On June 15, 2022, the inauguration ceremony of the Corporate Compliance Procuratorial Research Base jointly built by Jiangsu Provincial People's Procuratorate and Southeast University was held in the Academic Lecture Hall on the second floor of the Grand Hall of Southeast University's Sipailou Campus.
Party Secretary Mao Huixi, Dean of the Law School Ouyang Benqi and more than ten teachers from the Law School attended the meeting. The meeting was divided into two agendas. The first agenda was the inauguration ceremony of the base. The second agenda is the symposium.
Agenda 1: Base inauguration ceremony
This agenda was hosted by Ouyang Benqi, Dean of Southeast University Law School.
Xiong Yi, member of the party group and deputy procurator-general of Jiangsu Provincial People's Procuratorate, said that the corporate compliance procuratorial research base jointly built by the university and the procuratorate provides a new high-level platform for deepening the cooperation between the two sides and promoting the deep integration of corporate compliance procuratorial practice and theory research. He stressed that the corporate compliance reform is beneficial to enterprises and the country and has far-reaching significance. Both the judicial practice and legal theory colleagues, should raise the political position, bearing in mind the country's great, complementary advantages, and jointly promote the reform. As the first pilot region in China, Jiangsu procuratorial authorities are leading the country in the number and effectiveness of compliance cases, with a rich sample of cases. As the reform continues to advance, the legal level, the system level and other types of issues continue to emerge, the urgent need for research and demonstration, and research can not be separated from the test of practical cases. This base is based on the sharing of resources and complementary advantages of school inspection, and is of great significance in promoting the deep integration of theory and practice, and the integration of legal education and legal talent training. Finally, he expressed his hope to jointly build the base into an effective platform for practicing Xi Jinping's rule of law thought, a highland for compliance theory research, harvesting research results as soon as possible, cultivating compliance talents and feeding judicial practice.
David Huang, Vice President of Southeast University, extended a warm welcome to the leaders of Jiangsu Provincial People's Procuratorate and the participating experts who have long been concerned about and supported the development of Southeast University, and briefly introduced the development achievements of the university and the development of the law school in recent years. He pointed out that the compliance reform of case-involved enterprises promoted by the Supreme Procuratorate is an in-depth practice to fully implement Xi Jinping's thought on rule of law, and is a system innovation with original, iconic and leading significance. At present, the compliance reform pilot involving enterprises is about to enter a new stage of development, a series of related legislative, judicial and theoretical issues need to be resolved. At the 120th anniversary of the founding of Southeast University, Jiangsu Provincial People's Procuratorate and Southeast University Law School jointly set up a research base on corporate compliance, which will give full play to the advantages of the joint efforts of the prosecution and the university, and make good use of the resources of the research base platform to serve and guarantee the high-quality economic and social development of Jiangsu Province. At the same time, the university will attach great importance to the development and construction of the base, and provide full support and funding. To provide intellectual support and talent guarantee for the in-depth promotion of compliance reform in procuratorial agencies.
Southeast University, Deputy Director of Social Sciences Wang Lusheng read out the decision to establish the base and the related organizational structure. According to the agreement between the prosecution and the university, Southeast University and Jiangsu Provincial People's Procuratorate jointly decided to establish the Corporate Compliance Research Base. The base is affiliated with Southeast University Law School, and the director of the base is Prof. Ouyang Benqi, Dean of Southeast University Law School; the deputy directors are Sun Yong, Director of the Fourth Prosecution Department of Jiangsu Provincial People's Procuratorate, Han Qing, Deputy Director of Jiangsu Provincial People's Procuratorate, and Yin Ji, Professor of Southeast University Law School; the secretary general is Associate Professor Qian Xiaoping of Southeast University Law School; Professor Liu Yanhong of School of Criminal Justice of China University of Political Science and Law is the base advisor. Base Advisor.
Agenda 2: Symposium
This agenda was chaired by Xiong Zhanglin, Vice Dean of Southeast University Law School. The participants had an in-depth exchange of views on the compliance reform of case-involved enterprises and the cooperation and co-build of the base.
Sun Yong, Director of the Fourth Procuratorate Department of Jiangsu Provincial People's Procuratorate, reported to the leaders on the exploration of Jiangsu procuratorial authorities in the area of corporate compliance, pointing out that in October 2020, Jiangsu Province has issued a number of opinions on services to protect private enterprises and took the lead in starting the system exploration of corporate compliance reform pilot. After a year of grassroots point-like pilot, Jiangsu provincial procuratorial organs to enterprise compliance as a grip, the service to protect private enterprises as a key work of the general situation of the procuratorial services for economic and social development, and has achieved more remarkable results. The number of compliance cases handled by Jiangsu procuratorial organs reached 267, involving 310 enterprises, ranking first in the country. In the new round of the national enterprise compliance reform pilot summary conference, Jiangsu Provincial Procuratorate as the only representative of the provincial level to share practical experience: first, the establishment of a directory to deepen the use of third-party mechanisms; second, to promote the reform of the case handling mechanism; third, to explore the unit two penalty system. Faced with the practical difficulties of a short compliance inspection period, the Jiangsu Provincial Procuratorate is exploring the mechanism of relative separation of corporate liability and natural person liability for unit crimes.
