Trách nhiệm hình sự của pháp nhân thương mại và những vấn đề cần tiếp tục hoàn thiện

TRACH NHIEM HINH SlT CUA PHAP NHAN THl/ONG MAI VA NHlTNG VAN DE CAN TIEP TUC HOAN THIEN Hoang Minh Dure' Tdm t3t: Bg ludt Hinh s^ ndm 20J (sira doi, bo sung ndm 2017) lan ddu tien quy dinh vdn de trdch nhi^m hinh su cua phdp nhdn thuang mai, day Id buac tien dgt phd quan ni^m vd tu vi tgi phgm vd trdch nhiim hinh su, kip thai ddp img yeu cdu ciia thuc tien cong tdc dau tranh phong ngira vd chong tgi phgm, ddm bdo h^ thong phdp lugt hinh su dugc xdy dung phii hap v&i thong li quoc ti cung nhu phdp lugt ciia cdc quoc gia trin the giai Tuy nhien, quy dinh cua phdp ludt vi trdch nhi^m hinh su cua phdp nhdn thucmg mgi ton tgi mgt so hgn che, bdt cap- Bdi viet chi vd phdn tich nhUng hgn che, bdt cap do, dong thai di xudt gidi phdp hodn thi^n Abstract: The 2015 Criminal Code provides for the first time criminal responsibility of commercial legal entities, which is a breakthrough in the conception and thinking about criminal and criminal responsibility, promptly meeting the requirements of crime prevention and fight, ensuring the criminal legal system to be in line with intemational practices as well as laws of the nations in the world However, there are still certain limitations and shortcomings of the legal provisions on criminal responsibility of commercial legal entities The article throws some light on such limitations and thereby makes proposals for improvements T rdch nhi?m hinh su ciia phap nhdn thuang mai la che dinh lan dau tien dugc quy djnh Bg lugt Hinh sy nam 2015 (siia ddi, bd sung nam 2017)' Day Id diem mdi ndi bat, dgt phd chinh sdch hinh sy cua Ddng vd Nhd nudc, lam thay ddi quan ni^m va tu ve tdi phgm, trdch nhi^m hinh sy, gdp phan khac phuc nhirng bdt cgp, hgn chl viec x\x ly cac hanh vi vi phgm phap lugt ciia phdp nhdn thuang mgi, nhdt la nhung vi pham ITnh vyc kinh te, mdi tmdng, an toan va trdt tu cdng cdng Vdi su can nhac mdt each than trgng, dya tren vi?c danh gia thau ddo, toan dien cac yeu td tac dgng tich cyc vd tieu cue gan liln vdi dieu kien cu the eua Viet Nam, BLHS nam 2015 da bd sung quy dinh trdch • TS., Truong D^i hpc canh sdt nhan dan ' Sau day gpi tit la BLHS nfim 2015 nhi?m hinh su ciia phap nhan thucmg mgi vdi cac ndi dung cg the ve logi phdp nhan thucmg mgi phdi chiu trdch nhi$m hinh sy; nguyen tdc xii ly ddi vdi phdp nhan thuong mgi phgm tdi; dieu kien dp dung trach nhiem hinh su ddi vdi phdp nhan thucmg mgi; loai tdi pham md phdp nhan thucmg mgi phai chiu trdch nhiem hinh sy; hinh phgt va bien phap tu phap dp dung ddi vdi phap nhan thucmg mgi phgm tgi; can cii quylt dinh hinh phat, cac tinh tilt giam nhe, tang nang trach nhiem hinh sy dp dung ddi vdi phap