Research on the Compliance Incentive for the Enterprise at the Trial Stage

The compliance incentive for the enterprise at the trial stage refers to the compliance reward or punishment given by the court to the involved enterprises and relevant responsible personnel during the trial stage. This incentive only exists in the trial stage. The incentive subject is the court. The incentive targets include units, personnel responsible for unit crimes and personnel responsible for committing crimes closely related to production and business activities in enterprises. The content of this incentive includes positive incentives and negative incentives. This incentive is of great significance for promoting the modernization of national governance system and governance capacity, protecting the rights and interests of private enterprises and entrepreneurs, and promoting court participation in the compliance reform of the enterprises involved in cases. Some local courts in our country have already conducted practical explorations and achieved certain results in promoting the compliance incentive for the enterprise. However, there are still problems such as inadequate reflection of compliance rectification in court sentencing, overly single compliance incentive methods, lack of effective review system for compliance rectification, and insufficient ability of criminal judges to use compliance incentives. To promote the compliance incentive for the enterprise at the trial stage, the principles of court leadership, humility and neutrality, differential treatment, diversified incentives, and lawful incentives should be followed. At the same time, whether compliance rectification meets the effectiveness standard should be considered as a statutory sentencing circumstance. More compliance incentive methods should be explored and applied, a review system for the effectiveness of compliance rectification should be established, and the ability of criminal judges to use compliance incentives should be enhanced.