Recently, a seminar on difficult issues of corporate compliance reform pilot was held in Shuyang, sponsored by Jiangsu Provincial Corporate Compliance Prosecution Research Base, Suqian Municipal People's Procuratorate and Shuyang County People's Procuratorate, and hosted by Southeast University Law School, Southeast University Civil Prosecution Research Center and Southeast University Anti-Corruption Rule of Law Research Center. The conference was conducted in a combination of online and offline manner.

I. Opening Ceremony and Keynote Speech

The opening ceremony of the conference was hosted by Professor Ouyang Benqi, Director of Jiangsu Provincial Corporate Compliance Prosecution Research Base and Dean of Southeast University Law School. Professor Ouyang Benqi introduced the participating leaders and guests. The opening ceremony was divided into two parts: leadership speech and keynote speech.

Leaders' speeches

Xiong Yi, member of the party group and deputy procurator general of Jiangsu Provincial People's Procuratorate, emphasized that the pilot work of corporate compliance reform should adhere to the spirit of the 20th CPC National Congress as a guide, be based on the actual situation of the country, perform its duties dynamically according to the law, promote retrospective governance, strengthen the integration of theory and practice, strive to crack the difficulties of compliance reform, improve the mechanism of compliance management, actively contribute theoretical wisdom and rule of law wisdom to corporate compliance reform and legislation, and jointly carry the mission of guiding The mission of high quality development.

Suqian Municipal Committee Standing Committee and Secretary General Bian Jianjun pointed out that Suqian Municipal Committee and Municipal Government insisted on taking the pilot compliance reform of small and medium-sized enterprises as an important task to promote the construction of four synchronous integrated reform demonstration area, actively implementing the strengthening of compliance workflow, flexibly using mandatory measures, innovating three letters We have handled a number of high quality and effective compliance cases, and made contributions to the formation of Jiangsu experience in corporate compliance.

Li Dongyang, member of the Standing Committee of the Shuyang County Committee and Secretary of the Political and Legal Committee, said that Shuyang is one of the top 100 industrial counties in China, and the pilot corporate compliance reform, as a new initiative to effectively prevent and correct corporate crime and protect the sustainable and healthy development of enterprises, has good prospects for development and rich soil for practice in Shuyang. The conference will certainly provide direction and clear path for Shuyang's corporate compliance reform pilot, and also provide more theoretical and practical basis for national corporate compliance reform practice.

Keynote Speech

Professor Chen Ruihua from Peking University School of Law spoke on the topic of Theoretical Basis for Separate Treatment of Major Unit-related Crime Cases. Prof. Chen pointed out that with the complexity of unit crimes in practice, it is necessary to separate the responsibility of units and responsible persons for major unit crimes and to handle them in separate cases. The so-called split case processing, refers to the major unit crime cases, the unit and the responsible person into two cases, the responsible person by the procuratorial organs to bring a separate prosecution, in the sentencing can be based on the unit crime, sentencing recommendations. Professor Chen pointed out that this way of handling is more conducive to the realization of social public interests, while having the effect of filling loopholes and eliminating hidden dangers. Finally, Prof. Chen concluded that the reform pilot in practice should be boldly explored and experimented, and the focus of punishment should be shifted to those responsible.

Professor Xie Pengcheng from Shandong University Law School spoke on the topic of Several Issues in the Expansion of Compliance Reform Space. Professor Xie pointed out that the new issues facing the compliance reform are mainly related to how to promote compliance construction, how to use compliance investigation and how to cultivate typical cases of compliance. In terms of compliance construction, there are four ways to achieve corporate compliance construction: corporate group compliance construction, corporate partner compliance construction, industry-specific compliance construction and regional compliance construction. In terms of compliance investigation, a prudent attitude should be taken toward the use of the procuratorial authority's power, and issues involving the scope of corporate autonomy should be treated with caution. In terms of cultivating typical cases of compliance, the new trend in the selection of typical cases is to address the weaknesses of case handling and the development trend of compliance reform, focusing on the applicable conditions and case handling experience of special compliance.

Professor Sun Guoxiang from Nanjing University Law School spoke on Three Issues of Criminal Compliance Incentives. Professor Sun pointed out that corporate compliance in general is still in the development stage of pilot trial and error, and some institutional and technical obstacles have been encountered in promoting corporate compliance reform around the world. There are three main focus issues: first, the issue of compliance reform of the enterprises involved in the case; second, the issue of non-prosecution standards; and third, the relationship between the enterprises involved in the crime and the members involved in the crime. When the subjects involved in corporate crimes are small and medium-sized enterprises, it is often difficult to separate the owners and operators of the enterprises, and the incentive objects of corporate compliance investigation cannot be completely separated from the persons in charge of the enterprises, and the non-prosecution of the persons in charge of the enterprises should be considered by integrating various factors. Finally, Professor Sun suggested that corporate compliance needs to be kept cautious in practice, and not to abuse and misuse unit crimes.