nhan thucmg mgi; quylt dinh hinh phgt trudng hgp phap nhdn thucmg mai phgm nhilu tgi, tdng hgp hinh phgt cua nhilu bdn an, mien hinh phgt, xda dn tich ddi vdi phdp nhan thuang mgi^ Ddng thdi ^ Xem: Trin Van Dp, Trdch nhiem hinh sir ciia phdp nhdn thuang mgi phdn chung Bp lugt Hinh su 17 NHA M^dC VA PHAPLlATSd 7/2020 de truy ciiu trdch nhiem hinh sy va thyc hien trdch nhiem hinh sy, Bd luat Td tung Hinh sy (BLTTHS) nam 2015 da cd nhihig quy dinh ve trinh ty, thu tyc dieu tra, truy td, xet xii vd cdc bien phap cudng che ddi vdi phdp nhan thuang mgi; Lugt Thi hanh an hinh sy nam 2019 quy dinh vl thi hanh dn ddi vdi phdp nhdn thuang mgi hi ket dn^ Cd the khang dinh, bang hf thdng quy dinh ciia phdp luat hinh sy, phdp lugt td tyng hinh sy, phdp ludt thi hdnh an hinh sy ve trdch nhi^m hinh su ciia phdp nhdn thuang mgi, phdp ludt cua Nhd nudc Vi^t Nam da ddng hanh cimg phdp luat ciia khoang 120 qude gia tren the gidi Quy dinh trdch nhi?m hinh sy cua phap nhan thucmg mgi phu hgp vdi nen kinh te thi trudng; khdng trdi vdi cdc hgc thuyet trach nhi?m hinh sy ciia phap nhan vd eac nguyen tdc ca ban cua Lugt hinh sy hi^n dai; dap ling yeu cau thyc tien phdng ngira vd dau tranh chdng tgi phgm ciing nhu qua trinh hgi nhgp qude te^ Mac dii vay, quy dinh ve trdch nhiem hinh sy cita phdp nhan thuang mgi da bgc Id nhiing han che, bat cgp nhat dinh Tir viec khdo sat thyc tiln, nghien cim ly lugn, tham khdo cdc cdng trinh khoa hgc da cdng bd, tdc gia phan tich, luan gidi dudi ddy mgt sd han che, bat cap vd dh xudt kiln n ^ i hoan thi?n Cy thi la: Thir nh4t, khoan Dilu BLHS nam 2015 quy djnh: "Chi phdp nhdn thirang mgi ndo phgm mgt tgi dd dufK quy dinh tgi Dieu 76 cua Bg ludt ndy mai phdi chiu track nhiem hinh su" Quy dinh chua phu hgp vdi thyc tien vi thyc tl cd trudng hgp phdp nhdn thuong mgi phgm mgt tpi, co trudng hgp phdp nhan thucmg mgi phgm nhieu tgi, mgt hay nhieu tgi deu phdi chiu trdch nhi^m hinh sy BLHS nam 2015 quy djnh vl ca sd ciia trdch nhi?m hinh sy, nhung khdng gidi thich ro the ndo Id trdch nhi?m hinh sy, thdi diem phdt sinh va kit thuc trdch nhi?m hinh sy; thdm quyin xdc djnh trdch nhiem hinh su, nen nhgn thiic ve quy djnh ndy chua thdng nhdt xir ly mgt so vy dn hinh sy cu the Ngodi ra, BLHS nam 2015 cung chua cd cdc khdi ni?m ve "nhieu tgi phgm", "pham nhieu tgi", "phgm tdi nhieu lan" ddn den nhdm lan dp dyng phap luat; cd trudng hgp hai hdnh vi nguy hiem cho xa hgi chi bi xet xu ve mgt tgi Uong dd mdt hanh vi nguy hiem cho xa hpi bi xet xir vl hai tgi Ngodi ra, trdch nhi^m hinh sy chi dat vdi phdp nhan thuang mgi chii khdng phdi ddi vdi mgi phdp nhan Tuy nhien, BLTTHS nam 2015 lai quy dinh thu tue td tung truy Ky ySu Hpi thao khoa hpc Bp Tu phap to chiic, ciiu trdch nhiem hinh