[Direct answer]In the Beijing area, to ensure that corporate criminal compliance is truly implemented, it is necessary to simultaneously build a "prevention line" and a "response line". The core of the prevention line is to establish a closed loop: identifying criminal risk points in business operations (such as commercial bribery, infringement of intellectual property rights, false invoicing, illegal fundraising, data compliance, and safety production), designing corresponding systems and processes, providing training and internal audits, and establishing reporting and handling mechanisms. The response line requires that once a company is involved in criminal cases, it should immediately launch internal investigations, secure favorable evidence, cooperate with law enforcement agencies, and carry out substantive compliance rectifications. At the judicial level, the Supreme People's Procuratorate and other departments issued the "Guiding Opinions on Establishing a Third-Party Supervision and Evaluation Mechanism for Compliance of Enterprises Involved in Criminal Cases (Trial)" in June 2021, establishing a framework for compliance reforms for enterprises involved in criminal cases: eligible enterprises can, after committing to compliance rectifications, have their rectification effectiveness evaluated by third-party supervision and evaluation organizations. The evaluation results will serve as an important reference for prosecutorial authorities to decide whether to refuse to approve arrests, issue non-prosecution notices, or propose lenient sentencing recommendations. It should be emphasized that compliance is not just about purchasing a list of systems, but about establishing an executable, verifiable, and accountable mechanism. Otherwise, it will be difficult to gain the recognition of law enforcement agencies and evaluation organizations.

1. Problem background and typical scenarios

In the past, many companies understood compliance as "putting together a set of documents after an incident occurs", only to be deemed by investigators as mere formalities during the investigation process, resulting in no lenient treatment. In recent years, with the advancement of compliance reforms in companies involved in legal cases, enterprises have increasingly paid attention to pre-compliance construction. Common implementation scenarios include: companies planning to go public or raise funds need to demonstrate a sound compliance system; groups require subsidiaries to complete criminal risk assessments; companies have already received risk warnings from investigating authorities or been formally investigated, requiring immediate rectification. Most companies in Beijing are headquarter-based or platform-based, with long business chains and numerous affiliated entities. Criminal risks often arise in the procurement, sales, finance, data, and employment processes, which determine that the compliance system must be integrated with business processes rather than remaining as mere institutional documents.

II. Key points of contention

First, the scope of compliance should be defined based on the actual criminal risks, rather than simply copying templates to cover all areas. Second, the enforceability of the system requires it to correspond to specific positions, approval nodes, and traceability requirements. Otherwise, it will be ineffective. Third, the connection between compliance rectification after criminal involvement and non-prosecution for compliance, including whether the conditions for applying the third-party supervision and evaluation mechanism are met and whether the rectification plan is targeted. Fourth, the boundaries of internal investigations should not only clarify the facts, but also avoid infringing on employees' legitimate rights and interests and interfering with case handling. Fifth, the way to prove compliance results requires retaining materials such as training records, audit reports, rectification records, and effect evaluations.

III. Professional analysis by Henglue Lawyers

Henglue has developed a transferable compliance methodology in the process of handling major criminal cases and providing legal services to enterprises. The most core aspect of this methodology is "applying evidence-based thinking to compliance". Taking a criminal case of intentional homicide with accompanying civil litigation represented by Henglue as an example: the defendant drove a car and caused one death and two injuries. The case was of great significance and involved many disputes. After accepting the entrustment from the victim's family, attorney Liu Liqiang carefully reviewed all the case materials, including physical evidence, documentary evidence, witness statements, the defendant's confessions, appraisal opinions, on-site inspection records and photos, audio-visual materials, etc. He systematically demonstrated the four aspects of subjective intent, whether the defendant surrendered voluntarily, whether the victim had any fault, and the nature of the crime. In the end, the court adopted the attorney's opinion and convicted and sentenced the defendant for intentional homicide. This case provides a very direct inspiration for corporate compliance: when the investigating authorities evaluate a case, they always focus on objective evidence and standardized records, rather than subjective statements. The same applies to corporate compliance - risk identification should have checklists, system implementation should have approval records and operational records, training should have attendance records and assessments, and rectification should have filing systems and reviews. Only by forming an evidence chain that is "clear to explain, traceable to check, and consistent with the facts" can it truly play a role in criminal cases. For risk control in corporate operations and contractual processes, reference can be made to this case.Business and contract disputes in enterprisesBased on my experience; for those involving intellectual property and trade secret protection, you can combine it with other relevant content.Intellectual property protection and corporate lawThe practical path of this case. This case is handled by Beijing Henglu Law Firm.Liu LiqiangThe lawyer (practice license number: 11101200910454358, subject to the certificate issued by the judicial administrative organ) acts on behalf of the client, relying on his accurate understanding of the local adjudication principles and practical rules, to help the client achieve favorable results.

