摘要
域外刑事合规制度及法人犯罪归责的理论基石是法人自治,自然人与法人之间因法人有效自治相分离。基于法人理论的多元价值与政策目的的强势驱动,我国合规改革并不以法人自治为核心的归责路径为基础,甚至不以法人刑事责任为前提,与刑法理论产生剧烈冲突。单位和自然人“双不起诉”违背责任主义;单位合规整改如何能够实现实体法上责任的变动尚不明确,合规不起诉之“程序出罪”欠缺实体法基础。我国刑事合规改革所面对的现实状况多维复杂,需要基于实定法转换视角进行本土解释论证。区别于聚焦法人犯罪行为的正向分析模式,基于实定法中法人刑事责任主体特殊设置的逆向思考,跳脱法人自治欠缺的困局,在一定程度上可以化解刑法理论冲突。通过责任主体分析可明晰我国的部分法人犯罪本质是与法人人格交融的自然人犯罪,法人犯罪与法人刑事责任可能产生分离,由此“双不起诉”的责任主义危机得以缓释,涉单位犯罪的合规整改不以单位刑事责任存在为前提亦具有一定的合理性。
The theoretical cornerstone of the criminal compliance system and the imputation of liability for crimes committed by corporations in foreign countries is the autonomy of corporations, and the separation of natural persons and corporations due to the effective autonomy of legal persons. China’s compliance reform is strongly driven by policy purposes, and is not based on the path of attribution of corporate autonomy as the core, or even on the premise of criminal liability of corporations, which is in sharp conflict with criminal law theory. The "dual non-prosecution" of units and natural persons is contrary to the doctrine of responsibility;it is not clear how the unit compliance reform can achieve the change of responsibility in substantive law, and the "procedural exoneration" of compliance non-prosecution lacks the basis in substantive law. The realities and the tasks expected to be accomplished by China’s criminal compliance reform are multidimensional and complex, and require local interpretative arguments based on the perspective of the transformation of the substantive law. Different from the normal analysis model focusing on the criminal acts of legal persons, the reverse thinking based on the special setting of the subject of corporation’s criminal responsibility in the substantive law to escape from the dilemma of the lack of autonomy of corporations can, to a certain extent, resolve the conflict of criminal law theory. Through the analysis of the subject of responsibility, it is clear that some of the crimes committed by corporations in China are crimes committed by natural persons intermingled with the personality of corporations, and the crimes committed by corporations may be separated from the criminal responsibility of corporations, thus the crisis of "double non-prosecution" can be alleviated, and the compliance reform of crimes involving units is not premised on the existence of criminal responsibility of units. The compliance reform of unit crime is not premised on the existence of unit criminal liability. However, the local integration of corporate autonomy is the theoretical premise for the deep development of compliance non-prosecution and the development direction of the theory of corporate crime in China.
作者
董文蕙
尹锐平
Dong Wenhui;Yin Ruiping
出处
《青少年犯罪问题》
2022年第6期87-105,共19页
Issues on Juvenile Crimes and Delinquency
基金
国家社科基金一般项目“金融科技企业融资犯罪风险的刑事合规研究”(21BFX060)
教育部社会科学基金“被害人视角下涉P2P集资类犯罪的刑法规制研究”(19YJC820009)
最高人民检察院检察理论研究课题“金融科技犯罪的刑事合规治理研究”(GJ2021D14)的阶段性研究成果。
关键词
合规不起诉
法人刑事归责
法人自治
责任主体分析
compliance non-prosecution
corporation criminal liability
corporation autonomy
responsibility subject analysis