sy phap nhan md Tp H6 Chi Minh, nam 2019 ^ Xem: Hoang Anh Tuyen, Cdc quy djnh ve trinh tif khdng quy dinh trinh ty, thu tuc td hong ddi thu tifc dieu tra truy to, xet xir vd cdc bi^n phap vdi phdp nhdn thucmg mai la khdng phu hgp cuang che doi vai phdp nhdn thuang mai BQ lugt To tung Hinh su ndm 2015 - Mpt so van de dgt vdi khodn Dieu BLHS nam 2015 trien khai thi hanh, Ky yeu Hpi thao khoa hpc Thiet nghT, nhd lam ludt can khdc phyc Bp Tu phdp to chiic, Tp Ho Chi Minh, nam 2019 nhung bat cap neu tren theo hudng quy dinh Nguyen Van Thjnh, Gidi thieu cdc quy dinh vc thi hdnh dn hinh stf dot vai phdp nhdn ihuong mgi bi kel tgi khoan Dilu BLHS nam 2015: "Chi dn, Ky yeu Hpi thao khoa hpc Bp Tu ph^ to phdp nhdn thuang mgi ndo ph^m tgi da chuc Tp H6 Chi Minh, nam 2019 dugc quy dinh tgi Diiu 76 cua Eg lugt ndy * Ban s o ^ thao Bp luat Hinh su (sira doi), Bdo cdo ddnh gid tdc dpng Du dn Bp lugt Hinh sir (sua doi), mai phdi chiu trdch nhi$m hinh su" Ddng thdi, bd sung tgi Dilu BLTTHS nam 2015 HaNpi, nam2015, tr.13-21 18 TRACHNHI$M HiNH Si/ vh giai thich tii ngii: "^p) Phdp nhdn theo quy djnh cua Bp lugt id phdp nhdn thtnmg mgi" Thij hai, khodn I Dilu BLHS nam 2015 quy dinh: "Tgi phgm la hdnh vi nguy hiim cho xd hgi dugc quy dinh Bg lugt Hinh s{c, nguai co ndng luc trdch nhi$m hinh su hogc phdp nhdn thuang mgi thifC hien mgt cdch co y hodc v6 y, xdm phgm dgc lap, ehd quyen, thong nhdt, todn v^n lanh tho To quoc, xdm phgm che chinh tri, che dg kinh te nin vdn hoa, quoc phdng, an ninh, trdt tu, an todn xd hgi, quyen, Igi ich hgp phdp cua to chuc, xdm phgm quyen nguai, quyen, lai ich hgp phdp cda cong ddn, xdm phgm nhimg linh vuc khdc cua trdt tu phdp ludt xd hgi ehd nghia md theo quy dfnh cua Bg ludt ndy phdi bf xic ly hinh su" Tuy nhien, khdc vdi cd nhan phgm tgi, phdp nhdn thuang mgi khdng phai Id thuc thi ed Iy tri va y chi Nhu vay, ldi ciia phdp nhan la ldi gi? Cd y hay vd ;y? Theo quy dinh tai diem c khoan Dilu 75 BLHS nam 2015 thi: "Hdnh viphgm tgi dugc thuc hien co su chi dgo, diiu hdnh hogc chdp thudn cua phdp nhdn thuang mgi" Id mdt cac dieu kien chiu trdch nhi?m hinh sy ciia phap nhan thuang mai Ddng thdi, nghien ciiu mat chu quan ciia tdi pham ddi vdi 33 tdi danh md phdp nhan thuang mgi phai chiu trach nhiem hinh sy quy dinh tgi Dilu 76 BLHS nam 2015 thi deu Id ldi cd y Nhu vgy, ldi cua phap nhan thuang mgi pham tgi phdi la Idi cd y, khdng the la loi vd y Ben canh dd, vu an hinh sy lien quan den phdp nhdn thuang mai bi budc tdi, CO quan cd thdm quyen tien hanh td tung phdi chiing minh, xdc dinh ro cac tinh tiet dgc tnmg gan liln vdi phap nhan tai Dieu 441 BLTTHS nam 2015, cd viec chiing minh "ldi cua phap nhdn, Idi cua cd nhan id vien ciia phap nhdn" Tdc gia cho rang, de dap