II. Seminar Topic I: Research on the Theory of Unit Attribution in the Context of Corporate Compliance

This module was moderated by Prof. Li Xiaoming from Wang Jian Law School of Soochow University. This module was divided into two sessions: presentation and deliberation, and Prof. Li Xiaoming introduced the participants of this module.

Presentation session

Professor Qin Ce from Shanghai University of Finance and Economics School of Law, with the theme of Possible Alienation of Criminal Compliance Reform and the Path of Prevention, argued that there are four possible forms of alienation of criminal compliance reform, namely, appeasement of responsibility, close management, eager promotion and isolated development. In this regard, a holistic view of criminal compliance reform should be established to promote the institutional construction of criminal compliance in terms of the systemic connection between corporate compliance and criminal compliance, the leniency for strictness of criminal policy, the reasonable division between corporate responsibility and perpetrator responsibility, the proper attribution of responsibility for corporate crimes, and the systematic establishment of sentencing rules for corporate organizations. Mr. Qin pointed out that criminal compliance is the product of cross-fertilization between corporate compliance and criminal legal system. Although it takes the construction of corporate compliance as its purpose and content, it must follow the operation principle and law of criminal legal system in its operation mode.

With the theme of On the Rule of Law Construction of China's Enterprise Compliance Criminal Law Incentive Mechanism, Prof. Liu Shuang from the origin and development of enterprise compliance reform pointed out that the construction of China's enterprise compliance criminal law incentive mechanism is facing the lack of legal basis, insufficient internal motivation of enterprises for compliance reform and the lack of the theory of legitimacy of enterprise compliance, etc. In this regard, the criminal law legislation should be timely. In this regard, in the criminal law legislation, corporate compliance should be stipulated as a legal excuse or a legal mitigating circumstance in a timely manner. At the same time, on the basis of clarifying the distinction between prior compliance and post-compliance, and between compliance plan and compliance reform, the legal design of criminal law incentive mechanism for corporate compliance should be further improved.

Associate Professor Deng Juntao from the Department of Law, School of Public Administration, Southwest Jiaotong University, with the theme of Review of Corporate Compliance Reform in the Perspective of Criminal Integration, summarized the requirements of corporate compliance in different legal systems from the background of China's corporate compliance reform policy, and discussed the requirements of corporate compliance from both the legislative and interpretive perspectives for enterprises and entrepreneurs. He also commented on the issue of who should be spared and who should be punished, and argued that unit crimes should be denied in criminal law.

Chen Lei, the prosecutor of the first prosecution department of Anji District People's Procuratorate of Langfang City, took the theme of theoretical dilemma and reshaping of criminal liability of legal persons in the field of criminal compliance, analyzed the characteristics of the criminal liability of legal persons in the field of corporate compliance from three perspectives: independence, objectivity and presumption, and proposed countermeasures to solve the dilemma of criminal liability of legal persons. He also proposed countermeasures to solve the dilemma of attribution of responsibility. Prosecutor Chen believes that in order to get out of the rule dilemma, the rule concept of cooperative prevention should be established, organizational responsibility should be the basis of imputation, and the compliance incentive should be implemented by adopting a graded reduction of responsibility model.

The first prosecutor of Suqian City People's Procuratorate, Mr. Kang overlooking the scope of enterprises and reflecting on judicial practice, pointed out the problems in the determination of enterprises in the compliance of enterprises involved in cases, and analyzed the concept of enterprise in criminal law theory. He analyzed the concept of enterprise in criminal law theory, and summarized the methods and scope of enterprise in the compliance of enterprises involved in cases from two perspectives of formal and substantive determination.

Commentary Session

Professor Zhou Zhenjie from Anhui Normal University and Beijing Normal University gave a positive evaluation of the presentation, and pointed out that whether criminal compliance can achieve the purpose of victim protection still needs to be further explored. Finally, two points were made on corporate compliance, which should avoid both complicating simple issues and politicizing rule of law issues.

Zhao Chi, Professor of Shiliang Law School of Changzhou University and Director of Compliance Research Center of Changzhou University, summarized the presentations of the reporters and suggested that the compliance research under the global perspective provides us with sufficient reference, and in the process of constructing the compliance system, we should clarify the reliance basis of corporate compliance development, clarify the relationship between ex ante compliance and ex post compliance, and further explore from the compliance legislation and third-party mechanism.