Han Qing, deputy director of the Legal Policy Research Office of Jiangsu Provincial People's Procuratorate, said that the school and the prosecution have cooperated for many years and have a deep friendship. Southeast University Law School is a high-quality external brain, excellent teacher and excellent partner of the provincial prosecution, providing many benefits to the provincial prosecution. The establishment of the corporate compliance research base has written a new chapter of cooperation between the inspection and the school, making the cooperation between the two sides more concrete and contemporary. As to how to deepen the cooperation between the two sides, Han Qing said that he expects to build a characteristic research base based on the practice of Jiangsu Province, carry out weighty compliance research, join hands to cultivate compliance-oriented shortage talents, and make greater contribution to the development of corporate compliance in Jiangsu Province.
Wu Xiaomin, a prosecutor of the Fourth Prosecution Department of Jiangsu Provincial People's Procuratorate, reported on Zhangjiagang's exploration in corporate compliance construction. She said that in the process of promoting compliance reform, the procuratorate should closely focus on legal supervision functions, perform their duties dynamically within the scope of legal responsibilities and authority, actively explore, and perform their duties of pre-trial filtration crime prevention and social governance. Zhangjiagang City People's Procuratorate as one of the six grassroots pilot units in the first batch of national compliance pilot in 2020, there are still a series of difficulties in the process of active exploration of the system, such as relatively limited sample of reform experiments, the epidemic context of enterprises facing pressure to resume production. In this regard, the daily management of third-party professionals should be strengthened, the third-party supervision and evaluation mechanism should be made more practical and deeper, the compliance supervision model of complexity and simplicity should be explored, the convergence of the two laws on corporate compliance should be studied in depth, and the prior compliance service for economic development should continue to be promoted.
Ouyang Benqi, Dean of Southeast University Law School, reported on two basic theoretical issues of corporate compliance. The first is the basic concept of criminal compliance. From the national level, criminal compliance includes: first, the criminal liability system of the unit. Regarding the determination of unit liability, the practice of countries varies, and the position of China's judicial practice is not uniform, and there are views such as the theory of vicarious liability, the theory of organizational body liability, and the theory of strict liability, respectively. Second, the criteria for judging the effectiveness of criminal compliance. Contains the compliance construction standards of the enterprises involved, the compliance assessment standards of the third-party organizations, and the compliance review standards of the procuratorial organs. Third, the substantive law incentive of enterprise compliance. Fourth, the procedural law incentive of enterprise compliance. From the enterprise level, criminal compliance includes the connotation of criminal compliance system, criminal compliance mechanism, and criminal compliance culture in three aspects. From the social level, combined with the relevant guidance of the third-party supervision and assessment mechanism and its practical application, there are still many specific problems of the third-party assessment mechanism to be clarified. The second is the relationship between criminal compliance of enterprises and criminal regulations of the state. President Ouyang said that the two are different in terms of the nature of regulation, the object of regulation, the basis of responsibility and the direction of incentive.
Professor Yin Ji of Southeast University Law School firstly expressed his heartfelt congratulations on the establishment of the research base, and said that this cooperation between the prosecution and the university is the first cooperation between Southeast University and the provincial procuratorate, and also a major attempt to adapt to the hot spots of procuratorial reform. Jiangsu procuratorial system in the work of corporate compliance early start, a high starting point, I hope that the corporate compliance procuratorial research base will be able to turn the results of Jiangsu's reform practice into top-level design. At the same time, the focus of our research should focus on applied theoretical research, in the framework of promoting and protecting the development of private enterprises should also do a good job in the construction of state-owned enterprises compliance, thinking beyond the discipline of sectoral law and the constraints of the procuratorial orientation, to explore the construction of corporate compliance in the cross-cutting areas of criminal and civil.
Shan Pingji, vice dean of Southeast University Law School, first of all, highly praised the development of corporate compliance theory and practice in Jiangsu, and paid tribute to all colleagues. He also expressed his hope to strengthen cooperation with all of you and do a good job in related prosecution work at a time when corporate compliance reform is trending to expand outward.
Professor Li Chuan of Southeast University Law School expressed his high appreciation for the establishment of the Corporate Compliance Prosecution Research Base, and sincerely hoped that the provincial prosecutors could work closely with the law school to contribute their wisdom and strength to crack the difficult problems of corporate compliance reform and promote the standardized development of enterprises and the industry.
Mao Huixi, secretary of the Party Committee of Southeast University College of Law, firstly expressed his affirmation of the positive speeches of all participants, and expressed his confidence in the establishment and development of the platform, which will live up to the expectations of both the prosecution and the school. He said that the following three issues should be noted in the subsequent work. First, adhere to the problem-oriented. Give full play to the advantages of both sides of the platform to solve real problems. Second, bite the compliance target. Take compliance as the goal and promote development for the enterprise. Third, promote the construction of compliance system. Grasp the law of enterprise compliance construction, output highlights effectiveness. Contribute to the development of corporate compliance in Jiangsu Province.
Corporate compliance prosecution research base is the 11th provincial base of our institute. The establishment of this base is a recognition of the research results of Southeast University College of Law on corporate compliance, and we will actively play the supporting role of the platform think tank, build the base into a theoretical research highland and a platform for the transformation of results, so as to provide theoretical guidance and contribute to the in-depth promotion of compliance reform of enterprises involved in cases.