腐败资产跨境追回问题研究

发布时间：2018-09-16 21:43

【摘要】：腐败犯罪作为权钱交易的极端表现形式,由来已久。随着经济全球化日益发展,国家对经济、社会控制减弱,腐败犯罪呈全球化、国际化趋势,跨国性、涉外性特征明显,与此相对应的是腐败官员外逃及腐败资产跨境转移。腐败官员潜逃境外或人在境内,通过洗钱、现金走私等方式将腐败资产转移至境外,则成为一些腐败官员的惯用手法。如根据相关研究报告,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。腐败资产跨境转移导致腐败资产全部或部分不能通过现有渠道予以追回,造成国家利益及经济受到损害,刑罚的惩罚功能弱化,诱发和加剧国内矛盾,为民众所诟病。因此,国际范围内,腐败资产跨境转移引起高度重视,腐败资产流出国通过国际或区际司法协助与合作,积极探索与运用各种方法,追回或返还部分被跨境转移的腐败资产。但相较于跨境转移的腐败资产数量,成功追回的比例很小,总体而言,跨境资产追回成效不大。本学位论文以腐败资产跨境追回相关问题为分析对象,其研究目的就是通过探讨腐败资产跨境转移及跨境追回的概况,分析《联合国反腐败公约》框架下腐败资产追回机制的运行及其效果,以及我国在腐败资产跨境追回方面所面临的障碍,在此基础上提出相应的立法对策,并积极地、最大化地实现多种追回措施配合的价值。国外及我国大陆、港澳台地区皆存在较为猖獗的腐败资产跨境转移现象,严重危害政治生活、经济运行及法制原则,对此,世界范围内各个国家与地区积极采取各种应对措施,我国在借助传统性追回途径的基础上,探索策略性追赃等创新性途径。以联合国为主导的《联合国反腐败公约》应运而生,对腐败资产追回机制作出详细的规定,其中直接追回机制重视民事诉讼手段的运用,采取民事确权诉讼、民事侵权诉讼及简易返还的运行模式;而间接追回机制则主要采取民事没收与刑事没收,重视没收的国际合作,主要涉及没收地点的选择、举证责任及证明标准等问题。在腐败资产跨境追回中面临一系列障碍,既有腐败资产跨境追回中的一般性障碍,即国际范围内腐败资产跨境追回的普遍性问题,也有腐败资产追回机制运行中的具体性障碍,更重要的是我国腐败资产跨境追回配套立法的不完善,如主权豁免原则例外制度的缺乏、刑事没收立法的不完善、民事没收立法的缺位以及没收国际司法合作的立法缺陷。因此,为顺利追回跨境转移的腐败资产,最为重要的是要完善腐败资产跨境追回的配套立法,具体而言,要建立运用民事确权诉讼、民事赔偿诉讼及简易返还手段追回腐败资产的制度,要在扩大刑事没收范围、规范没收前保全措施适用及加强善意第三人合法权利保护等方面完善刑事没收制度,要针对腐败犯罪主体死亡、潜逃或者缺席等情形建立民事没收制度,要建立承认与执行外国没收裁决的司法审查机制并完善向外国请求协助没收财产的立法。在腐败资产返还与处分方面要明确腐败资产分享制度的构建方式及具体内容,如分享资产的适用情形、范围、具体程序、比例与方式等。在腐败资产跨境追回的具体操作中,要重视多种措施的配合使用,并最大化地追求配合后产生的价值,如重视基础性措施、灵活性措施及策略性措施的运用,强化腐败资产追回的保障性措施。本学位论文具有一定的创新性,阐述了一些新观点。如建议在腐败资产跨境追回中,要重视民事诉讼的运用。政府在境外提起民事诉讼时,要通过创设国资委、专门基金会等“法人手段”,由其代替政府作为诉讼主体,以避免政府作为诉讼主体所引发的主权豁免方面的问题;主张借鉴美国、英国、新加坡等国家关于民事没收的立法经验,建立我国的民事没收制度;主张在界定没收裁决范围的基础上建立承认与执行外国没收裁决的司法审查机制;建议通过完善国内立法、缔结双边协议及个案合作等方式,构建腐败资产分享制度,设立被没收腐败资产基金以解决腐败资产跨境追回中的追回资产保存、追回耗费资金等问题;主张在腐败资产跨境追回中,要注重灵活性,如灵活地处理资产分享事宜,有效运用不判处死刑承诺,追求量刑磋商的价值。还要讲究策略,如发挥外逃腐败官员追逃在资产追回中的作用,在运用民事诉讼追回腐败资产中要重视与刑事诉讼相结合使用,并注重以指控洗钱犯罪为资产跨境追回的切入点。这些观点有助于我国拓宽思路,创新措施,争取腐败资产跨境追回的最大化效果。本学位论文从选题、收集资料、提纲组织、开始写作、多次修改到论文成稿,历时六年半之久,期间,腐败官员外逃及资产跨境转移现象履有发生,但国际社会对这个问题的认识与看法渐趋一致,反腐败国际合作的氛围也趋于良好,一批潜逃境外多年的腐败官员或涉及腐败犯罪的其他人员也陆续引渡或遣返回国,因此,笔者既深感研究腐败犯罪资产跨境追回这个主题的重要性、紧迫性,也对通过研究这个主题在实践中推动腐败资产跨境追回的进一步开展持有积极、乐观的态度,而正是这种态度,引导笔者在论文写作过程始终保持旺盛的精力及高昂的斗志。
[Abstract]:Corruption crime, as an extreme form of power and money transaction, has a long history. With the development of economic globalization, the state's economic and social control has been weakened. Corruption crime shows the characteristics of globalization, internationalization, transnational and foreign-related. Corrupt officials flee and corrupt assets transfer across borders correspondingly. For example, according to relevant research reports, since the mid-1990s, as many as 16,000 to 18,000 corrupt officials have fled and carried money amounting to 800 billion yuan. All or part of the assets can not be recovered through existing channels, resulting in damage to national interests and the economy, weakening the penalty function, triggering and aggravating domestic contradictions, criticized by the public. Therefore, in the international context, the cross-border transfer of corrupt assets has aroused great attention, and the outflow of corrupt assets through international or interregional judicial assistance and integration. This dissertation focuses on the cross-border recovery of corrupt assets. The purpose of this dissertation is to analyze the cross-border recovery of corrupt assets. By discussing the general situation of the cross-border transfer and recovery of corrupt assets, this paper analyzes the operation and effect of the mechanism for the recovery of corrupt assets under the framework of the United Nations Convention against Corruption, and the obstacles faced by China in the cross-border recovery of corrupt assets. On this basis, it puts forward corresponding legislative countermeasures and actively realizes the multiple recovery. The value of measure coordination.
There are rampant cross-border transfers of corrupt assets in foreign countries, mainland China, Hong Kong, Macao and Taiwan, which seriously endanger political life, economic operation and legal principles. To this end, countries and regions around the world actively take various countermeasures. On the basis of traditional recovery approaches, China has explored innovations such as strategic recovery of stolen goods. The United Nations Convention against Corruption (UNAC), which is led by the United Nations, has come into being and made detailed provisions on the mechanism of recovering corrupt assets. The direct recovery mechanism attaches great importance to the use of civil