Liu Wei, an associate researcher of the Institute of Law of Jiangsu Academy of Social Sciences, commented on the presentation of the rapporteur and believed that the problems arising in the corporate compliance reform should be treated carefully, and the logic and system design of American corporate compliance should not be simply followed, but need to be systematically considered in the context of Chinese national conditions.

III. Seminar Topic II: Research on Effective Compliance Standards for Small and Medium-sized Enterprises

This module was hosted by Cai Cuiying, Deputy Director of the Fourth Inspection Department of Jiangsu Provincial People's Procuratorate and Deputy Director of Jiangsu Provincial Corporate Compliance Inspection Research Base.

Speaking session

Li Yong, Director of the Legal Policy Research Office of Nanjing Municipal People's Procuratorate, took the theme of Understanding and Application of Compliance Effectiveness Evaluation Standards for Small and Medium-sized Enterprises, and believed that the essence of corporate compliance is to transform the corporate governance structure and reshape the corporate compliance culture, and this essence can be concretized into various elements, which can form a regular commonality. Indicators. In the process of understanding and applying the Evaluation of the Effectiveness of Compliance Management System of Small and Medium Enterprises, it is necessary to grasp five groups of relationships, such as evaluation criteria and construction criteria, technical indicators and cultural indicators, main text and annexes, medium-sized enterprises and small and micro enterprises, evaluation methods and evaluation criteria, and accurately evaluate specific indicators such as institutional settings and duty configuration, compliance risk identification, compliance risk response, continuous improvement, and compliance culture construction.

Prof. Zhang Shu from Zhejiang University of Technology Law School, with the theme of Research on the mechanism of streamlining and simplifying compliance supervision, proposed that it is necessary to establish the mechanism of streamlining and simplifying in the field of corporate criminal compliance supervision in order to improve the efficiency of compliance construction from the perspective of the differentiated characteristics of the enterprises involved and the inherent incentive requirements of compliance motivation. Combining with the current practice of compliance reform, Prof. Zhang comprehensively analyzed the conditions for the application of simple compliance in terms of enterprise scale, case types, compliance issues, enterprise compliance initiative and the severity of penalties, and focused on four aspects, including the necessity of submitting compliance plans by the enterprises involved in the case, the need for the intervention of third-party mechanisms, the setting of compliance inspection periods and supervision mechanisms, to elaborate the specific mechanism construction of simple compliance.

By summarizing the current situation and existing problems of compliance of micro and small enterprises involved in cases and combining with the actual practice of prosecuting cases, Prosecutor Wu Xiaomin from the Fourth Prosecution Department of Jiangsu Provincial People's Procuratorate gave preliminary thoughts on the path of compliance of micro and small enterprises in terms of creating compliance plans and compliance supervision and inspection process, in order to prevent the emergence of paper compliance to ensure the effectiveness of compliance rectification, from the scope of application, standard setting, rectification procedures to explore the effective compliance path to meet the actual micro and small enterprises.

The topic of research on the effectiveness of compliance standards of small and medium-sized enterprises involved in cases, Shi Yicheng, member of the party group and deputy procurator general of Xiangcheng District People's Procuratorate in Suzhou, proposed that the effectiveness of compliance can be comprehensively assessed from two dimensions: formal and substantive standards. At the same time, the procuratorial authorities can actively explore the early intervention stage to initiate compliance procedures, combining post-compliance with pre-compliance, and multiple measures to motivate MSMEs to actively comply.

Liu Lan, Director of the Fourth Procuratorate Department of Suqian Suyu District People's Procuratorate, took the theme of Empirical Analysis of Social Collaborative Governance in the Compliance of Small and Micro Enterprises Involved in Cases and proposed that small and micro enterprises involved in cases do not have the ability to build a large compliance management system and to pay high legal fees. Under the premise of not being able to build a large compliance management system and not being able to pay high attorney fees, the procuratorial authorities should actively extend their functions and adopt a collaborative governance formed by government leadership, procuratorial authorities' leadership, administrative departments' supervision and professional organizations' participation to conduct compliance review and guide the enterprises involved in the case to establish a compliance system, combining post-event management with pre-event prevention.

Liang Yunbao, Associate Professor of Southeast University Law School and Deputy Procurator General of Taixing People's Procuratorate, took the theme of Analysis of Simplified Criminal Compliance for Small and Micro Enterprises in China and believed that simplified compliance for small and micro enterprises is an important direction in the development of localized criminal compliance in China, and should be based on the experience accumulated in the pilot practice of corporate compliance reform in China as well as the experience in Based on the experience accumulated in the pilot practice of China's corporate compliance reform and the exploration in the simplified compliance of micro and small enterprises, the effectiveness standard of the simplified compliance of micro and small enterprises should be built with the focus on the detoxification and blood-making functions, and the simplified compliance should be carried out in both procedural and physical aspects.