ling ddy dii yeu cdu thyc tien cdng tdc dilu tra, truy td, xet xu vu an hinh su phap nhan thuang mgi thyc hien, can bd sung quy dinh vl "ldi cua phdp nhdn thugng mgi" sau Dilu 10 BLHS nam 2015 vl cd y pham tgi Thu- ba, khodn Dilu BLHS nam 2015 quy dinh ve phan loai tgi phgm phdp nhdn thuang mai thyc hien: "Tgi phgm phdp nhdn thuong mgi thuc hi^n dugc phdn logi cdn di vdo tinh chdt vd mice dg nguy hiim cho xd hgi cua hdnh vi phgm tgi theo quy dinh tgi khodn Diiu ndy vd quy dinh tucmg img doi vai cdc tgi phgm dugc quy dinh tgi Dieu 76 cua Bg ludt ndy" Tuy nhien, vigc hiiu dimg tinh thdn cua nhd ldm lugt ddi vdi quy dinh hipn Id mgt vdn de hit siic khd khan, phirc tgp Bdi le, khdng gidng nhu tgi phgm cd nhan thyc hien (cd the phdn loai tgi pham it nghiem trgng, nghiem trgng, rat nghiem trgng, dac bipt nghiem trgng dya vao tinh chat va mirc nguy hilm cho xa hgi cua hdnh vi phgm tgi vd miic cao nhdt ciia khung hinh phgt BLHS quy dinh ddi vdi tdi ay), hinh phgt chinh dp dung ddi vdi phdp nhdn thucmg mai gom: Phgt tiln, dinh chi hogt ddng cd thdi hgn, dinh chi hogt ddng vTnh vien Dieu dd cd nghia, tgi pham phap nhan thuong mai thyc hien chi la tdi phgm it nghiem trgng Neu hiiu may mdc nhu the thi ro rang khdng phu hgp vdi thuc tien vd tinh than ciia nhd lam ludt xii ly ddi vdi hanh vi phgm tdi phap nhdn thucmg mai thuc hien Tir nhung bat cap quy dinh cua phap luat ve viec phan logi tgi pham se ddn den nhimg khd khan nhdt dinh viec xdc dinh thdi hieu truy ciiu trach nhiem hinh sy, thdi ban dieu tra ddi vdi phdp nhan thuang 19 \H.4 SCdC VA PHiPLlArsd 7/2020 mgi thyc hipn hdnh vi phgm tdi vi chi Idii chi dao, dilu hanh, chdp thugn ciia phdp phdn logi dugc tdi phgm thi mdi xdc dinh nhan thuang mai Ngugc Igi, neu da co sy dugc chinh xdc thdi hipu truy ciiu trach chi dgo, dilu hdnh hay chdp thugn ciia phap nhiem hinh su (quy dinh tai Dieu 27, Dieu nhan thuong mgi thi chinh la da nhdn danh 75 BLHS nam 2015) va thdi ban dieu tra phap nhdn rdi^ (quy dinh tai Dilu 172 BLTTHS nam 2015) Khoan Dilu 75 BLHS nam 2015 quy dinh: "Vi^cphdp nhdn thuang mgi phgm tgi De dam bdo chat che ve mat lap phdp chiu trdch nhi^m hinh su kiiong logi tru phu hgp vdi cdch phdn logi tdi phgm ca trdch nhi^m hinh su cua cd nhdn " Nhung, nhdn thuc hipn, phuc ddp yeu cau thyc tien phgm vi cd nhan ndo thugc phdp nhan ddu tranh phdng ngira va chdng tgi phgm, thucmg mgi phdi chju trdch nhipm hinh sy tdc gid kien nghi siia ddi quy dinh tgi khodn lai khdng dugc dl cgp cg the dieu ndy cd Dilu BLHS nam 2015 theo hudng: "Toi the dan den vipc dp dyng phdp luat mgt cdch phgm phdp nhdn thuang mgi thuc hi^n dugc phdn logi cdn cu vdo tinh chdt vd muc hiy tipn, thilu thdng nhat thyc tien dg nguy hiem cho xd hgi cua hdnh vi phgm D I khdc