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一方面,合规早先是一个与关系有关的概念。在广义上,它最早被翻译为“法规遵循”。另一方面,合规也可以是一个组织,该组织的职责是确保企业遵守某些特定的规章制度。在法律文献中,人们将合规理解为所有确保公司员工行为合法的措施的集合,结合规在刑法上确定一个具体概念的尝试就是在这些措施中展开的。刑事合规的具体化可以从不同角度展开:从企业视角看,其目标不仅在于预防犯罪,而且意在发挥刑罚的抑制作用;从国家视角看,合规意味司法效率的提高;按照传统理解,其客体是与企业有关的经济刑法,但是,从“组织关联性”的角度看,这一观点并不正确;合规具有不同的相对人,即企业雇员与国家;在具体的合规举措方面,简要的结论是刑事合规手段本身必须合规。被具体化了的合规概念与刑法存在五个层次的关联:风险刑法,刑法的细化,从外部规制到自我管理,刑法全球化以及经济成本效益分析。
On the one hand, compliance was originally a relation-related concept. In the broadest sense, it was first translated as “compliance”. On the other hand, compliance can also be an organization whose role is to ensure that the organization complies with certain rules and regulations. In the legal literature, people understand compliance as a collection of all measures that ensure that a company’s employees behave in a legitimate manner, and attempts to define a specific concept in the criminal law are made in these measures. The concretization of criminal compliance can start from different angles: from a business perspective, its goal is not only to prevent crime, but also to exert the restraining effect of penalties; from a national perspective, compliance means judicial efficiency; according to the traditional understanding, Its object is economic criminal law related to the enterprise, however, this view is not correct from the perspective of “organizational relevance”; compliance has different counterparts, that is, enterprise employees and the country; in specific compliance On the move, the brief conclusion is that the criminal compliance instruments themselves must be compliant. The embodied conception of compliance and criminal law have five levels of association: risk criminal law, the refinement of criminal law, from external regulation to self-management, globalization of criminal law and economic cost-benefit analysis.