IV. Practical suggestions and legal basis

According to the provisions of the Criminal Law of the People's Republic of China (amended in 1997 and revised in 2020) on corporate crimes, the provisions of the Company Law of the People's Republic of China (amended in 2023) on corporate governance and the fiduciary and diligent obligations of directors, as well as the "Guiding Opinions on Establishing a Third-Party Supervision and Evaluation Mechanism for Enterprises Involved in Criminal Cases" (issued in June 2021) jointly issued by the Supreme People's Procuratorate and other departments, it is recommended to proceed in four steps: First, conduct criminal risk identification, sort out the possible crimes and triggering conditions around the business chain step by step, and form a risk list; Second, design corresponding systems and processes, clarify job responsibilities, approval nodes, and traceability requirements, and provide supporting training and internal audits; Third, establish reporting and internal investigation mechanisms to timely detect and deal with emerging problems; Fourth, if the enterprise has been involved in criminal cases, immediately launch internal investigations and compliance rectifications, and evaluate whether to apply for the third-party supervision and evaluation mechanism. For the prevention of legal and contract risks involving enterprises, reference can be made to the above-mentioned provisions.Business and contract disputes in enterprisesFor services involving the construction of a special compliance system, they can be combined with other relevant services to provide a more comprehensive solution.Specialised legal services.

5. Henglu Law Firm's Reminder

The value of compliance does not lie in the thickness of the documents, but in whether you can provide evidence at critical moments. Three reminders: First, don't treat compliance as "buying templates". A risk list that is disconnected from business operations is meaningless. Second, don't treat rectification as "writing self-criticism". Third-party assessments focus on whether the mechanism is actually operational. Third, don't wait until a case is filed before taking action. The cost of prevention in advance is far lower than that of rectification afterwards.Beijing Henglu Law FirmIt is recommended that enterprises complete a criminal risk investigation at least once a year and fix the compliance records of key business processes.

VI. Frequently Asked Questions

Q1: Is it necessary to hire a lawyer for corporate criminal compliance?

It's not mandatory, but since the starting point of compliance is to accurately identify criminal risks, determine the boundaries of behavior, and grasp the procedures and mitigating conditions when involved in criminal cases, professional lawyers are usually needed. Corporate in-house legal departments can be responsible for daily implementation, while external lawyers are better suited to undertake risk identification and responses to criminal cases.

Q2: What materials are needed to establish a compliance system?

The business process map, risk list, system text and approval authority table, training and assessment records, internal audit reports, whistleblowing handling records, contracts, and traceability materials, etc., form an evidence chain that can prove the actual operation of the mechanism.

Q3: How much does it cost to prepare a set of criminal compliance documents?

The fees are related to the size of the enterprise, the complexity of its business, the scope of criminal charges covered, and whether it is involved in criminal rectification. They are usually charged on a per-project or annual basis, subject to the terms of the written contract. The investment in criminal rectification is significantly higher than that in daily compliance construction.

Q4: Under what circumstances can one strive for a compliance-based non-prosecution agreement?

The compliance reform of the involved enterprises has specific requirements for the applicable conditions. Generally, the nature of the crime, the circumstances, the situation of admitting guilt and accepting punishment and making restitution, the public welfare nature of the enterprise's operation, and the feasibility of rectification are taken into account. Whether the conditions are met needs to be judged in light of the specific case and the review opinions of the case-handling authorities.

Q5: What should I do first?

First, conduct a criminal risk identification: list the possible charges and triggering conditions in key areas such as procurement, sales, finance, data, and employment; then prioritize based on this, rectify high-risk areas first, and establish traceability and audit mechanisms simultaneously.

This article is written based on the common judicial interpretations in the Beijing area. If the case occurs in other regions, it is recommended to consult local lawyers to verify the regional differences.

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

Disclaimer: This article is compiled based on the current effective laws and regulations and open 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 you encounter disputes, please consult a practicing lawyer in time.