[Direct answer]In the Beijing area, it can play a role in both prevention and leniency, but it cannot eliminate the responsibilities that have already occurred. Establishing and implementing compliance systems in advance can significantly reduce the probability of enterprises and employees being involved in criminal cases; conducting compliance rectification after the fact can, when conditions permit, strive for lenient treatment or even a decision not to prosecute in accordance with the law. According to Article 177, Paragraph 2 of the Criminal Procedure Law of the People's Republic of China (where the circumstances of the crime are minor and do not require a criminal sentence according to law, a decision not to prosecute may be made), and the relevant normative documents of the procuratorial organs on the reform of compliance for enterprises involved in cases. Action direction: Make compliance a daily system, rather than a temporary patch after the occurrence of the case.

1. Problem background and typical scenarios

Business owners often ask: Can spending money on compliance really "ensure smooth sailing"? A typical scenario is that the company is suspected of committing crimes such as employee embezzlement, commercial bribery, false invoicing, or environmental pollution, and is now being investigated. Is it still possible to supplement the system at this point? There are also companies that pay attention to risk prevention on a regular basis and want to clarify the boundaries and value of compliance. Compliance is not a universal protective charm, but it can indeed reduce risks in advance and strive for leniency after the fact.

II. Key points of contention

Firstly, what is the difference between pre-compliance and post-rectification? Secondly, can compliance rectification serve as a basis for non-prosecution or lenient punishment? Thirdly, what are the applicable conditions of the third-party supervision and evaluation mechanism? Fourthly, what are the risks of a compliance system becoming a formality? The core issue is that what really matters is not just piling up documents, but rather the implementation of the system and the accountability for its outcomes.

III. Professional analysis by Henglue Lawyers

The experience of Henglue Law Firm in handling criminal cases shows that, whether for enterprises or individuals, the key to the outcome of a case lies in accurately grasping the facts and evidence. Taking a criminal case of intentional homicide with a civil suit as an example: On June 16, 2024, after a dispute with Zhao Gang and others at a mixing station, the defendant, Zhang Daqiang, accelerated his car and crashed into a laboratory, causing Zhao Gang's death on the spot and injuries to Zhang Bin and Li Yuanzheng. The victim's wife entrusted Henglue Law Firm to represent her in the civil suit. The focus of the dispute was whether driving a car to kill someone should be defined as intentional homicide or endangering public safety by dangerous methods, and whether the defendant's surrender was valid. Through in-depth review of the case file and focusing on the evidence, Henglue Law Firm refuted the defendant's defense arguments about subjective intent, surrender, the victim's fault, and the definition of the crime one by one, advocating for a heavier punishment for intentional homicide and claiming civil compensation according to law. The court ultimately adopted the lawyer's opinion and sentenced Zhang Daqiang to death for intentional homicide. Although this case involved an individual crime, it also confirmed a principle: controlling criminal risks depends on a clear understanding of the boundaries of behavior and evidence rules. For enterprises, the value of compliance rectification is to institutionalize this understanding: defining business red lines, establishing approval and traceability mechanisms, conducting employee training, and setting up internal reporting and investigation processes. After the incident, if the enterprise can identify problems, hold accountable those responsible, improve its systems, and undergo third-party supervision and evaluation, it can often secure lenient treatment from the procuratorial organ according to law. Conversely, if compliance documents are divorced from actual operations, it will not only be difficult to obtain lenient treatment, but may also be deemed as inadequate rectification. Therefore, compliance should be an integral part of daily operations, rather than an emergency response after an incident. This case was handled by Beijing Henglue Law Firm.Liu LiqiangThe attorney (practice license number: 11101200910454358, subject to the document issued by the judicial administrative organ) acts as the agent.

