On October 21-22, 2023, the 2023 Annual Meeting of Criminology Research Society of Jiangsu Province Law Society was held in Yizheng Yuanbo Junlan Hotel, hosted by Criminology Research Society of Jiangsu Law Society and Yangzhou Municipal People's Procuratorate, and organized by Law School of Southeast University and Yizheng Municipal People's Procuratorate. The meeting was attended by XI Yufeng, member of the Party group and Deputy Prosecutor General of Jiangsu Provincial People's Procuratorate, MAO Jianzhong, Director of the Eighth Procuratorial Department of Jiangsu Provincial People's Procuratorate, Bao Shuhua, Secretary of the Party group and Procurator General of Yangzhou Municipal People's Procuratorate, as well as more than a hundred experts and scholars from the Supreme People's Procuratorate, Nanjing University, Southeast University, Soochow University, Hohai University, Yangzhou University, Nanjing Institute of Technology, and other colleges and universities, and the practical departments of law.
I. Opening Ceremony and Keynote Speech
The opening ceremony of this conference is hosted by Prof. Yi Jiaqi, vice president of Criminology Research Society of Jiangsu Law Society and dean of Law and Politics College of Nanjing University of Technology. The opening ceremony is divided into leadership speech, excellent paper award ceremony and keynote speech three links.
(I) Leader's Speech
Jiangsu Provincial People's Procuratorate party group members, Deputy Procurator General XI Yufeng pointed out that the party's twentieth report for the reform and development of China's enterprises to point out the direction and goals, in China's construction of a high level of market economic system in the context of how to effectively prevent and manage enterprise-related crime, balancing the protection of services for economic development and punishment of corporate crime, has an important theoretical and practical significance. In recent years, the province's procuratorial authorities have achieved remarkable results in creating a business environment under the rule of law and in preventing and managing corporate crime, and have carried out many tasks in creating a market environment for fair competition, promoting compliance reforms for enterprises involved in cases, and strengthening the governance of corporate crime suits. The province's procuratorial organs will earnestly implement the spirit of several important speeches and instructions of General Secretary Xi Jinping, focus on the four ahead and four new major tasks assigned to Jiangsu by the General Secretary, adhere to the two unwavering principle, and make efforts in strengthening litigation supervision and prevention of corporate crimes. and continue to promote the relevant work in strengthening the supervision of litigation, strengthening the theoretical study of corporate crime, and strengthening the law enforcement and judicial collaboration and cooperation.
Yangzhou Municipal People's Procuratorate Party Secretary, Procurator General Bao Shuhua pointed out that in recent years, the city's procuratorial organs in-depth study and implementation of the spirit of the twentieth CPC National Congress and the General Secretary Xi Jinping's important instructions on the work of politics and law and procuratorate work, clearly defined the specialization, speciality and newness, and leading in the region, and actively optimize the business environment under the rule of law, and make every effort to serve and protect the healthy development of private economy. We have optimized the business environment under the rule of law, made every effort to serve and guarantee the healthy development of the private economy, and achieved fruitful results. Under the new situation and new background, the enterprise-related crimes constantly present new trends, new characteristics and new changes. The city's procuratorial authorities should strengthen the research and judgment, handle cases in a fine manner, accurately grasp the legal policy, promote the convergence of criminal justice and administrative law enforcement, improve the working mechanism of enterprise crime governance, fully perform the four major procuratorial functions, promote the extension of the treatment of crime to governance, and build up a rule of law barrier for enterprise crime prevention and governance.
(II) Keynote Speech
Prof. Ouyang Benqi delivered a keynote speech on Rational Governance of Crime in Private Enterprises in China.
Prof. Ouyang Benqi, Chairman of Criminology Research Society of Jiangsu Law Society and Dean of Law School of Southeast University, delivered a keynote speech on Rational Governance of Private Enterprise Crime in China. Firstly, he analyzed the insufficiency of criminal law protection for private enterprises in China, and proposed that the dual legislation and judicial system of public-private separation led to the imbalance of the scope and intensity of protection of private enterprises, and suggested that legislative amendments should be made to unify the crimes and statutory penalties, and to add the common crime of breach of trust. With regard to the judicial application of unit crimes, it is proposed that the double-penalty system may artificially create corporate crimes and the single-penalty system may indulge corporate crimes, and it is believed that the inherent responsibility of the unit should be taken as the basis for criminal liability for unit crimes. Finally, it analyzes the rational limitation of the crime of illegal business operation, proposing that the crime of illegal business operation should be rationally limited to violating state regulations, pointing out that violating state regulations is not the same as violating judicial interpretations, nor is it the same as violating judicial interpretations, or violating judicial interpretations. It was pointed out that violating state regulations was not equal to violating judicial interpretations, nor was it equal to failing to obtain administrative licenses, and the procedural limitations on the interpretation of violating state regulations should be emphasized at the same time.
Prof. Li Xiaoming made a keynote speech on Policy-oriented Choice of Enterprise Crime Governance.
