侦查阶段推进企业合规的中国模式与具体路径
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国家社会科学基金项目"企业合规附条件从宽制度研究"(22FFXB062);安徽省侦查逻辑办案研究会重大课题"企业合规改革在侦查阶段的适用路径研究"(AHZC2022A03)


The Chinese Model and Specific Path for Promoting Corporate Compliance in the Investigation Stage
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    摘要:

    企业合规工作向侦查阶段前移是该制度持续发展的应有之义与改革趋势。在侦查阶段开展合规工作能够从源头保护民营企业权益、有力推动企业合规全流程运作、客观缓解合规考察期不足的压力。域外的企业合规在侦查阶段主要有两种模式:一为在"平等合作"检警关系背景下产生的英国检警一体模式,二为在"检察主导"检警关系背景下产生的法国检警分设模式。我国的司法实践应当在坚持具有中国特色的检警协作模式基础上,合理借鉴域外经验,依托已有的侦查监督与协作配合办公室,合理分配侦查人员和检察人员的职权,理顺具体程序运作方式,完善相关配套机制,以实现检警高效联动,共同推进侦查阶段企业合规工作的有序开展。

    Abstract:

    To move the corporate compliance work to the investigation stage is not only the integral component of its sustainable development, but also a trend in our reform. Conducting compliance work at the investigation stage can protect the rights and interests of private enterprises from the beginning, strongly promote the operation of the whole process of the corporate compliance, and effectively alleviate the pressure caused by the insufficient duration of the compliance investigation. There are two main foreign modes of the corporate compliance during the investigation stage: one is the British prosecutor-police integration model, which was generated under the background of their "equal cooperation" relations, and the other is the French prosecutor-police separation model, which was generated under the background of the prosecutor’s leading role in their relations. On the basis of the cooperation model with Chinese characteristics, China’s judicial practice should reasonably draw on foreign experience, make use of the existing investigation supervision and cooperation offices, appropriately allocate the powers of investigators and prosecutors, streamline specific procedural operation, and improve relevant supporting mechanisms, so as to achieve efficient linkage between prosecutor and police, and promote the orderly development of the corporate compliance work during the investigation stage in a coordinated way.

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刘少军,王宇涵,刘子昂.侦查阶段推进企业合规的中国模式与具体路径[J].安徽农业大学学报社科版,2023,32(4):87-94

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  • 收稿日期:2023-05-06
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  • 在线发布日期: 2023-09-16