phyc nhirng bdt cgp neu tren, tgi theo quy dinh tgi khodn Dieu ndy vd quy djnh tai khodn Dilu 75 BLHS nam quy dinh tuang img doi vai cdc tgi phgm 2015 can siia ddi nhu sau: dugc quy djnh tgi Diiu 76 cua Bg lugt ndy "1 Phdp nhdn thuang mgi chi phdi md khong phu thugc vdo logi hinh phgt dp chju trdch nhi^m hinh su co du cdc diiu dung doi v&i phdp nhdn thugng mgi" ki?n sau ddy: Thir tu, khodn Dilu 75 BLHS nam a) Hdnh vi phgm tgi dugc thuc hiin vi 2015 da dua cdc dieu kien de cd the truy Igi ich cua phdp nhdn thuang mgi: ciiu trdch nhipm hinh sy ddi vdi phap nhan b) Hdnh vi phgm tgi dugc thuc hien co thucmg mai gdm: (1) Hdnh vi phgm tgi dugc su chi dgo, dieu hdnh hogc chap thudn cda thyc hien nhdn danh phdp nhdn thuang mgi; phdp nhdn thuang mgi; (2) Hdnh vi phgm tgi dugc thye hien vi Igi c) Chua hit th&i hi^u truy ciru trdch ich cua phap nhan thucmg mai; (3) Hdnh vi nhi^m hinh su quy dfnh tgi khodn vd phgm tdi dugc thyc hien cd sy chi dgo, dieu khodn Dieu 27 cua Bg ludt ndy" hdnh hogc chap thudn ciia phap nhan thuang Thir nSm, de ddm bao su than trgng mgi; (4) Chua het thdi hipu truy ciiu trdch cdn thilt, BLHS nam 2015 chi quy dinh nhiem hinh sy Ddy Id 04 dieu kien ddc lap trach nhiem hinh sy ciia phdp nhdn thucmg vd phai cd dii cdc dieu kien ndy mdi truy mgi doi vdi 33 tgi danh thugc nhdm cdc tgi ciiu trdch nhiem hinh sy ddi vdi phdp nhan xam phgm trat ty quan ly kinh tl, cdc tgi thuang mai Song, dieu kien thii nhdt (hanh pham ve mdi trudng va cac tgi xdm phgm vi phgm tdi dugc thyc hien nhdn danh phdp an todn cdng cdng, trdt ty cdng cdng BLHS nhdn thuang mgi) vd dieu kien thii ba (hdnh nam 2015 khdng quy dinh vl trach nhiem vi phgm tgi dugc thyc hien cd sy chi dao, hinh sy ciia phdp nhan thucmg mgi ddi vdi dieu hdnh hoae chdp thudn cua phap nhan Tgi mua bdn ngudi, Tgi mua bdn ngudi thuang mgi) dudng nhu chua dgc lap vdi Vi thuc te, neu hdnh vi pham tgi dugc ' Bach Ngpc Du, Truy ciru trdch nhi^m hinh su doi thyc hipn nhan danh phdp nhan thucmg mai v&i phdp nhan ihuang mgi phgm Ipi, http://tapchi thi khdng the Igi cd trudng hgp khdng cd sy toaan.vn, tmy cap 28/5/2019 20 TRACH NHI$M HiNH S^f nhdn thuvng mgi chudn bj phgm tpi quy dudi 16 tudi, Tgi dua hdi Ig, Tgi nhdn hdi Ig Dieu ndy dan den sy xung dgt giiia quy dinh tgi Bieu 300, Bieu 324 cua Bp lugt djnh ciia BLHS ndm 2015 vdi mgt sd Cdng ndy thi phdi chiu trdch nhi^m hinh stf" udc qude tl ve phdng chdng tgi pham ma Thu- sau, Dilu 78 BLHS nam 2015 quy Vipt Nara Id vien nhu: Cdng udc dinh: "Dinh chi hogt dgng co thai hgn la Chdng tgi pham cd td chiic xuyen qude gia, tgm dimg hogt dgng oia phdp nhdn thuang Cdng udc Chdng tham nhung Thiet nghT, mgi mgt hogc mgt so linh vuc md phdp nhd ldm lugt can can nhac, ddnh gid mdt nhdn thuang