Prof. Li Xiaoming, Vice Chairman of Criminology Research Society of Jiangsu Law Society and Wang Jian Law School of Soochow University, focused on the policy issue of corporate crime and advocated to strengthen the protection of private enterprises from all aspects. According to Prof. Li, in order to adapt to the current trend of economic development and cope with the tense international situation, the creation of a business environment for private enterprises should be strengthened, and legal research should be enhanced. The legislation should emphasize the equal protection of private enterprises and state-owned enterprises; the judicial process should insist on treating private enterprises equally, guaranteeing the development of the private economy, and providing enterprises with a channel for compliant reforms; and the enforcement process should guarantee the normal operation of private enterprises and protect their legal properties.
Deputy Prosecutor General Fan Yuexian delivered a keynote speech on Procuratorial Practice of Compliance Reform for Case-Related Enterprises: Concept, Method and Path.
Yangzhou Municipal People's Procuratorate party group members, Deputy Procurator General Fan Yuexian around the procuratorial organs to carry out the case-related enterprise compliance reform of the work situation, the focus of the controversy and the specific initiatives, etc., elaborated on the combination of criminalization and governance, the public prosecution and law of the whole process of articulation, the clear application of the law in accordance with the boundaries of the enterprise compliance system, the protection of the legitimate interests of the parties, and other four practical concepts; analyze the case-related enterprise compliance reform in the out of crime in the It analyzed the disputes in the compliance reform of enterprises involved in cases in terms of the basis of crime, the disposition of cases involving people and enterprises, the disposition of investigation compliance, and the connection of trial links, etc. By sharing the experience of Yangzhou procuratorial authorities in the reform of compliance of enterprises involved in cases, and put forward the reform initiatives of compliance such as equal protection, substantive supervision, and cultivation of typical cases.
Keynote Speech by Director Wu Peak Bin on Criminal Law Program for the Governance of Crimes by Private Enterprises - Opinions and Suggestions on the Amendment (XII) to the Criminal Law (Draft)
Wu Peak Bin, Director of the Legal Policy Research Office of the Supreme People's Procuratorate, combined with the relevant provisions of the Criminal Law Amendments (XII) (Draft), put forward a three-pronged amendment proposal for the improvement of the legislation on crimes committed by private enterprises. protection requirements; secondly, on legislative amendments to increase the punishment of active bribery crimes, it is recommended to integrate relevant unit crimes into active and passive bribery crimes, in order to solve the long-standing problem of incoherence in the system of bribery crimes; thirdly, on legislative amendments to unit crimes, it is recommended to improve the identification criteria of unit crimes, and to make compliance rectification a legally lenient circumstance for sentencing.
(III) Award Ceremony of Excellent Achievements
The award ceremony for outstanding achievements was hosted by the president, Prof. Ouyang Benqi.
II. Module Seminar
(I) Research on the Governance of Crime in Private Enterprises with Chinese Characteristics
The unit seminar is hosted by Professor He Xiaoyong of the Law Department of Jiangsu Police College. This unit is divided into two sessions of speeches and comments, and Prof. He introduced the participating guests of this unit.
1. Speech Session
Deputy Prosecutor General Cheng Hua made a unit speech on Prosecutorial Path of Constructing Misdemeanor Corruption Governance System within Private Enterprises.
Cheng Hua, member of the Party Group and Deputy Prosecutor General of the People's Procuratorate of Nanjing Jiangning Economic and Technological Development Zone, in view of the many problems in the cases of misdemeanor crimes committed by insiders of private enterprises, proposed that we should change from punishing to punishing, set up a systematic concept, and carry out the prosecutorial performance of the one-dimensional and multi-core approach by doing hierarchical and categorized treatment of the crimes committed by the insiders of private enterprises in terms of both procedures and entities. The one-pronged, multi-core approach to prosecutorial performance should cover substantive, procedural and ancillary elements. In terms of entity, a structural system of crime and misdemeanor should be built according to the law; in terms of procedure, focusing on the interface between criminal cases and civil, administrative and other related judicial enforcement, establishing a stepped standard for compensation at different stages of the litigation corresponding to different degrees of penalty reduction; and in terms of support, building a mechanism of non-prosecution and relative non-prosecution of non-criminal penalties.
Director Hu Hao made a unit speech on The Choice of Criminal Policies for Crimes Involving Private Enterprises.
Hu Hao, Director of the Third Procuratorial Department of Yizheng Municipal People's Procuratorate, proposed that, in the face of the problem of private enterprises involved in crimes, there are problems in judicial practice such as emphasis on combating but not on protection, improper application of criminal coercive measures for persons and property, insufficient efforts to recover the stolen goods involved in enterprises' finances, and conservative judicial concepts, etc., and that criminal policies should be utilized to solve the above problems, which include, firstly, the concept of establishing the concept of equality and the transformation of the concept of criminal justice, and, secondly, emphasizing on the modesty and emphasize the restrictive interpretation of the criminal law; thirdly, the use of coercive measures should be prudent; fourthly, the scope of funds for private enterprises should be opened up in a limited way.
