摘要
基于对传统企业犯罪预防模式的反思，以及企业责任形式的转变，尤其是文化责任、结构性疏忽的采用，企业合规计划（CorporateComplianceProgram）得以产生并蓬勃发生；对于合规计划的效度问题，实证研究缘于方法论的缺陷，难以达成一致结论；从实证转向逻辑思辨，合规计划对于企业及其职员过失犯罪具有显著作用，而对于故意犯罪，则应区分犯罪主体；对于一般企业职员及中层管理人员的故意犯罪具有一定作用，但对于企业高层职员则难见成效；基于对合规计划及其成效的分析，文章提出选择性借鉴的观点，增加激励机制，严厉刑罚，同时避免合规计划的过度适用引起的诸多问题。
Base on the rethinking of traditional model of corporate crime prevention, and the transformation of corporate liability form, especially the adoption of cultural liability and structural negligence, corporate compliance program came into being and flourished; as for the validity of compliance program, due to the defects of methodology, empirical studies can not come to an agreement;transfer from empirical study to logical thinking, compliance program has a significant role in preventing corporate crimes and crimes of its employee, as for intentional crimes, it depends on criminal subjects;it works in preventing intentional crimes conducted by common employees and middle-level managers, but it is invalid for senior officers. Base on the analysis of validity of compliance program, the paper puts forward opinions of adopting incentive mechanism and making punishment much more severe as well as avoiding problems caused by overusing of compliance program.
出处
《南京大学法律评论》
CSSCI
2014年第1期227-239,共13页
Nanjing University Law Review
基金
孙国祥教授主持的司法部课题“预防和惩治腐败的刑事法律研究”(项目编号:12SFB2026)的阶段成果
同时是笔者主持的江苏省研究生科研创新计划项目“合规计划与企业犯罪预防研究”(项目编号:CXZZ13_00)的阶段成果
同时受到国家留学基金资助
关键词
合规计划
企业犯罪预防
效度
Compliance program
Corporate crime prevention
Validity