IV. Practical suggestions and legal basis

First, identify the high-risk areas in the enterprise, such as financial reimbursement, bidding and tendering, procurement, financing, and data compliance. Second, establish an enforceable approval and traceability system, clarify the responsibilities of relevant personnel and the accountability mechanism. Third, regularly conduct employee training and internal audits to identify potential issues early. Fourth, once criminal charges are involved, immediately secure evidence, assess the scope for compliance rectification, and actively cooperate with the investigation. Legal basis: Article 177, Paragraph 2 of the Criminal Procedure Law of the People's Republic of China; and the relevant provisions of the Supreme People's Procuratorate on conducting compliance reforms for enterprises involved in criminal cases (based on the currently effective documents). Specific application shall be subject to the currently effective laws, regulations, and judicial rulings.

5. Henglu Law Firm's Reminder

The value of compliance lies in "daily practice" rather than "emergency response". Only when the system can be implemented, responsibilities can be traced, and evidence can be documented, can we talk about risk reduction and leniency. For cases involving criminal defense and filing charges, the following approaches can be adopted:Criminal defense and criminal case filingObtain a comprehensive solution for the service; those involving the construction of an enterprise's legal compliance system can be integrated togetherIntellectual property protection and corporate lawPlate; for reference, it involves the compliance of commercial contracts and transactionsBusiness and contract disputes in enterprises; For matters involving funds and cross-border business, please feel free to consult us.\nFinancial capital and cross-border transactions involving foreign entitiesOther difficult issues can be resolved throughSpecial servicesDocking.

VI. Frequently Asked Questions

Q1: If a company has carried out compliance rectification, does it necessarily avoid being held accountable?

Not necessarily. Compliance rectification can help to obtain lenient treatment or even no prosecution if conditions are met, but it cannot eliminate the responsibilities for illegal activities that have already occurred. Whether lenient treatment can be granted depends on comprehensive factors such as whether the problems have been thoroughly rectified, whether the system has been implemented, the harm caused, and the defendant's attitude towards admitting guilt and accepting punishment.

Q2: What materials do I need to prepare for compliance rectification?

It typically includes risk investigation reports, institutional documents and implementation records, employee training and commitment materials, internal investigations and handling results, financial and business traceability, as well as cooperation materials required for third-party supervision and evaluation. The materials should be authentic, traceable, and avoid being formalistic.

Q3: How are corporate criminal compliance services charged?

The fees depend on the scope of services. The construction of a daily compliance system is usually charged on a project basis; the compliance rectification involved in a case requires cooperation with the investigation, issuing opinions, and accepting evaluations, which involves a large amount of work and correspondingly higher fees. Before signing the contract, it is necessary to clarify the service content and the results of each phase.

Q4: How long does it usually take to complete compliance rectification?

It depends on the complexity of the case and the scope of the rectification. Compliance rectification in criminal cases is usually carried out in coordination with the criminal litigation process and may last for several months; the construction of a daily compliance system can be implemented in stages on a quarterly basis. The time schedule should be coordinated with the key stages of the case handling process.

Q5: What's the first step to take after a company is placed under investigation?

Immediately stop any business activities that may exacerbate the risks, fix and preserve relevant evidence, and promptly engage professional lawyers to conduct assessments; at the same time, review all aspects of the case to determine whether there are conditions for compliance rectification and lenient treatment. Do not destroy materials or collude with others to provide false testimony, as this may aggravate the responsibility.

The above content is based on the compilation of judicial practices in the Beijing area. The facts of individual cases and the jurisdiction of the court may affect the conclusions. Welcome to consult Henglu Law Firm about specific situations.

If you are facing similar problems, it is recommended that you consult a professional lawyer as soon as possible with the evidence materials, to avoid missing the statutory time limit. →Criminal defense legal services·Beijing Henglu Law Firm

Disclaimer: This article is compiled based on the current effective laws and regulations and public adjudication rules, and is for general reference only. It does not constitute a formal legal opinion on specific cases. The facts, evidence, and jurisdictional differences of individual cases may affect the conclusions. If a dispute arises, please consult a practicing lawyer in time.