Director Liu Li made a speech on the Prosecution of the field of private enterprise employees job crime practice and countermeasures analysis.
Liu Li, Director of the Second Prosecution Department of Changzhou Wujin District People's Procuratorate, pointed out through the practical research and analysis of the crimes of private enterprises that there are problems such as difficulty in detecting and solving the cases of duty crimes in private enterprises, controversial conviction, and insufficient protection of the interests of enterprises. In response to the above problems, Director Liu proposed that the characterization should be accurately grasped, the crime should be accurately identified, the effect of crime handling should be focused on, the stability of enterprise production and operation should be protected, the source governance should be focused on, the business environment should be optimized, the legitimate rights and interests of private enterprises should be guaranteed to the greatest extent possible, and the role of procuratorial governance should be brought into play.
Dr. Huang Weiqing delivered a unit speech on Society, Economy, Policy: The Local Source and Logical Inevitability of Corporate Criminal Compliance.
From the history of China's economic and social development, Dr. Huang Weiqing, a doctoral student at the Law School of Nanjing University, summarized the three paths of the development of the theory of corporate compliance, analyzed the endogenous contradiction between the fight against crime and the protection of enterprises, and put forward the inevitability of the reform in conjunction with the quantitative to qualitative changes in the development of the market economy. In addition, based on the criminal policy of leniency and severity, it proposed two levels of the role of the corporate compliance system and two dimensions in which to prevent the criminal risk level of enterprises, and dialectically discussed three specific procedures.
Du Youzhen Prosecutor Assistant on the Zhao Moumou organization of others against the rules of risky operations case practice report for the unit speech
Du Youzhen, Prosecutor Assistant of Zhangjiagang City People's Procuratorate, introduced the compliance rectification of the case of Zhao Moumou Organizing Others to Work in Violation of Rules and Regulations, and analyzed the controversial issues of compliance application in the case. The typical significance of the case is: in the compliance rectification case processing, the criminal antecedents to carry out a substantive review of the judgment, it is not appropriate to uniformly have antecedents as the reason for prosecution; should be strengthened after the non-prosecution of the execution of the articulation of punishment, to promote the sustained and healthy development of the enterprise; the full use of non-criminal penalties, to expand the front-end governance of the enterprise involved in the case of the compliance of the effect.
2.Commentary
Wang Jun, Professor of Law School of Nanjing University of Finance and Economics, commented on the speeches of the five speakers, considering that each of them has its own strengths and weaknesses, and supplemented the criminal law paths for the governance of crimes committed by private enterprises: firstly, the use of the proviso clause of Article 13 of the Criminal Law at the level of constituent elements; secondly, the restriction of the subject of unit crimes; thirdly, the link between compliance and blank crimes; The fourth is to utilize the reduction of illegality and culpability.
Mr. Yao Shilian, a full-time member of the Procuratorate Committee of Yangzhou Municipal People's Procuratorate, believes that the speeches of the five speakers have merits in theory or practice, but there is also a gap between theory and practice. Commissioner Yao Shilian proposed that the governance measures for corporate crimes can be further strengthened in the following four aspects: first, moderation of administrative offenders; second, strict crackdown on internal corporate corruption; third, strengthening the supervision of investigation and execution; and fourth, strengthening the constraints on public power.
(ii) Prevention and control of corporate bribery crimes
The module seminar was hosted by Zhang Wenzhong, Deputy Secretary of the Party Group and Executive Deputy Prosecutor General of Yizheng Municipal People's Procuratorate.
1. Speaking Session
Prof. Wang Gang made a unit speech on Research on Compliance System for Bribery Offenses of Private Enterprises in the Context of Supervisory System Reform.
Professor Wang Gang of the School of Law of Nanjing Auditing University put forward the ideas for the establishment of a compliance system for bribery crimes in private enterprises: first, accurately identifying key personnel, key positions and key areas, so as to enable enterprise staff to generate awareness of the illegality of the law and preventive awareness of integrity risks; second, establishing a list of the obligations of public officials in their dealings with private enterprises, so as to prevent the risks of behavior in the production and operation of the business; and third, constructing and perfecting the cooperation in the bribery compliance system. mechanism, private enterprises take the initiative to strengthen cooperation with the supervision authorities.
Comrade Chen Nuo made a unit speech on Difficulties and Countermeasures in the Governance of Bribery Crimes by Private Enterprises.
Nanjing Municipal People's Procuratorate cadre Chen Nuo selected private enterprise unit bribery crime this angle for research, pointed out that the governance of private enterprise unit bribery crime, can cut off the bribery crime chain, create a fair and lawful business environment, cultivate a clean and upright social atmosphere, based on which should focus on distinguishing between unit bribery and bribery, change the emphasis on bribe-taking, light bribery Based on this, it should focus on distinguishing between unit bribery and active bribery, changing the mindset of focusing on passive bribery but not active bribery, and improving the internal motivation of private enterprises to comply with the law, so as to realize the effective management of unit bribery crimes of private enterprises.