mgi phgm tgi gdy thiit hgi den each thau ddo, todn dipn vd sira ddi Dieu 76 tinh mgng, sue khde nguai, moi trudng BLHS nam 2015 ve phgm vi chiu trdch hogc an ninh, trdt tu, an todn xd hgi vd hgu nhipm hinh sy cua phdp nhan thuang mai qud gdy co khd ndng khdc phuc tren thfrc theo hudng: "Phdp nhdn thuang mgi phdi te " Quy dinh chua chinh xdc vi neu gay chfu trdch nhi^m hinh su vi tgi phgm quy thipt hgi den tinh mgng thi ro rang hau qud djnh tgi mgt cdc dieu ISO, 151, 188, gay khdng thi khac phyc dugc tren thyc 189, 190, 191, 192 193, 194 195, 196, 200, te, can siia ddi theo hudng: "Dinh chi hogt 203, 209, 210, 211, 213, 216, 217, 225, 226,dgng CO th&i hgn Id tgm dimg hogt dgng cua 227, 232, 234, 235, 237, 238, 239, 242, 243,phdp nhdn thucmg mgi mgt hogc mgt 244, 245, 246, 300, 324 354 vd 364 cua Bgso linh vuc md phdp nhdn thuang mgi phgm lugt ndy " tgi gdy thift hgi den sure khde nguai, moi tru&ng hogc an ninh, trgt ttf, an todn Phdp nhan thuang mgi phdi chju trdch nhipm hlnh sy ve tgi phgm nia tien vd tai trg xd hpi vd hgu qud gdy cd khd ndng khdc phuc tren thuc te " khiing bo Tuy nhien, day Id 02 loai tgi phgm dgc bipt nguy hiem, tac ddng xdu tdi Dilu 82 BLHS nam 2015 quy djnh cdc nhilu phuang dipn ciia xa hgi, nen cd nhan bipn phdp tu phdp ap dung ddi vdi phdp phdi chiu trdch nhi^m hinh sy cd nhan thucmg mgi phgm tgi chi de cgp den giai dogn chudn bi phgm tgi, nhung phdp thdm quyen dp dyng ciia tda dn Tuy nhien, nhdn thuang mai chi phdi chiu trach nhiem qud trinh dieu tra tdi pham phdp nhan hinh sy tgi phgm da hoan thdnh Rd thuang mgi thyc hien thudng keo dai, rdng, phdp nhan thuang mgi cd td chiic, cd giai doan dieu tra neu khdng kjp thdi dp tilm lyc vl kinh tl, nhdn lyc Idn mgnh hon dyng cac bien phdp tu phdp ddi vdi phdp cd nhdn nhilu lan, nen thyc hien hdnh vi nhan thuang mgi nhu: Bugc khdi phyc Igi phgm tgi, kl cd thyc hien hanh vi tinh trang ban dau hay huge thyc hipn mgt giai dogn chuan bi phgm tgi thi phdp nhan sd bipn phdp nhdm khac phyc, ngan chgn thuang mgi cd khd nang gdy thiet hgi Idn hdu qua tiep tuc xdy ra, md phdi ehd den hon so vdi hanh vi chudn hi phgm tgi cua cd tda an xet xir vd quyet dinh thi khdng ddm nhdn Tuy nhien, phdp ludt mdi chi quy dinh bdo dugc myc dich dp dung cua cdc bien trudng hgp ca nhdn phdi chiu trach nhiem phdp ndy Bat cap neu tren edn dugc khdc hinh sy giai dogn chudn bi phgm tgi, phuc bang cdch bd sung vdo quy dinh tgi chua quy dinh trach nhiem hinh sy ddi vdi Dilu 82 BLHS nam 2015 theo hudng bd phdp nhan thuang mai giai dogn sung tham quyen dp dung cdc bien phdp tu chuan bi phgm tgi Id chua phu hgp vdi thuc phdp cho ca quan dieu tra, vien kiem sat tien Do vay, can bd sung quy dinh: **Phdp thugc vdo giai dogn td tung ciia vu an 21