关键词: 刑事合规, 犯罪治理, 合规激励, 合规有效性

Abstract: The compliance reform of the enterprises involved in the cases has achieved phased results, but due to the serious shortage of theoretical supply, the reform practice is facing many difficulties, such as the unclear definition of the concepts of criminal compliance, the unclear applicable objects of the reform, the lack of negative compliance incentive mechanism, and doubtful standards of compliance effectiveness. With the continuous deepening of the compliance reform of the enterprises involved in the case, there is an urgent need to explore and clarify the important concepts related to criminal compliance. On the basis of summarizing and reflecting on the existing practical exploration, we should combine our experiences with the experience of foreign compliance, and according to the basic principles and internal logic of criminal compliance, make clear that the basic concepts of enterprise criminal compliance are the criminalization and upgrading of enterprise compliance, the incentive mechanism of enterprise criminal compliance being the organic unity of positive and negative incentives, and the basic criterion for judging the effectiveness of enterprise criminal compliance plan being to eradicate the organizational defects. Only in this way can we provide sufficient theoretical basis and conceptual guidance for the in-depth construction of the enterprise criminal compliance system.

Key words: criminal compliance, crime governance, compliance incentives, effective compliance