Director Xing Hui made a unit speech on Prevention and Control of Corporate Bribery Crimes.
Based on the frequent occurrence of active bribery in private enterprises in practice, Xing Hui, Director of Jiangsu Shengdian (Changzhou) Law Firm, put forward the imbalance between active and passive bribery, the imbalance between the criminal liability of unit active bribery and that of natural person active bribery, how to reflect the equal status of active and passive bribery in the procedure and how to carry out the practice from the perspective of legislation, and raised the issues of the imbalance of criminal liability between active and passive bribery, unit active bribery and natural person active bribery. The lawyers also put forward suggestions on crime prevention from the perspective of improving legislation and utilizing compliance systems.
Mr. Wu Shuhao made a speech on Theoretical Explanation and Practical Development of Strengthening Self-discipline of Internal Anti-corruption Compliance in Enterprises.
Beijing Zhongyin (Nanjing) Law Firm lawyer Wu Shuhao pointed out that although in recent years the state continues to improve the prevention and punishment of private enterprise internal risk of corruption of the legal provisions of the enterprise external discipline is constantly strengthened, but in the long term only rely on public authorities such as public prosecutors and law can not be completely and effectively solve the problem of internal corruption in the private enterprise, should pay attention to the construction of internal control mechanism based on the theory of internal control of the enterprise and from three aspects of how the internal anti-corruption compliance self-discipline strengthened in practice. three aspects discussed how to build internal control mechanisms at the practical level to achieve effective internal anti-corruption compliance.
Assistant Prosecutor Li Yifan made a unit speech on the Practice Report on the Bribery of Non-State Staff by Shanghai M Company and Yu Mou
Li Yifan, Prosecutor Assistant of Suzhou Wujiang District People's Procuratorate, introduced the basic situation of compliance rectification in the case of Shanghai M Company, Yu Mou's bribery of non-state staff, and argued that for small-scale, simple organizational structure, clear and clear risk points of small and micro-enterprises to carry out compliance construction should adhere to the principle of low-cost, high-efficiency and high-quality, and that a simplified procedure can be applied to flexibly utilize on-site visits through the development of a special compliance plan, Remote flight inspection, verbal reminder, written reports and other supervision and inspection methods, the compliance rectification completed in the case of small and micro enterprises not to prosecute or lenient treatment before, should urge enterprises to sign a commitment, in the commitment period regularly to the procuratorial organs to report to the implementation of the continuous improvement of the compliance operation in writing to the regular supervision to assist the small and micro enterprises to consolidate the results of the compliance program.
2. Review session
Mr. Huang Xuwei, Associate Professor of Law School of Nanjing University, pointed out that all five speakers talked about the relationship between corporate crime control and compliance, and raised questions about the interpretive theory and practice of ex ante compliance in light of the rationality of ex post compliance. At the same time, they put forward their thoughts on the principle of the same view and the responsibility of the organization, pointing out that if a unit is convicted for prior compliance, the punishment of the natural person will be heavier, and the person in charge will be reluctant to promote compliance.
Wang Huanting, Associate Professor of Law School of Yangzhou University, pointed out that the combat and prevention of corporate bribery crimes should focus on building a system, and that in the construction of the anti-bribery compliance system, it is very concrete to focus on the target of supervision and build a list of obligations in business transactions, and proposed that the compliance problem of private enterprises needs to be considered in a systematic and comprehensive manner.
(iii) Corporate Crime Prevention and the Construction of a Mechanism for Evaluating the Effectiveness of Corporate Compliance
The module seminar was hosted by Yin Ji, a professor at the Law School of Southeast University and a national expert in prosecutorial practice.
1. Speaking Session
Prof. Zhao Chi made a unit speech on Global Development of the Rule of Law Model for Pharmaceutical Compliance and the Construction of China.
Professor Zhao Chi of Changzhou University School of Law analyzed the key elements of the international community's pharmaceutical compliance model against the backdrop of the corruption in the pharmaceutical sector carried out by the Central Commission for Discipline Inspection (CCDI) and the State Supervisory Commission (SSC) this year, including the Safe Harbor Rule for the healthy development of the pharmaceutical industry, the establishment of an incentive system for the criminal compliance of pharmaceutical enterprises, and the whistle-blower system for the investigation and prosecution of pharmaceutical corruption. Whistleblower System, and put forward corresponding countermeasures to the rule of law model of pharmaceutical compliance in light of China's national conditions, suggesting that in terms of compliance norms, the pharmaceutical industry should introduce compliance rules as soon as possible; in terms of compliance connotation, insisting on the management of pharma-medical interactions and the enhancement of medical quality as the center; in terms of compliance enforcement, strengthening the penetrating supervision as the main feature; in terms of anti-corruption research, insisting on the management of pharmaceutical-medical interaction and the improvement of medical quality as the main feature. In terms of anti-corruption research, it is based on empirical research and points to preventive compliance.