litigation means, adopts the operational mode of civil action, civil tort action and summary return, while the indirect recovery mechanism mainly adopts the mode of civil forfeiture. Receiving and criminal forfeiture, attaching importance to international cooperation in forfeiture, mainly involves the choice of forfeiture sites, the burden of proof and the standard of proof. In cross-border recovery of corrupt assets, there are a series of obstacles, including general obstacles in cross-border recovery of corrupt assets, that is, the universality of cross-border recovery of corrupt assets in the international context, as well as corrupt capital. The concrete obstacles in the operation of the mechanism of property recovery are, more importantly, the imperfection of the supporting legislation on cross-border recovery of corrupt assets in China, such as the lack of the exceptional system of the principle of sovereign immunity, the imperfection of the legislation on criminal forfeiture, the absence of the legislation on civil forfeiture and the legislative defects of the international judicial cooperation on forfeiture. Corrupt assets, the most important thing is to improve the supporting legislation of cross-border recovery of corrupt assets, specifically, to establish the use of civil action, civil compensation litigation and simple means of return to recover corrupt assets system, to expand the scope of criminal confiscation, standardize the application of preservation measures before confiscation and strengthen the bona fide third party's legitimate rights protection To perfect the criminal forfeiture system, we should establish a civil forfeiture system in the light of the death, flight or absence of the subject of corruption crime, establish a judicial review mechanism for recognizing and enforcing foreign forfeiture awards, and improve the legislation for requesting assistance in forfeiture from foreign countries. In the concrete operation of cross-border recovery of corrupt assets, we should attach importance to the coordinated use of various measures, and maximize the value generated by the cooperation, such as the importance of basic measures, flexibility measures and strategic measures. We should strengthen the safeguard measures for recovering the assets of corruption.
This dissertation has some innovations and expounds some new viewpoints. For example, it is suggested that we should attach importance to the application of civil action in cross-border recovery of corrupt assets. On the issue of sovereign immunity caused by the subject, the author advocates drawing lessons from the legislative experience of the United States, Britain, Singapore and other countries on civil forfeiture to establish a civil forfeiture system in China; advocates establishing a judicial review mechanism for recognition and enforcement of foreign forfeiture awards on the basis of defining the scope of forfeiture awards; and suggests that domestic legislation should be improved and concluded. We should establish a system of sharing corrupt assets through bilateral agreements and case-by-case cooperation, and set up a fund of confiscated corrupt assets to solve the problems of preserving recovered assets and recovering expended funds in cross-border recovery of corrupt assets. We should also pay attention to tactics, such as playing the role of fleeing corrupt officials in asset recovery, paying attention to the combination of criminal proceedings and criminal proceedings in the use of civil proceedings to recover corrupt assets, and attaching importance to accusing money laundering crimes as the entry point of cross-border asset recovery. China has broadened its thinking and innovated measures to maximize the effect of cross-border recovery of corrupt assets. The author, therefore, is deeply aware of the importance and urgency of studying the subject of cross-border recovery of corrupt criminal assets, as well as the importance and urgency of studying this subject through research. In practice, the author holds a positive and optimistic attitude to promote the further development of cross-border recovery of corrupt assets, and it is this attitude that guides the author to maintain vigorous energy and high spirit throughout the writing process of the thesis.
【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D924;D925;D997.9

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