刑法视角下企业合规制度证成
Proof of Corporate Compliance System from a Criminal Law Perspective

当前企业合规制度，缺乏刑法的理论支撑，本文立足于实践，从目前企业合规试点中的典型案例以及司法实践中发现问题，同时就问题所涉及的刑法法理，提出自己的看法。本文首先对企业合规制度在司法适用上进行探索，提出企业合规制度的刑法基础是单位犯罪组织体责任论；进而，对企业合规制度的适用范围进行分析，得出重罪亦能适用企业合规制度且不会违背罪责刑相适应原则；再者，我国倡导企业合规制度中企业和责任人员采以不同于域外国家的“既放过企业，也放过个体”的模式，但不能对其一概而论，应具体情况具体分析；最后，探讨企业合规制度刑法上的完善路径。
The current corporate compliance system lacks theoretical foundations in criminal law, this paper is based on practice, from the current enterprise compliance pilot typical cases and judicial practice to find the problem, at the same time on the problem involved in the criminal law jurisprudence, put forward their own views. This paper firstly explores the judicial application of the enterprise compliance system, and proposes that the criminal law basis of the enterprise compliance system is the theory of responsibility of the organisation of the corporate crime; then, it analyses the scope of application of the enterprise compliance system, and concludes that felonies can be applied to the enterprise compliance system without violating the principle of the appropriateness of the crime and the punishment; In addition, China advocates that enterprises and responsible persons in the corporate compliance system adopt a different model from that of extra-territorial countries, namely, “sparing both the enterprise and the individual”, but this cannot be generalised and should be analysed on a case-by-case basis; and lastly, it is exploring ways to improve the criminal law aspects of the corporate compliance system.