[People's Daily] When the compliance reform of the enterprise involved in the case is underway

"People's Daily" July 14th version of the face map

Core reading

In order to build a business environment for the rule of law and enterprise, the company's procuratorial organs have fully launched the pilot reform of corporate compliance reform involved in the case. While the procuratorate handles criminal cases involving enterprises, while making non -approved arrests and decisions of not prosecution in accordance with the law, the enterprise involved in the case of compliance commitments and actively rectified the implementation of the enterprise in response to the suspected crime of the enterprise, and promoted the law -abiding operation of the enterprise. How to advance the corporate compliance of the company? What problems are worthy of attention?

"Compliance rectification has allowed us to truly realize Nirvana's rebirth, and the company's business philosophy has changed from benefits to compliance and benefits." The person in charge of an information technology Co., Ltd. said, "Thanks to the compliance reform of the company involved in the case, the company camp in 2021 was in 2021. The increasing increase of more than 20%, the taxable amount increased by more than 4 times year -on -year. "

The corporate compliance reform involved in the case refers to the procuratorial organs' criminal cases involved in the enterprise in accordance with the law, while making decisions of not approved arrests, not prosecuted decisions, or proposing a gentle and sentenced tolerance for a lenient to conviction and punishment. Combining the actual situation of the case, urging the enterprises involved in the case to make compliance commitments and actively rectify the implementation, promote the laws and regulations of enterprises, and reduce and prevent corporate crimes.

This year's "Work Report of the Supreme People's Procuratorate" clearly stated that "focusing on creating a business environment for the rule of business and benefiting enterprises." On April 2nd, the Supreme Prosecutor, the National Federation of Industry and Commerce held a special meeting. The pilot reform pilot involved in the case involved in the case was fully launched in the national procuratorial organs to further release the judicial dividends to better serve the high -quality economic and social development in procuratorial performance.

What does compliance rectification bring

The procuratorial organs supervise the enterprises involved in the case to carry out rectification, and handle the company with rectification and effectiveness.

"Wang is the person in charge of our company's responsibility for investment and financing. After he was detained, the company's four investment projects were stranded. The three investment and financing projects stagnated. The project involved in 1 billion yuan could not be accepted normally."

Due to the weak legal awareness, the company's executives leaked the project information learned in the work to the third party and involved in the leakage of inside information cases. In August 2021, the second branch of the Beijing Procuratorate accepted the case. During the case review, the company submitted an application for compliance rectification to the Second Branch.

"The company used to be a car electronic manufacturing enterprise with an annual output value of over 2 billion yuan, and has obtained more than 700 patents and software copyrights. Since 2018, the company has transformed from manufacturing enterprises to production and finishing enterprises. It is identified as a national science and technology enterprise incubator. "Jiang Xingwei, director and prosecutor of the Fourth Procuratorate of the Second Branch of the Beijing Procuratorate, said that the case exposes the typical issues of the development of private enterprises with heavy benefits and light governance. A certain opportunity to do a compliance "treatment" for the enterprise, I believe that the company can make greater contributions in the future.

In order to control the rectification direction of the corporate compliance involved in the case, the procuratorial organs apply for a third -party supervision and evaluation mechanism to carry out professional corporate compliance rectification after deepening the causes of crimes. After rectification, the company regulated operating decision -making power, and set up the compliance committee and compliance commissioner in the enterprises and subsidiaries involved in the case to simultaneously build a compliance management system and embed the compliance work into the business process. After public hearing, the company passed the acceptance. After Wang returned to his post, the project he was responsible for was completed and waited for acceptance, and many projects, funds, cooperation and other projects led by him have also been steadily promoted in accordance with the new rules and regulations.

In January of this year, the court made a judgment on the case, adopting all the criminal facts and sentencing suggestions accused by the procuratorial organs. "It is not easy for private enterprises to develop, and it is more difficult to cultivate and retain talents. Through this rectification, we have a deeper understanding of the importance of strengthening the construction of internal mechanisms." The person in charge of the company said.

"'After the case, the fact that the factory is not the pursuit of judicial cases." Gao Jingfeng, director of the compliance of the Supreme Prosecutor's Compliance Issue Research and Guidance Working Group and Director of the Legal Policy Research Office, in recent years, the procuratorial organs have carried out corporate compliance reforms involved in the case. The opportunity to rectify the regulations involved in the case, after investigation, is effectively handled from wide, so that the enterprise "survive", "keep", "well operate", so that enterprise employees can continue to work with peace of mind.

How to advance the pilot reform

Adhere to the red line of "strictly in accordance with the law", comprehensively use judicial policies, and innovate judicial means

In the past two years, the compliance reform involved in the case has attracted the attention of all parties once it was launched. While affirming that it releases the judicial dividend of An commercial enterprise, many people also have doubts about this system: "Does the compliance system involved in the case meet the reality of development?"