Mr. Sheng Haojie made a presentation on Environmental Criminal Compliance of Case-Involved Enterprises: Practical Patterns, Practical Dilemmas and Contingent Paths.
Sheng Haojie, lecturer of Jiangsu Normal University, proposed that China's environmental corporate compliance system has formed a preliminary system in terms of implementation subject, implementation object, implementation content and legal effect, but there are problems such as narrow implementation subject, ambiguous basis of leniency, especially unclear justification basis of leniency for the responsible person of the enterprise, overlapping basis of leniency, thus affecting the independence of the environmental compliance system. In this regard, the following system optimization paths should be formed: first, to build the whole process of compliance procedures, expanding the implementation of the main body; second, to clarify the legitimacy of the basis for leniency, with the theory of the responsibility of the main body to provide space for the environmental compliance system, but does not deny the possibility of leniency of the responsible person of the enterprise; third, to differentiate between the determination of the leniency of the circumstances, in accordance with the first integrated, and then stripped, first compliance, and then stripped. Thirdly, it is to differentiate the lenient circumstances and construct the compliance system according to the logic of integration first, then divestment and compliance first, then others.
Mr. Tong Beinan, Assistant Researcher, made a unit speech on Research on the Role of Audit Supervision in Enhancing the Effectiveness of Corporate Compliance.
Tong Beinan, assistant researcher of Nanjing Audit University's Institute of Government Audit and Rule of Law in Regional Governance, pointed out that at present, China's corporate compliance construction is facing a lot of dilemmas centered on effective, which need to be resolved by clarifying the effectiveness standards and evaluation methods of compliance programs, and auditing with its empirical analysis, openness, standardization, etc. can serve the needs of corporate compliance reforms. Audit can serve the requirements of pertinence and standardization in the enterprise compliance reform, so that the effectiveness evaluation no longer relies on empirical analysis, but through quantitative analysis of the effectiveness of compliance to further clarify the effect of compliance rectification of the enterprises involved in the case afterwards, to promote the three-dimensional construction of the compliance system, and to effectively find out the effectiveness of the compliance program. Instead, it can further clarify the compliance rectification effect of the enterprises involved in the case through quantitative analysis of compliance effectiveness, promote the three-dimensional construction of the compliance system, and effectively discover compliance clues, so that the enterprises and the regulatory authorities can comprehensively grasp the effectiveness of compliance, and realize the operation of the enterprises in accordance with the law through the effective operation of the complete governance system.
Mr. Guo Lei, Deputy Director, made a unit speech on Data Security Protection and Criminal Law Response - Taking Enterprise Data Security as a Perspective.
Guo Lei, Deputy Director of the Third Procuratorate Department of the People's Procuratorate of Xiangcheng District, Suzhou, through introducing a typical case involving enterprise data, pointed out the risks and challenges faced by enterprise data in the context of the digital economy, and the necessity of criminal law protection of enterprise data, and considered that the existing criminal law provisions are still insufficient in the attributes of the rights of enterprise data, the system of data-related offenses, and the legal responsibilities of enterprise subjects, etc., and suggested that Referring to the Data Security Law, it was suggested that the protection of enterprise data should be graded and categorized, and the safety of enterprise data should be protected as an independent legal interest, so as to achieve a balance between the protection and regulation of enterprise data from the perspective of policy.
Prosecutor Gu Yueyue made a unit speech on Conceptualization of Digital Prosecution Application in Enterprise Compliance Supervision.
Gu Yueyue, Prosecutor of the Third Prosecution Department of Jiangyin Municipal People's Procuratorate, introduced the work experience of Jiangyin Procuratorate in integrating digital prosecution into corporate compliance rectification, and argued that there are problems such as coarse and simple judging standards, traditional work methods, and lack of precision in supervision by procuratorial organs in the process of corporate compliance supervision, and that there is a need to improve the supervision of corporate compliance through the application of digital prosecution. To this end, a digital platform for corporate compliance supervision should be set up, which has the ability to actively collect information, integrate and classify, and provide data analysis, class case recommendation, deviation warning and other service functions. In the specific rectification process, the procuratorial authorities can use the digital platform to extract the elements of corporate compliance to determine whether rectification is necessary; summarize and analyze the above elements to assess the impact on the enterprise's case handling; collect more data to customize the corporate compliance plan for the enterprise; verify the enterprise's situation and propose targeted rectification opinions; integrate the data for standardized acceptance; and analyze the rectification data to extend the procuratorial function.
Assistant Prosecutor Huang Shuxuan made a unit speech on Research on the Compliance Effectiveness Review Standard Issues for Case-Related SMEs.