Commentary session

Professor Li Jianming of Nanjing Normal University gave positive comments on the speeches of the six speakers and believed that to promote the further development of corporate compliance, firstly, we should attach great importance to the formulation of compliance effectiveness standards; secondly, we should explore the construction path of Chinese style compliance for micro and small enterprises from a practical perspective.

Sun Yong, Director of the Fourth Procuratorate Department of Jiangsu Provincial People's Procuratorate and Deputy Director of Jiangsu Provincial Corporate Compliance Procuratorate Research Base, summarized the views of the speakers and concluded that corporate compliance should seize the key minority and make adaptations to the compliance standards. In China's national conditions, SME compliance is necessary and feasible, and to promote the development of corporate compliance, the procuratorate should carry out extensive cooperation with all sectors of society to ensure that SMEs can better leverage their corporate value through compliance rectification through the active cooperation of all sectors of society.

Liu Zhaodong, member of the party group and deputy procurator general of Suqian People's Procuratorate, combined with the report of the 20th Party Congress, believes that supporting the development of SMEs and unfolding their compliance has become a consensus. Targeted compliance, error-correcting compliance and other feasible compliance models have been established, and substantial supervision should be adhered to in the future to further promote the development of corporate compliance. 

Zhou Lianyong, director and senior partner of Jiangsu Boshioda Law Firm, pointed out that corporate compliance is a social governance issue and should be studied systematically from the level of social governance, and the development of corporate compliance requires the joint efforts of all walks of life, and the theoretical and practical circles should cooperate to further deepen the research on compliance reform.

IV. Seminar Topic 3: Research on the whole process of criminal litigation to guide the compliance of enterprises involved in the case

This module is chaired by Qian Xiaoping, associate professor of Southeast University Law School and secretary-general of Jiangsu Provincial Corporate Compliance Prosecution Research Base, and is divided into two sessions: presentation and review.

Speaking session

Lu Cunang, Director of the Second Procuratorate Department of the People's Procuratorate of Peixian, Xuzhou City, with the theme of Practice of Procuratorate's Participation in the Operation of Third Party Mechanism, analyzed the whole process of front-end initiation, middle-end inspection and end evaluation of the operation of the third party mechanism, combined with the experience of judicial practice, elaborated on the focus of the review of the compliance plan of the case-involved enterprises and the effectiveness of the research and judgment of compliance. The basic elements of the standards, the improvement of the forward and backward extension of the compliance of the enterprises involved in the case and the improvement of the reverse transfer mechanism under the compliance-oriented line of criminal connection, and the desirability of the method of using certain public funds to cover part of the costs to ensure the compliance of the enterprises.

Zang Xueqing, secretary of the party group and chief prosecutor of Huai'an District People's Procuratorate of Huai'an City, combined with the cases handled by the court, and analyzed how multiple off-site involved enterprises in joint crimes can simultaneously carry out compliance rectification. It pointed out that, in the case of joint crime there are multiple involved enterprises, should be based on the crime involved, the type of enterprises involved, the size of the scale and the region, and other factors, choose the appropriate compliance supervision. For the industry nature is similar, comparable business model, the existence of the problem is more consistent and geographically close to the common crime involved enterprises, can be adopted by the same third-party supervision team to supervise the way, but in the compliance assessment standards, should be based on the specific circumstances of different involved enterprises, to establish a differentiated standard to ensure the effectiveness of compliance.

Qian Li, Deputy Director of the Fourth Procuratorate Department of Zhangjiagang City People's Procuratorate, introduced a series of localized explorations in the area of compliance reform of enterprises involved in cases, as the first batch of pilot units of corporate compliance reform. The presentation pointed out that in order to ensure the long-term development of the corporate compliance system, the procuratorate should promote legislative amendments to broaden the scope and extent of application of compliance leniency and maximize the effect of criminal incentives, based on overseas experience and the actual reform of China's judicial system.

Li Liming, Director of the Sixth Prosecution Department of Shuyang County People's Procuratorate, presented the topic of Research on the Mechanism of Criminal and Administrative Compliance for Case-Involved Enterprises, pointing out that the reform of compliance for case-involved enterprises has not yet established an authoritative, scientific and efficient management system that effectively connects criminal compliance and administrative compliance, and cannot effectively promote the compliance of case-involved enterprises in depth. The main reason for the poor interface between criminal and administrative compliance of case-involved enterprises lies in the joint influence of various factors such as entity, procedure and concept, and it is imperative to make efforts from these levels at the same time in order to effectively solve the problem of ineffective interface between criminal and administrative compliance and better guarantee the development of case-involved enterprises' compliance reform.

