On the morning of April 8, 2023, the first theme forum of Gao Mingxuan Academic Hall "Learning and Implementing the Spirit of the 20th CPC National Congress, Promoting Compliance and Development of Private Enterprises" was successfully held in Yuhuan City, Zhejiang Province, which was sponsored by China Criminal Law Association and Gao Mingxuan Academic Hall, and hosted by Zhejiang Provincial People's Prosecutor's Office and Zhejiang Provincial Federation of Industry and Commerce.
The picture shows the scene of the forum
Many experts and scholars attended the forum, including Jia Yu, President of China Criminal Law Research Association, Secretary of the Party Group of Shanghai Higher People's Court, President of Shanghai Higher People's Court, Lin Jianliang, Member of the Party Group of Zhejiang Federation of Industry and Commerce, Vice Chairman of Zhejiang Federation of Industry and Commerce, and Mo Hongxian, Advisor of the Academic Committee of China Criminal Law Research Association, and Professor of Wuhan University School of Law. Among them, the executive director of the China Criminal Law Research Association, Kyoto Law Firm criminal business department partner-in-charge, director of King&Capital Criminal Defense Research Center, Liang Yali lawyer; King&Capital Criminal Defense Research Center, head of the Environmental Compliance Committee, King&Capital Law Firm, Wu Yuxin lawyers were invited to participate in the theme of the forum.
Ms. Liang Ya Li talked about the reform of the compliance system of enterprises involved in cases from the perspective of a lawyer.
Talking about the reform of the compliance system of enterprises involved in the case
Ms. Liang Yali at the forum
In the topic of "the theory and practice of compliance reform of enterprises involved in cases", Liang Yali lawyers from their own work position, for the reform of compliance of enterprises involved in cases of lawyers involved in the issue of interpretation. Liang Yali lawyer through the enterprise compliance reform before and after the two major liability accident cases, shared the different feelings of lawyers work.
In the lawyer's business, in the case before the reform, the lawyer on the enterprise special legal risk prevention and control, as well as the system of combing and rectification of the guidance mainly stays in the stage of criminal defense, is by the criminal defense to organize the process of the evidence materials extended out of the legal services; after the reform of the case, the lawyer team as the responsible personnel involved in the case of the defender, not only can represent the unit involved in the case of the non-prosecution of the application, but also can help the unit involved in the case of the compliance of the application, but also can help the unit involved in the reform of the legal services. Application, but also can help the unit involved in the construction of compliance rectification work, the enterprise involved in compliance with a lawyer to become relatively independent of a legal service.
Goal-oriented, in the case before the reform, lawyers focus on completing the criminal procedure in the defense, in the case after the reform, the effectiveness of compliance and rectification in exchange for leniency in the case of the judicial preferential conditions, the lawyer team as a defender at the same time also want to assist the enterprise to complete the rectification of the standardization and effective rectification of the enterprise and the defender of the common pursuit of the goal.
Procedural safeguards, criminal proceedings due to the intervention of the compliance program has been delayed, the reform of the case is not in a hurry to review the prosecution into the trial process, there is more space for consultation and communication with the procuratorial organs, lawyers also have relatively more time to carry out their work, the litigation rights of the people involved in the case is further safeguarded.
Social effect, very professional, technical and cutting-edge rectification measures before the reform is not necessary for enterprises, in a criminal case often do not get attention. Even if a team of lawyers assisted in the rectification work, these rectification experiences often played a role only in one case and one enterprise. In the process of compliance reform of the enterprises involved in the case, the rectification experience of enterprises in different industries and fields through the participation, inspection and acceptance of the procuratorial system, the advanced experience of system innovation can be collected, organized and disseminated through the judicial system of the whole country, so as to realize the improvement of the standardization level of the whole industry and the level of corporate governance in the whole country.
In addition, Liang YaLi lawyer also to practice workers perspective on enterprise compliance system for certain reflection. Liang Yali lawyer that, through the compliance business early intervention in the enterprise risk identification links, to a certain extent, in advance to grasp the subsequent procedures for the provision of legal services for the case resources, however, the lawyer's role in the diversification and the risk of alienation of the system will lead to the imbalance between the prosecution and defense forces, the criminal defense space has been further compressed, all these need to be explored in the theoretical community and the practical world to solve.
Finally, Liang Yali emphasized that reform is a means, development is the goal; "leniency" is a means, "compliance" is the goal. Reform of the compliance system of the enterprise involved in the case is to explore the state and the enterprise common governance of the new model of an important part but not all, optimization of the business environment, the judicial protection of private enterprises should be complementary to it, in order to truly realize the enterprise from "I want to comply" to "I want to compliance The transformation of "I want to be compliant". On the other hand, the legal professional community should pay attention to the changes in the roles and functions of the participants in the reform, as well as the long-term impact on the development of the rule of law in the country, taking into account the common development of legal professionals, and participate in the construction of the rule of law in the country.
Lawyer Wu Yuxin talks about environmental compliance construction of private enterprises
Mr. Wu Yuxin at the forum
In the panel discussion on "Compliance Construction for Private Enterprises", Mr. Wu YuXin mainly proposed the compliance construction program for private enterprises from the perspective of environmental compliance module structure. Environmental compliance module architecture is the setting of overall structure and components of environmental compliance system, which is used to guide the design of environmental compliance special modules and express the static structural relationship and dynamic behavioral relationship between the components and core elements of the core structure of the environmental compliance system.
Wu Yuxin pointed out that, under the premise that environmental compliance system construction is in high demand but difficult to replicate, meeting environmental compliance needs and making it standardized and operable to achieve environmental compliance purposes is the background of the architecture study. King&Capital Criminal Defense Research Center Environmental Compliance Professional Committee, environmental compliance module four series of components and a special component, is the environmental compliance module architecture under the guidance of the development and design.
Attorney Wu Yuxin said that the module of the main three design principles. First, the principle of reuse of technical capabilities, that is, to make full use of other modules that can be reused in the corporate compliance system to reduce time costs and improve design efficiency. Second, the principle of openness, that is, in order to meet the special needs of the project and system operation and maintenance needs, the design takes into account the openness and scalability. Third, the principle of balance, that is, for the adjustment of normative documents, especially environmental technical specifications change frequently, through the compatible design, so that the structure is relatively stable.
In addition, Wu Yuxin also pointed out that the environmental compliance module according to different logical entry points, there will be different design needs, for example, in accordance with the State-owned Assets Supervision and Administration Commission in 2022 to strengthen compliance management requirements for the year of the three lists of the logical structure, risk identification should include the basis for compliance risk identification, key areas of compliance risk identification, compliance risk of the process of control; according to the logic of the environmental elements and the possibility of formation of pollution, it should be Separate design of water, gas, sound, slag, hazardous and other common modules and other special modules.
Finally, Wu Yuxin said that the environmental compliance system architecture design, in addition to focusing on the logical process, but also focus on the environmental business and technical processes, in particular, the "five high design", namely: high performance, high reliability, high scalability, high security, high maintainability. The design of environmental compliance module architecture in enterprise compliance management system is rich in content and varied in form, which may differ in different designers and different entry points, but the methodology is similar.
The picture shows the scene of the forum activity in Gao Mingxuan Academic Hall
At the scene of the event, all the participants carried out full interactive exchanges, through professional academic exchanges, full sharing of work experience, to reach a consensus to jointly help the reform of the compliance system of enterprises involved in the case, and to jointly help the steady development of private enterprises. At the end of the event, Li Hong, Vice President of China Criminal Law Association and Professor of Tsinghua University Law School, summarized the views of the speakers, and the forum came to a successful conclusion.