Huang Shuoxuan, Prosecutor Assistant of Changzhou Tianning District People's Procuratorate, spoke on the issue of reviewing the effectiveness of compliance standards for SMEs involved in cases, pointing out that at present there is a lack of relevant standards for SMEs to determine whether their compliance is effective or not, and that third-party supervisory and assessment organizations have problems such as formality, inability to satisfy the needs of the organization's talent pool, lack of professionalism, and lack of motivation to perform their duties. In this regard, the third-party organization should improve its performance capability, build diversified assessment standards, and use various methods to test the effectiveness of the operation of the enterprise compliance system; the procuratorial authority should do substantive review, firstly, the review of compliance necessity, secondly, the review of the effectiveness of the compliance plan, including the review of whether the compliance plan is targeted at the causes of crime and whether the SMEs have set up a special plan, etc., and thirdly, the review of the effectiveness of the results of the assessment of the compliance inspection.
Deputy Director Wei Shengran made a unit speech on the Practice Report on the Copyright Infringement Case of Yangzhou Company A and Chen Moumou
Wei Shengran, Deputy Director of the Fourth Prosecution Department of Yizheng Municipal People's Procuratorate (Yizheng Municipal People's Procuratorate), introduced the basic situation of compliance rectification in the case of copyright infringement by Yangzhou Company A and Chen Moumou. In this case, Pudong New Area Procuratorate and Yizheng City Procuratorate of Jiangsu Province collaborated to carry out a cross-regional corporate compliance inspection to achieve mutual recognition of execution and criminal compliance. Yizheng Municipal Culture and Tourism Bureau adopted the precise penalty recommendations put forward by Yizheng Municipal Procuratorate, and made an administrative penalty decision in accordance with the minimum penalty of double the sales amount of the enterprise involved in the case, which has realized the transition from handling a case to managing a case. The two courts issued the Guidelines for Compliance and Rectification of Plush Toy Processing Enterprises Infringing on Intellectual Property Rights (Trial) for the development characteristics of the toy manufacturing industry, which promotes the construction of the risk prevention mechanism for small and micro enterprises in the local toy processing industry in the field of intellectual property rights.
2.Review Session
Professor Qing Haitao of Nanjing Police College Enterprise Crime Prevention, Control and Compliance Research Center commented on the report of the reporter and found the relevant research reasonable and inspiring. Regarding the extension of the compliance program to the investigation of environmental compliance, Prof. Qing Haitao believes that the current attitude of the public security organs is more prudent, more for individual cases, and has not become a system into a system, for the implementation of the main body of the problem, the administrative organs, such as the Environmental Protection Bureau of Qixia District, have already entered into the practice of compliance. At the same time, pointed out the importance of data security protection, data security is related to national security, economic security, etc., the current practice, due to the resources of state-owned enterprises capital advantage, its data compliance practice progress to a higher degree.
Associate Professor Ling Pingping of Nanjing Audit University believes in his comments that the establishment of audit compliance has a bright spot, but the three levels of risk can be divided from low to high into civil liability risk, administrative liability risk and criminal liability risk, and to think about the difference between traditional auditing and corporate compliance auditing. At the same time, it is affirmed that the element setting in the inspection platform is the basic basis of the risk judging standard, and it is believed that the element setting of the inspection platform should be more refined. As for the effectiveness of compliance rectification of micro and small enterprises, Prof. Ling suggests to change the effectiveness review standard in the study to effectiveness review content, adding specific compliance means and typical cases to refine the study. Finally, Prof. Ling believes that the LingnaBell case has positive guiding significance and is a more practical corporate compliance experience, providing useful insights for SMEs' compliance.
Finally, the moderator, Prof. Yin Ji, also commented on the presentations of this module, arguing that at present, the field of corporate compliance is basically researched according to the size of the enterprise, the crimes involved, the industry to which it belongs, and the compliance procedures, with fewer typologies, mostly empirical practices, fewer templates and guiding frameworks, and a lack of research on the internal and external interface issues of criminal proceedings for corporate compliance. Professor Yin emphasizes the need for administrative authorities to be involved in cross-supervision during criminal proceedings as well, and proposes initiatives for corporate compliance in the civil sphere. Finally, Prof. Yin summarized two major problems of grounded theory research, namely the problem of corporate compliance traceability and the problem of research ontology, and concluded that research cannot be conducted based on the prosecutorial ontology.
(iv) Collaborative Research on Strengthening Compliance Work of Procuratorial Authorities in Case-Related Enterprises
The seminar was moderated by Prof. Mei Xianghua from School of Law and Politics, Nanjing University of Technology.
1. Speaking Session
Director Fu Jibo made a unit speech on Issues and Countermeasures Related to the Convergence of the Whole Process of Execution and Punishment in Tax-Related Enterprise Compliance Cases - Dual Consideration of Professionalism and Policy.
