论日本协议·合意制度及其在法人犯罪中的应用——兼论中国涉案企业合规改革之路径

Cooperative Agreement System in Japan and Its Application in Corporate Crime: On the Reform of Corporate Compliance in China

  • 摘要: 2016年,日本《刑事诉讼法》正式确立了带有司法交易性质的协议·合意制度。在司法实践中,以查明共同犯罪为初衷的协议·合意制度,逐渐同法人犯罪侦查与涉案企业合规相结合,发挥着企业防卫功能与刑事告发促进功能。在协议·合意制度之下,日本企业的侦查、审判协助对于检方查明案件事实、获取相关证据具有积极作用。因此,协议·合意制度之下的案件程序分流,也逐渐成为企业合规的刑事激励手段之一。但是,关于日本协议·合意制度,一直存在“使用带有交易性质的侦查方法是否得当”“引入不过度依赖讯问笔录的新证据收集方法是否确有必要”等质疑。受此影响,协议·合意制度在法人犯罪领域的应用及其边界也一直存有争议。对于我国而言,企业合规是我国企业走向世界的必经之路。在借鉴美国等先行国家利用不起诉或暂缓起诉等程序分流制度激励企业合规的同时,日本在法人犯罪中适用协议·合意制度对法人问题、企业董事善管注意义务以及企业内部调查机制的探讨也值得参考。在此基础之上,可以结合我国认罪认罚从宽等制度,多元化实现企业合规的刑事激励作用。

     

    Abstract: In 2016, the "Cooperative Agreement System", with the nature of judicial bargaining, is formally established in the Code of Criminal Procedure of Japan. The Cooperative Agreement System, with the original intention of identifying joint crimes, has gradually been combined with the investigation of corporate crimes and the compliance of corporate involved in cases, playing the functions of corporate defense and criminal reporting promotion. Under the Cooperative Agreement System, the corporates' cooperation on investigation and trial has a positive effect on the prosecution's fact ascertaining and evidence collecting. Therefore, the procedural diversion under the Cooperative Agreement System has gradually become one of the criminal incentives for corporate compliance in Japan. However, there have always been doubts on the Cooperative Agreement System, such as "whether it is appropriate to use a bargaining investigative method" and "whether it is necessary to introduce a new evidence collection method that does not rely excessively on interrogation transcripts". Thus, the application and boundaries of the Cooperative Agreement System in the field of corporate crimes is always controversial. The corporate compliance is the only way for Chinese companies to become global. While referring to the Non-Pro-secution Agreements or Deferred Prosecution Agreements in the United States and other pioneering countries to stimulate corporate compliance, Japan's Cooperative Agreement System is suitable for corporate crime, with respect to the legal persons, the corporate director's duty of care and the internal investigation of corporates, is also worthy of reference. On this basis, it can be combined with the Pleading Guilty and Accepting Punishment with Leniency System in China to realize the criminal incentive of corporate compliance in a diversified manner.

     

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