Xi Min, deputy director of the second prosecution department of the Siyang County People's Procuratorate, took the theme of Exploring the problem of off-site collaboration for compliance of case-involved enterprises, pointing out that the current off-site collaboration for reform of case-involved enterprises has problems such as difficulty in social investigation, supervision and inspection, and difficulty in the interface between criminal and criminal law. From the perspective of practical operation, a standardized culture should be introduced as soon as possible to establish and improve the mechanism of prosecutorial integration; standardize the mode of third-party supervision and inspection; establish an assessment and evaluation of off-site collaboration work by the entrusted prosecutorial organs, and include the number of assisted off-site compliance cases and case cultivation in the assessment and evaluation to improve the enthusiasm of off-site collaboration.

Zhu Liang, a lecturer at the Law School of Huazhong Normal University, took the theme of the practice pattern and construction path of corporate compliance non-prosecution in China and pointed out that there are problems in the practice of corporate compliance non-prosecution, such as the risk of abuse of power, short compliance period, unclear effective standards and failure of the regulatory system. In the future, an independent corporate compliance non-prosecution system should be established, a certain range of compliance period should be determined, a scientific regulatory system should be set, and the discretionary power of prosecutors should be reasonably regulated.

Commentary session

Professor Qin Zongwen from Nanjing University Law School commented on the above speakers' speeches. In his opinion, the promotion of corporate compliance reform is the process of localization of corporate compliance, which should focus on the problem of high incidence of crimes in small and micro enterprises, and in the improvement of the system of compliance of small and micro enterprises, the public welfare state aid compliance model can be advocated, such as sharing the cost proportionally by the government and enterprises, and the third party coordinates the borrowing of financial institutions. The construction of compliance for enterprises should be targeted, and sharing thinking should be applied flexibly in order to reduce the burden and improve efficiency.

Associate Professor Lin Yifang of Xiangtan University Law School commented on the keynote speech. In his opinion, double non-prosecution may lead to the situation that violates the principle of self-accountability, when the separation of personal responsibility and corporate responsibility is unclear, whether compliance is necessarily the same as non-prosecution needs to be further discussed, it is recommended that for small and micro enterprises to build a negotiated discretionary non-prosecution model that does not presuppose compliance, such as small and micro enterprises Prohibited behavior and other measures to remove the bundle of compliance and non-prosecution; in the micro and small enterprises compliance hearing, try to introduce the people's supervisor system.

Ling Pingping, an associate professor at the School of Law and Politics of Nanjing Information Engineering University, argued in his comments that the compliance methods of small and micro enterprises and large and medium-sized enterprises should be distinguished, with large enterprises applying for compliance on their own and small and micro enterprises carrying out corporate compliance with government assistance. On the issue of the selection of supervisors, a directory of experts can be established in a classified manner, and the administrative organs and the procuratorial organs should be promoted to jointly build a compliance platform, so that the administrative organs can promptly reflect the situation to the procuratorial organs when they receive reports or make early warnings to the enterprises, so as to strengthen the criminal-executive interface of enterprise compliance.

Fan Huazhong, a prosecutor of Fengxian District People's Procuratorate in Shanghai, summarized the views of the six speakers and believed that the combination of problem awareness from the academic side and practical awareness from the practical side in this conference would be beneficial to the development of corporate compliance. It further suggested that there are still issues of local and foreign procuratorates' dominance in off-site compliance rectification, willingness to assist off-site, and territorial protection in off-site cooperation, which need to be further improved. In addition, in the interface between execution and punishment, it is suggested that administrative organs should be involved in the compliance supervision of the enterprises involved in the case, and the procuratorial organs can also intervene in advance in the prior administrative compliance to jointly promote compliance rectification by integrating the power of execution and punishment.

Closing Ceremony

Finally, Yin Ji, Professor of Southeast University Law School and Deputy Director of Jiangsu Provincial Corporate Compliance Prosecution Research Base, summarized the conference. Professor Yin summarized the speeches of all the participating speakers and believed that the conference had discussed in depth the hot and difficult issues in the compliance reform, which had confronted the problems, enlivened the thoughts and opened up the ideas, and the relevant views had positive inspiration and reference significance. It further believes that in the compliance reform should be boldly tried, but also in accordance with the law, the National People's Congress should be authorized in a timely manner, giving the procuratorial authorities a certain scope of space, while the procuratorial governance should cooperate with administrative governance, so as to better promote compliance reform.