美司法部调整策略：对有合规机制的企业予以宽大处理
Makan Delrahim oversees the Justice Department’s antitrust division. 美国司法部负责反垄断部门的副部长Makan Delrahim。 图片来源：CHIP SOMODEVILLA/GETTY IMAGES
The U.S. Justice Department will begin rewarding companies that have systems in place to prevent antitrust crimes at the time a breach occurs, according to a senior official.
据一位高级官员称，美国司法部将开始奖励在反垄断罪行发生时已有防范机制的公司。
A company that can show it had a strong compliance program can receive discounts off fines and a more lenient type of settlement, Assistant Attorney General Makan Delrahim, who runs the department’s antitrust division, said in prepared remarks for a corporate compliance event Thursday at New York University’s law school.
美国司法部负责反垄断部门的副部长Makan Delrahim在为纽约大学法学院一次企业合规活动准备的演讲稿中称，如果一家公司能够证明自己有强大的合规机制，就可以获得罚款减免和更宽容的和解方式。
The department also has released written guidance on how it evaluates such programs, he said in the prepared remarks.
他在演讲稿中称，反垄断部门已经发布了如何评估这类机制的书面指引。
The announcement, which Mr. Delrahim foreshadowed during a speech in May, extends a policy for crediting companies that develop programs for preventing corruption offenses. It is the latest effort by the Justice Department to incentivize companies to invest in programs that prevent crimes before they happen.
Delrahim在5月份的一次演讲中曾提到过这一举措。司法部将藉此扩大对制定反腐项目的公司既有的奖励政策。这也是司法部鼓励企业投资防犯罪范项目的最新行动。
The policy also introduces significant changes to the Justice Department’s antitrust leniency program. Under that 25-year-old program, the first company to report an illegal cartel can receive immunity from criminal prosecution. Other members of the cartel could be rewarded for cooperating but were traditionally required to plead guilty and pay fines.
这项政策还对司法部的反垄断宽大处理计划做出了显著修改。根据这项沿用了25年的计划，第一家举报非法垄断组织的公司可免遭刑事起诉，而垄断组织的其他成员如果配合调查可以获得奖励，但通常需要认罪并支付罚款。
Such an “all-or-nothing philosophy” approach was a product of a time when the leniency program was the antitrust division’s most important investigative tool, Mr. Delrahim said.
Delrahim说，过去之所以有这种“要么完全免责、要么任何责任都不豁免”的规定，是因为当时的宽大处理计划是反垄断部门最重要的调查工具。
“The time has now come to improve the antitrust division’s approach and recognize the efforts of companies that invest significantly in robust compliance programs,” he added.
Delrahim还表示：“现在是时候改进反垄断部门的做法了，对于那些花大力气投资强大的合规项目的企业，应该予以认可。”
Companies that aren’t first to disclose under the department’s leniency program may now be able to negotiate a deferred prosecution agreement, Mr. Delrahim said.
Delrahim称，根据新的司法部宽大处理计划，没有率先披露垄断的公司现在也可能通过协商达成暂缓起诉协议。
Under a deferred prosecution agreement, prosecutors agree to dismiss criminal charges after a period if a company makes certain changes. Such agreements have proliferated at the Justice Department as a way to punish companies for committing crimes without harming shareholders and employees with no relation to the misconduct.
根据暂缓起诉协议，如果企业做出某些调整，检方将同意在一段时间后撤销刑事指控。美国司法部已大量采用这类协议，目的是惩罚有犯罪行为的企业，但不损害与不当行为无关的股东和员工的利益。
Previously, the Justice Department only gave credit to companies that strengthened their compliance program after a violation was discovered and before reaching a settlement with prosecutors. The department’s manual will be edited to reflect the new policy, Mr. Delrahim said.
此前，美国司法部只对那些在违规行为被发现后、在与检方达成和解前加强了合规程序的公司给予宽大处理。Delrahim称，司法部将根据新的政策修改相关手册。
Mr. Delrahim stressed that companies aren’t guaranteed deferred prosecution agreements simply because they had a compliance program in place at the time of a violation. Other factors, such as whether a company had cooperated with prosecutors, also will be taken into account, he said.
Delrahim还强调，企业不会只因为在违规行为发生时有合规计划就能获得暂缓起诉的保证。他表示，企业此前是否配合了检方的工作等其他因素也将纳入考虑。
Dylan Tokar
（本文版权归道琼斯公司所有，未经许可不得翻译或转载。）
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