On the Connection of Compliance and Criminal Substantive Law


2021-09-13 02:15

Cai Xian
Sciences of Law

Abstract: Only by clarifying how the corporate compliance affects the criminal liability of the company, its managers and compliance officer in jurisprudence can corporate compliance truly play its incentive role and become the optimal method of preventing corporate crime. First of all, its necessary to clarify the basis of the criminal intent and breach of duty of care in negligent crime. In terms of the evaluation of responsibility, and effective ex ante compliance plan reflects the culpability of the perpetrator, while an ex post compliance plan involves the necessity of the special prevention. They each affects the discretion of the punishment based on liability and punishment aimed at prevention. In China, the focus on corporate compliance is an opportunity to rethink the traditional corporate crime theory and promote the standardization of corporate sentencing rules. However, the establishment of a new and independent criminal compliance obligation lacks its justification and necessity.

Key words: compliance; corporate crime; illegality; punishment based on liability; punishment aimed at prevention

The Chinese version appeared in Science of Law, 2021(05).



2021-09-13 10:11
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