从检察权出发构建企业合规不起诉制度

南京工业大学本科生毕业设计（论文）从检察权出发构建企业合规不起诉制度摘要我国企业合规试点如火如茶，几年来积累了许多宝贵经验，企业合规不起诉制度建设也已成为当前刑事合规试点改革的关键任务，然而对于这项制度具体应当如何构建，仍处于摸索阶段。目前，企业合规不起诉制度在其理论正当性、适用范围、合规有效性标准评价、第三方合规监管等方面仍面临诸多争议。作为该制度启程运转的主导者，检察机关对该制度建设成败起着极为重要的影响。充分发挥检察能动性，从确立企业合规附条件不起诉模式，谨慎确定企业家适用企业合规不起诉，做好检察权制约，以认罪认罚为平台搭建合规不起诉体系四方面着力，不断完善这一动力机制，解决改革试点中起诉模式、适用对象、检察权制约、制度衔接等争议，推动企业合规改革行稳致远。关键词：企业合规检察权制约附条件不起诉第三方监管机制Establish a non-prosecution system for enterprise compliance fromthe perspective of procuratorial powerAbstractChina's enterprise compliance pilot is in full swing,and a lot of valuableexperience has been accumulated in the past few years,and the construction ofenterprise compliance non-prosecution system has also become a key task in thecurrent criminal compliance pilot reform,but how this system should be constructedis still in the exploration stage.At present,the corporate compliance non-prosecutionsystem still faces many controversies in terms of its theoretical legitimacy,scope ofapplication,evaluation of compliance effectiveness standards,and third-partycompliance supervision.As the leader of the system,the procuratorate plays anextremely important role in the success or failure of the system.Give full play to theinitiative of the procuratorate,focus on the four aspects of establishing a conditionalnon-prosecution model for enterprise compliance,carefully determining thatentrepreneurs are applicable to enterprise compliance and not prosecuting,do a goodjob in restraining procuratorial power,and build a compliance non-prosecution systemon the platform of confessing guilt and accepting punishment,continuously improvethis dynamic mechanism,resolve disputes such as prosecution mode,applicabletargets,restrictions on procuratorial power,and system connection in the reform pilot,and promote the stable and long-term implementation of enterprise compliancereform.Key Words:Corporate compliance:Restrictions on prosecutorial power:Conditionalnon-prosecution:Third-party regulatory mechanisms南京工业大学本科生毕业设计（论文）目录摘要.………Abstract....…言。，。。，，，，，，。1一、企业合规不起诉制度概述..1(一)企业合规不起诉制度的概念…11.企业合规不起诉制度的定义.…12.企业合规不起诉概念与相关概念的辨析....23刑事合规制度的类型。.2(二)构建企业合规不起诉制度体系的必要性..31.制度价值一一安达信事件.32.现实需求一一民营经济发展..3(三)我国实行企业合规不起诉制度的可行性41.符合刑法原则：期待可能性..42.体现刑法机能：一般预防..5二、我国实行企业合规不起诉制度的现状与问题分析..........5(一)立法现状..5(二)司法实践现状.6(三)通过试点发现的问题.71.企业合规不起诉的模式适用混乱..72.企业合规不起诉的适用主体不明............73.企业合规不起诉的有效性标准界定不…94.第三方监督评估机制的启动和运行不明确..·..9三、域外企业合规不起诉制度…10(一)美国..111.刑事合规不起诉制度的发展.…112.刑事合规不起诉的运行程序..123.协议有效性评估标准..134.中国本土化构建参考一一从检察职能出发......13(二)英国..141.刑事合规不起诉的立法设置，……142.形式合规不起诉的运行程序....143.中国本土化构建参考一一权力制衡与责任主体.15四、我国企业合规不起诉制度完善建议.....16(一)采用附条件不起诉和检察建议的企业合规模式…161.检察建议模式…162.附条件不起诉模式.183.企业合规不起诉模式的选择.18(二)通过企业和员工的责任分割明确适用企业刑事合规的范围.·191.责任分割的理论与现实依据..192.有效区分企业与员工责任的方法........203.企业相关犯罪处理..20(三)确立有效合规的标准以制约检察权滥用.........20