[Procuratorate] Zhong Ruiyou: In order to improve the compliance of the enterprise involved in the case, the "six key points" need to be achieved

The business environment is the soil for the survival and development of enterprises, and the rule of law is the best business environment. At present, under the impact of the century's epidemic, the 100 -year -old change has accelerated, and more practical difficulties have encountered more actual difficulties. In this era, to accelerate the improvement of corporate compliance reforms involved in the case and continue to stimulate the vitality of the market subject. It is a key move to implement the requirements of performing duties in accordance with the law and promoting the optimization of the business environment. Service guarantees should choose for common prosperity.

Zhong Ruiyou, Secretary of the Party Group and Attorney General of the People's Procuratorate of Jinhua City, Zhejiang Province

Attorney General Zhang Jun of the Supreme People's Procuratorate pointed out that "the procuratorial performance is to help build a corporate compliance system with Chinese characteristics." Jinhua City, Zhejiang Province, has developed its business economy, and the total market entity ranks second in the province. It has a strong actual needs and practical prospects of corporate compliance involved in the case. Jinhua's procuratorial organs scientifically grasp the dialectics of "stability" and "entering", try first, and advance steadily. In September 2020, they took the lead in launching the "Corporate Compliance Process and Documents Guidelines" nationwide Formation "practical guidance. Formulate the "Guiding Opinions on Promoting Enterprise Compliance Construction (Trial)", and shall sign the "Opinions on Establishing a Third -Party Supervision Evaluation Work Mechanism (Trial)" with 24 units including the Municipal Federation of Industry and Commerce and the Finance Bureau, , Dongyang, Pujiang and other places followed in and out of the platform to refine measures, effectively constructing the "Jinhua sample" of corporate compliance.

It is not to avoid that there are still some problems in the practice of corporate compliance. The first is that the "source of the case" is not deep. During the investigation stage, it is less to discover the source of the case as early as possible by intervening in investigation guidance or communication. The second is that there are not many cases of the case. The crimes involved in the case are concentrated in the dedicated VAT invoices, the production and sales of fake and shoddy products, and the bidding for bidding. The third is that the "subject" is not wide, and it is more concentrated in small and micro enterprises, and has less applications for large and medium -sized and multinational enterprises. The fourth is that the comprehensive "consideration" is not enough. When the corporate compliance case is reported to the approval, due to the shorter acceptance time, the understanding of the torture plot is not deep enough, and at the same time, the company's production and operation status and future development prospects are not fully understood. Fifth, the mechanism "supporting" is insufficient, and compliance review, compliance supervision, compliance evaluation, etc. need to establish a standard system that can be generally applicable and meets the characteristics of the case.

The problem is the voice of the times. In order to effectively respond to the actual issues facing enterprise compliance, we should deepen the "capable judicial procuratorial", adhere to the combination of theory and practice, and focus on reforming thinking, innovative concepts, and pragmatic measures. The rules are stable and far away.

First, strengthen coordination and coordination, and focus on the key to "integrated development". Promote the compliance reform of the enterprise involved in the case, organize the planning and responsibility to transmit the role of "leading the general". Internal, the integrated regional strength is strong "internal power". Jumping out of the inertia thinking of "corporate compliance is the work of economic criminal procuratorial department", establish a "one account" involved in the corporate compliance involved in the case, and take the lead in handling corporate compliance cases. Jinhua City Procuratorate established a procuratorial office of the enterprise -related case governance office in various districts and counties to form a strong internal force. External, highlight the "external force" of linkage collaboration. In order to be "the big of the country", take the initiative to integrate into the overall situation of the local work, report the corporate compliance work in a timely manner to communicate to the party committee and government, carry out work under the collaboration of the functional departments, do not engage in mutual division, respect each other, and focus on the introduction of experts and scholars. Participate in the design and promotion of corporate compliance work involved in the case, and realize the organic integration of judicial and administrative systems, policies, and means.

Second, expand the source of compliance cases and grasp the key to "boutique cases". Follow the logic of the "extension source-refined case-protection enterprise". The first is to expand the source of the case. What is the scale of the enterprise involved in the case, as long as the confession and punishment, normal production and operation, commitment suggestions or improvement of corporate compliance systems, basic conditions for starting a third -party mechanism, and voluntary application can be carried out. The second is a boutique handling. Establish a sense of boutique case handling, apply each enterprise compliance case as a fine case and typical case, and truly achieve "handling cases together, assisting some enterprises, and regulating an industry." The third is characteristic escort. In the form of compliance, it is necessary to comply with reality and depending on the enterprise. In addition to "paradigm compliance", it can innovate the "simple compliance" in the form of "Enterprise Compliance Risk", as well as the industry and universality of the industry and universality The risk point of illegal regulations has carried out "case -like compliance" in the form of procuratorial suggestions and procuratorials to help enterprises rejuvenate their vitality.