Fu Jibo, Director of the Second Procuratorial Department of Nantong Haimen District People's Procuratorate, believes that compared with the traditional one head and one tail of execution-criminal articulation cases, the execution-criminal articulation of tax-related enterprise compliance cases is characterized by the complexity of tax administrative processing, the full process of the scope of application, and the diversity of the articulation forms, etc., and points out that the problems of the execution-criminal articulation of tax-related enterprise compliance cases exist. It also puts forward specific countermeasures: firstly, on the relationship between the payment of additional taxes and non-prosecution of compliance, the refund of additional taxes and other illegal income in the sense of administrative law shall not be the prerequisite for the commencement of the compliance procedure, but it shall be one of the conditions for the decision of non-prosecution; secondly, on the coordination, mutual recognition and balance between the administrative authorities and judicial authorities on the handling of compliance cases, the procuratorate can recommend to the administrative authorities to rectify the situation and to make recommendations to the administrative authorities on the corrective measures to be taken by way of procuratorate's opinion. Secondly, on the coordination, mutual recognition and balance between the administrative authorities and the judicial authorities on the handling of compliance cases, the procuratorial authorities can, by way of procuratorial opinion, recommend to the administrative authorities to leniently punish enterprises with good rectification and limit the application of non-administrative penalty measures; thirdly, on the interface between the non-prosecutorial links and the administrative authorities, the procuratorial authorities should be able to perform their duties and coordinate the interface between the public security authorities and the courts and the administrative authorities in this kind of cases.
Mr. Shi Jifeng, Director of Wuxi Xinwu District People's Procuratorate, made a speech on Compliance of enterprises involved in cases towards the mode of collaboration between law and prosecution.
Mr. Shi Jifeng, Director of the Second Prosecution Department of Wuxi Xinwu District People's Procuratorate, suggested that the current Procurator-led model of compliance for enterprises involved in cases has a single incentive model, the legitimacy of which has been questioned, the effectiveness of compliance is limited by the trial limit, and the scope of activation is restricted, etc., and that the Collaboration between the Law and the Procuratorate model can effectively solve the problem. The Law and Prosecution Collaboration model can effectively solve the judicial dilemma. Through the People's Court's participation in reviewing the Procuratorate's request for withdrawal of compliance, substantive review of the effectiveness of corporate compliance rectification, issuance of a prohibition order on practicing the profession, adjudication of civil public interest litigation filed by the Procuratorate according to the law, and exploration of the trial stage for initiating corporate compliance, the court can deepen synergy, efficiently articulate, and form a synergy and maximize the impact of corporate compliance reform. This can deepen synergy, efficiently connect, and form synergy in the reform of corporate compliance in cases, and maximize the efficacy of the corporate compliance system.
Mr. Li Qing, Deputy Director, made a speech on Research on Criminal Convergence Issues of Corporate Compliance under the Compliance Effectiveness Perspective.
Li Qing, Deputy Director of the Sixth Prosecution Department of Dantu District People's Procuratorate of Zhenjiang City, introduced the work of Dantu District Procuratorate on corporate compliance in a bid-rigging case. Director Li believes that the utility of the enterprise compliance reform system needs the administrative and supervisory departments to articulate and cooperate in the compliance work mechanism, but there are problems such as soft coercive power of procuratorial supervision, marginal weakening of the value of the system, and limited radiation of the compliance utility in the criminal line articulation of enterprise compliance, which should be supplemented by the supply of law to provide the legal basis of the compliance system, to enhance the rigidity of supervision of the procuratorial authorities, and to establish a successive multi-departmental linkage of the Compliance incentive mechanism, to build a perfect path for the criminalization of corporate compliance.
Mr. Zhang Tao, Deputy Director of the Procuratorate, made a speech on Examination of the Path of Compliance of Enterprises Involved in Cases in Other Places.
Zhang Tao, Deputy Director of the Sixth Prosecution Department of Tongzhou District People's Procuratorate, Nantong City, combined with the case of a technology company in Sichuan that issued false advertisements, described in detail the procedures of Tongzhou District Procuratorate in dealing with off-site compliance of enterprises involved in cases, and put forward the deconstruction of the path of off-site compliance for enterprises involved in cases: first, to build a mechanism of compliance and collaboration, to clarify the key issues, and to adhere to the principle of equal protection; second, to play the leading role of the Procuratorate, to supervise and assess according to the law, and to assume the function of off-site collaboration; third, to promote the development of a compliance incentive mechanism, to clarify key issues, and to adhere to the principle of equal protection. The third is to promote the development of special compliance, standardize the industry source governance, and extend the industry governance; the fourth is to adhere to the crime and governance and give full play to the role of corporate compliance in social governance and corporate governance.
Mr. Wu Cailin made a speech on the construction of court participation path in the reform of lenient punishment for corporate compliance.
