《联合国反腐败公约》下中国腐败资产跨国追回机制研究

发布时间：2018-07-05 15:08

本文选题：联合国反腐败公约 + 腐败　；参考：《辽宁大学》2013年硕士论文

【摘要】：腐败本质上属于权钱交易，在中国有着悠久的历史，它寄生于人类社会经济和政治生活之中，禁之不绝。经济全球化的到来不仅带来发展的契机，也为腐败犯罪增添了跨国性、涉外性的新特征，与此相对应的是腐败资产跨国转移的出现。腐败分子将巨额腐败资产非法转移至国外的行为对其本国经济带来严重损害，在一些国家甚至对国民经济造成全局性的不利影响。据统计，中国自上世纪90年代中期以来，外逃腐败官员高达16000人至18000人，携带款项达8000亿元人民币。2003年10月31日，《联合国反腐败公约》（以下简称《公约》）的出台为国际社会合作打击腐败犯罪提供了法律基础及合作框架，同年12月10日，中国政府成为该《公约》的缔约国。中国作为该公约的主要缔约国之一，不仅应当有针对性地完善本国相关配套法律，顺利与国际接轨，而且需要与各国达成一系列的双边和多边合作条约，当然，这又是一个长期过程。本文中国腐败资产跨国追回机制为研究对象，与《公约》确立的资产追回机制相对照，指出中国现行法律制度中尚存在亟待完善之处。基于此，为追回跨国转移的腐败资产，中国应当尽快改革司法制度中与《公约》不相契合之处，完善腐败犯罪的诉讼程序，早日实现与《公约》资产追回机制的全面对接。这不仅是完善中国法制建设的需要，同时也是反腐败现实的迫切需要。本文分为四个部分。第一部分概述《公约》框架下中国腐败资产跨国追回的含义以及中国腐败资产跨国追回的迫切性，，为后文论述奠定基础。第二部分首先总结资产追回机制在《公约》中的法律地位，随后论述了腐败资产跨国转移的预防与监测、腐败资产的直接追回措施、间接追回措施以及追回资产的处分与返还这四方面主要内容。第三部分分析中国腐败资产跨国追回面临的障碍，在直接追回方面主要是国家主权豁免原则缺乏例外规定、证人保护制度尚不健全以及缺乏刑事附带民事诉讼的缺席审判制度。在间接追回方面主要是刑事没收以及没收事宜的国际合作的相关立法尚需完善。第四部分对应第二部分《公约》的制度框架，从四个方面，对中国腐败资产跨国追回机制提出具体完善建议。综上，中国应当以开放态度对待腐败资产跨国追回问题，逐步建立完备的国内法，为运用《公约》追回外流的腐败资产奠定基础。
[Abstract]:Corruption is essentially a trade in power and money, and has a long history in China. It is parasitic in the social, economic and political life of human beings. The arrival of economic globalization not only brings opportunities for development, but also adds new features of transnational and foreign-related nature to corruption crimes, corresponding to the emergence of transnational transfer of corrupt assets. The illegal transfer of a large amount of corrupt assets to foreign countries by corrupt elements has caused serious damage to their domestic economy, and has even caused overall adverse effects on the national economy in some countries. According to statistics, since the mid-1990s, there have been as many as 16000 to 18000 corrupt officials fleeing the country. On October 31, 2003, the United Nations Convention against Corruption (hereinafter referred to as the Convention) provided the legal basis and cooperation framework for the international community to cooperate in combating corruption crimes. The Chinese Government has become a party to the Convention. As one of the main signatories to the Convention, China should not only improve its relevant supporting laws in a targeted manner, but also conclude a series of bilateral and multilateral cooperation treaties with other countries. This is another long-term process. In this paper, the transnational recovery mechanism of corrupt assets in China is studied and compared with the asset recovery mechanism established in the Convention. It is pointed out that there are still some problems in China's current legal system that need to be improved. Therefore, in order to recover the transferred corrupt assets across the country, China should reform the judicial system as soon as possible where it is inconsistent with the Convention, perfect the procedure for corruption crimes, and realize the comprehensive docking with the asset recovery mechanism of the Convention as soon as possible. This is not only the need of perfecting China's legal system, but also the urgent need of anti-corruption reality. This paper is divided into four parts. The first part summarizes the meaning of transnational recovery of corrupt assets in China under the framework of the Convention and the urgency of transnational recovery of corrupt assets in China, which lays a foundation for the following discussion. The second part first summarizes the legal status of asset recovery mechanism in the Convention, and then discusses the prevention and monitoring of transnational transfer of corrupt assets, the direct recovery measures of corrupt assets. Indirect recovery measures and the disposal and return of recovered assets are the four main contents. The third part analyzes the obstacles to the transnational recovery of corrupt assets in China. The main reasons for direct recovery are the absence of exceptions to the principle of sovereign immunity of the state, the imperfect system of witness protection and the absence of a system of trial in absentia with civil proceedings incidental to criminal proceedings. Relevant legislation on indirect recovery, mainly criminal confiscation and international cooperation for confiscation purposes, needs to be improved. The fourth part, corresponding to the institutional framework of the second part of the Convention, puts forward concrete suggestions on the transnational recovery mechanism of China's corrupt assets from four aspects. To sum up, China should adopt an open attitude towards transnational recovery of corrupt assets and gradually establish complete domestic laws to lay the foundation for the recovery of the outflow of corrupt assets through the use of the Convention.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D997.9

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