compliance benefits.
Fifth, the focus of compliance effectiveness evaluation is clearly defined.
14 clearly stipulates that the focus of compliance effectiveness evaluation includes the following six aspects:
1. Effectively identify and control the compliance risks involved;
2. Dispose of illegal acts in time;
3. Reasonable allocation of compliance management institutions or management personnel;
4. The establishment of compliance management system and mechanism, and the full guarantee of human and material resources;
5. Normal permission of testing, reporting, investigation, handling mechanism and compliance performance evaluation mechanism;
6. The continuous rectification mechanism and compliance culture have basically taken shape.
Now that clear standards have been given, the enterprises involved and the professionals hired can start from these points and do it bit by bit to ensure the effectiveness of compliance and strive for favorable results for themselves.