In fact, this system has been continuously improved in the pilot of the reform: starting in March 2020, the Supreme Prosecutor's deployment in 6 grass -roots procuratorates including Zhangjiagang City, Jiangsu Province, and Shenzhen Baoan District, Jiangsu Province carried out the pilot reform of corporate compliance reform involved in the case; from March 2021, 2021 On the basis of summing up the first batch of pilot experience, the highest prosecution was deployed in 10 provinces including Beijing, Shanghai, Jiangsu, and Zhejiang to carry out the second phase of the pilot work, and the scope of the pilot was extended to 62 municipal houses and 387 grassroots courts.

"In the pilot, we comprehensively use judicial policies and innovate judicial means to allow the enterprises involved in the case to re -enable the operating vitality through compliance construction." The relevant person in charge of the Zhejiang Provincial Procuratorate introduced that as the second batch of pilot provinces, Zhejiang's companies involved in the case are mostly small and medium -sized companies. The actual situation of micro -camping enterprises actively explores the working path of compliance reforms suitable for small and medium -sized enterprises, and solve problems such as high dependence of private enterprises and private entrepreneurs, lack of awareness of corporate compliance, and insufficient ability. "However, in the advancement of reform, we must also focus on preventing three risks." The relevant person in charge of the Zhejiang Provincial Procuratorate said that to prevent the risk of "utilitarianization", avoid reforming for "sin", and ensure that the case can stand the legal test; Prevent the risk of "bonsai", avoid only highlighting cases, ignore the overall planning and deployment of work; prevent "formalize" risks, seek truth from facts, and do not set up flowers.

As of the end of May this year, a total of 1,777 corporate compliance cases were handled by procuratorial organs across the country. After two phases of reform pilots, 10 pilot provinces' procuratorial organs handled 766 corporate compliance cases. Among them, 333 companies and 1106 people who rectified compliance made decisions of non -prosecution in accordance with the law and achieved good results in handling.

"To adhere to the red line of 'strictly in accordance with the law', the existing exploration must be carried out within the framework stipulated by the law. From the beginning, this system must be 'compliance' and stable." The procuratorate accurately grasped the connotation of reform, organized the corporate compliance reform and implementation of the criminal judicial policies of the "less arrest", and the implementation of the guilty and confession and punishment. Ensure the political effects, social effects, and legal effects of case handling.

What is the focus of strengthening the norms?

Establish a third -party supervision and evaluation mechanism, and investigate and evaluate the compliance commitments of the enterprise involved in the case

Is corporate compliance rectification in place and how to judge? With the deepening of the reform pilot, the regulatory issues of corporate compliance supervision and inspection procedures are even more prominent, and it is becoming more and more important to do a good job of reforming the "second half of the article".

In June 2021, the nine departments such as the Supreme Prosecutor and the National Federation of Industry and Commerce formulated and issued the "Guiding Opinions on Establishing an Enterprise Compliance Third -Party Supervision and Evaluation Mechanism (Trial)", and promoted the "strict management" of enterprises involved in the case through a sound professional supervision system. Institutionalization to ensure that supervision and evaluation are objective, fair, and effective. At the beginning of September last year, the nine departments established the establishment of a third -party supervision and evaluation mechanism management committee (hereinafter referred to as the "third -party mechanism management committee"). Three -party mechanism management committee. Recently, four departments such as the Ministry of Human Resources and Social Affairs, the Ministry of Emergency Management, the Customs Department, and the Securities Regulatory Commission have joined the third -party mechanism management committee, and the fields are wider and stronger.

"The procuratorial organs should strengthen the" case "of the" case "of the third -party mechanism. According to the introduction, the third -party supervision and evaluation organization composed of the third -party mechanism management committee (hereinafter referred to as the "third -party organization"), investigate, evaluate, supervise and inspect the compliance commitments of the enterprise involved. Important reference.

Starting compliance rectification does not mean "sin." In a mining company in Suizhou, Hubei Province illegally occupying agricultural land cases, third -party organizations have given the results of the compliance with compliance supervision motivation, false pleasure, and inadequate rectification. For "unqualified". The procuratorial organs have filed a public prosecution in accordance with the law and resolutely prevent enterprises with poor rectification effects from evading criminal sanctions through compliance.

"Those who are unqualified or effective after the rectification or rectification, or after the evaluation and review are invalid." Gao Jingfeng said that the procuratorial organs will focus on the industry supervision loopholes and social governance issues behind the case, and take the initiative to communicate with the administrative department to communicate with the competent administrative department Through the development of procuratorial advice and other methods, help the compliance of cases to the industry compliance, and strive to achieve the effect of "handling cases together, helping a group of enterprises, and regulating an industry". (Author of People's Daily: Zhang Yan Drawing: Wang Zheping)

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