Mr. Wu Cailin, Senior Partner of Tai & Tai (Nanjing) Law Firm, pointed out that the court's participation in the reform of corporate compliance may be at odds with the plea bargaining system, in conflict with the dominant position of the procuratorate, and insufficient endogenous motivation for the reform of corporate compliance, but the court's participation in the reform of corporate compliance is indeed necessary. In felony cases, the prosecutor's office is not suitable for non-prosecution of compliance, but the court can be based on corporate compliance of the enterprise involved in lenient penalties; the court involved in the enterprise involved in compliance reform, should be based on the concept of legal recovery; at the same time, defense lawyers should also play a role in the trial stage, as a third-party regulatory organization members of the business compliance involved in the investigation and evaluation and supervision of the enterprise inspection work.
Director Gong Xia made a unit speech on the Practice Report on the Case of Unauthorized VAT Invoices of a Company in Nanjing.
Gong Xia, Director of the Fifth Prosecution Department of Nanjing Qixia District People's Procuratorate, introduced the situation of carrying out compliance work in the case of false VAT invoices issued by a Nanjing biological company. In that case, the procuratorial authorities formulated the results of compliance building of the enterprise involved in the case as the basis for the decision on administrative treatment, and suggested that the administrative treatment be replaced by the supervision of the enterprise's compliance. Gong director that the procuratorial authorities involved in carrying out the case of enterprise administrative compliance, there is a constitutional basis and unique supervisory advantages, the procuratorial authorities involved in carrying out enterprise administrative compliance can be based on investigation and verification, invite experts to carry out the necessity of feasibility demonstration, and joint administrative authorities to carry out enterprise administrative compliance work, jointly held public hearings, if necessary, invite the National People's Congress representatives to synchronize the supervision.
2. Review session
Song Weiwei, Associate Professor of Hohai University Law School, believes that from the perspective of the professionalism of tax law norms and the stability of maintaining the national tax order, the determination of the amount of money involved in tax-related corporate compliance cases should be based on the tax authorities, and that the practice of professionalization of extraterritorial tax law enforcement organizations can be used as a reference for our country; however, the rectification of the enterprise is not suitable to be taken as a statutory circumstance of the sentencing, and it is difficult to formulate a uniform standard of compliance for the enterprises in different industries, and it is not possible to test the effectiveness of compliance. Prof. Song pointed out that when it comes to unit crimes, units with compliance conditions can be cut and handled separately from individuals; the role of administrative authorities and industry associations should be emphasized more in compliance cases, and the judiciary should not be overly involved.
Associate Professor Xu Chang, Associate Dean of the School of Law of Nanjing Audit University, summarized the three levels of discussion on the topic of this module, i.e. collaboration within the procuratorate, collaboration of the judiciary (mainly courts and procuratorates), collaboration of the judiciary and administrative organs, and concluded that the speakers' speeches had distinctive practical features and pointed to the problems of practice directly, but there were also the following two points of doubt: firstly, how to deal with the case where procuratorate is taking the lead in the compliance First, how to deal with the problem of slack cooperation of the administrative authorities in the case of compliance led by the procuratorate; second, how to allocate the duties of the court and the procuratorate in the compliance.
Mr. Ju Xiaoxi, Director of Huangqiao Prosecutor's Office of Taixing Municipal Prosecutor's Office, believes that the speakers' speeches provide reference and inspiration for solving practical problems. On the issue of mutual recognition between judicial and administrative authorities on compliance cases, the procuratorate hopes that the administrative authorities can impose lenient penalties on compliance enterprises, while the administrative authorities believe that lenient penalties lack the support of laws and regulations, and the resolution of such contradictions can not rely solely on the procuratorate to issue procuratorial recommendations, but rather the need to improve the relevant system design. The design of such contradictions can not only rely on the way of issuing procuratorial recommendations by procuratorial organs, but also needs to improve the relevant system design; on the issue of cooperation between procuratorial organs in different places in compliance cases, not all procuratorial organs in different places will actively cooperate with each other, and it is feasible for the higher level to set up the relevant assessment indexes to the lower level; on the issue of cooperation between law and prosecution in compliance cases, attention should be paid to the issues of who leads the court and procuratorate and how to connect them in the compliance cases; in the criminal-execution connection in compliance cases, it is expected to pay attention to the administrative compliance and expand the administrative On the criminal-execution interface of compliance cases, it is expected to emphasize administrative compliance and expand the functions of the administrative prosecution department.
Associate Professor Qian Xiaoping, Secretary General of the Criminology Research Association of the Provincial Law Society, summarized the meeting, arguing that the seminar highlighted the Chinese characteristics of the theoretical research on enterprise-related crimes, deepened the professional research on the construction of compliance system of enterprises involved in the case, and strengthened the case study on the governance of enterprise crimes. At the same time, the relevant viewpoints are also inspiring and provide a direction for further research. Finally, on behalf of Criminology Research Association of Provincial Law Society, Secretary General Qian Xiaoping expressed his gratitude to Yangzhou Municipal People's Procuratorate, the co-sponsor of the conference, and Yizheng Municipal People's Procuratorate, the organizer of the conference, for their full support on the successful convening of the conference.