Third, adhere to the key to strictly, and focus on the key to "efficient supervision". On the one hand, the review of the compliance case was strengthened before the launch of the case. Focus on strengthening the internal and hierarchical reviews to ensure that before the approval of the case layer, fully clarify the facts of the basic criminal, the parties used by the parties involved, whether there are heavy or light sentencing circumstances, the attitude of confession and regret, the willingness and ability to carry out compliance, and the willingness and ability to carry out compliance, The setting of third -party regulatory organizations and inspection periods, and whether there is any factors that are not suitable for compliant cases. On the other hand, optimize the third -party regulatory evaluation mechanism. Give full play to the basic role of third -party supervision in the reform of the corporate compliance involved in the case, and the procuratorial organs will review the list of third -party professionals to ensure the professionalism of supervision and evaluation; strengthen the review of the compliance programs and third -party evaluation conclusions, implement the tour of the tour The institutional requirements of inspection, the avoidance of personnel from third -party organizations, and the legal rights protection involved in the case involved in the case to avoid "false rectification" and "compliance corruption".

Fourth, the key to promoting the governance of the source of complaints and focusing on the "judicial rehabilitation". It is necessary to adhere to the objective and fair stance, make full use of cases such as non -arrest, non -prosecution, etc., and the requirements for reviewing the necessity of detention, and social governance procuratorial recommendations to provide accurate and effective procuratorial assistance for corporate compliance governance. It is necessary to give full play to the function of compliance hearing, expire for the compliance inspection period, and organize a hearing in a timely manner, invite the representatives of the enterprises involved in the case, the representative of the third -party regulatory organization, and the hearing to participate together to determine whether the enterprise meets the compliance requirements and maximize the release of judicial goodwill. We must be able to move deep "judicial rehabilitation". Make good use of the procuratorial "toolbox", and put forward the opinions of industry governance or social governance on the "behind the case" of the case. For example, the Dongyang Procuratorate's collusion bidding series of bidding series, led the departments of the construction and construction departments to introduce the "Guidelines for Bidding for Bidding for Construction Enterprises" to promote the industry governance in the bidding field of housing construction and municipal infrastructure project construction projects. Fifth, the key to building a compliance ecology and focusing on "multi -dimensional integration". On the one hand, theory and practice are integrated. Based on the practice of corporate compliance case handling, strengthen the research on the theoretical project, promote the transformation of the results of case handling to theoretical results and institutional achievements, and combine the "same" and "different" between regions to explore more references and replication Experience and form a model of corporate compliance. On the other hand, the body and part of the blend. Enterprise compliance is a "big body" that needs to be specified, complete, and systematically established, and establishing a trinity system of "criminal compliance, administrative compliance, and active compliance". As for the actual situation facing compliance companies, we must classify policies to avoid "one -size -fits -all". For enterprises facing serious administrative penalties such as market ban, procuratorial organs can propose suggestions to administrative agencies properly to the administrative organs to help enterprises avoid re -falling into operating dilemma due to losing their business qualifications.

Sixth, focusing on digital reforms and focusing on "digital empowerment". Deeply implement the strategy of procuratorial big data, rely on digital reform methods, need productivity to technology, and add motivation to corporate compliance. In this regard, the Jinhua Procuratorate explores the research and development of "one thing of enterprise compliance" through multi -application scenarios to build an enterprise compliance application platform, establish data research and judgment centers of enterprise -related cases, circulation centers for corporate compliance cases, legal service centers, and social governance. The center will introduce the enterprise administrative supervision data, daily production and operation data, third -party regulatory data and other import platforms, build the "data pool" of corporate compliance issues involved in the case, integrate legal services related to enterprises, and realize online closed -loop circulation and circulation of corporate compliance cases Revisiting the whole process, allowing companies to enjoy the "judicial dividend" and draw the wisdom of digital procuratorial.

Source | China News Network

Edit | Wang Jirong

Review | Wu Ping

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