腐敗資產(chǎn)跨境追回問題研究
發(fā)布時間：2018-09-16 21:43
【摘要】：腐敗犯罪作為權(quán)錢交易的極端表現(xiàn)形式,由來已久。隨著經(jīng)濟全球化日益發(fā)展,國家對經(jīng)濟、社會控制減弱,腐敗犯罪呈全球化、國際化趨勢,跨國性、涉外性特征明顯,與此相對應(yīng)的是腐敗官員外逃及腐敗資產(chǎn)跨境轉(zhuǎn)移。腐敗官員潛逃境外或人在境內(nèi),通過洗錢、現(xiàn)金走私等方式將腐敗資產(chǎn)轉(zhuǎn)移至境外,則成為一些腐敗官員的慣用手法。如根據(jù)相關(guān)研究報告,上世紀(jì)90年代中期以來,外逃腐敗官員高達16000人至18000人,攜帶款項達8000億元人民幣。腐敗資產(chǎn)跨境轉(zhuǎn)移導(dǎo)致腐敗資產(chǎn)全部或部分不能通過現(xiàn)有渠道予以追回,造成國家利益及經(jīng)濟受到損害,刑罰的懲罰功能弱化,誘發(fā)和加劇國內(nèi)矛盾,為民眾所詬病。因此,國際范圍內(nèi),腐敗資產(chǎn)跨境轉(zhuǎn)移引起高度重視,腐敗資產(chǎn)流出國通過國際或區(qū)際司法協(xié)助與合作,積極探索與運用各種方法,追回或返還部分被跨境轉(zhuǎn)移的腐敗資產(chǎn)。但相較于跨境轉(zhuǎn)移的腐敗資產(chǎn)數(shù)量,成功追回的比例很小,總體而言,跨境資產(chǎn)追回成效不大。本學(xué)位論文以腐敗資產(chǎn)跨境追回相關(guān)問題為分析對象,其研究目的就是通過探討腐敗資產(chǎn)跨境轉(zhuǎn)移及跨境追回的概況,分析《聯(lián)合國反腐敗公約》框架下腐敗資產(chǎn)追回機制的運行及其效果,以及我國在腐敗資產(chǎn)跨境追回方面所面臨的障礙,在此基礎(chǔ)上提出相應(yīng)的立法對策,并積極地、最大化地實現(xiàn)多種追回措施配合的價值。 國外及我國大陸、港澳臺地區(qū)皆存在較為猖獗的腐敗資產(chǎn)跨境轉(zhuǎn)移現(xiàn)象,嚴(yán)重危害政治生活、經(jīng)濟運行及法制原則,對此,世界范圍內(nèi)各個國家與地區(qū)積極采取各種應(yīng)對措施,我國在借助傳統(tǒng)性追回途徑的基礎(chǔ)上,探索策略性追贓等創(chuàng)新性途徑。以聯(lián)合國為主導(dǎo)的《聯(lián)合國反腐敗公約》應(yīng)運而生,對腐敗資產(chǎn)追回機制作出詳細的規(guī)定,其中直接追回機制重視民事訴訟手段的運用,采取民事確權(quán)訴訟、民事侵權(quán)訴訟及簡易返還的運行模式;而間接追回機制則主要采取民事沒收與刑事沒收,重視沒收的國際合作,主要涉及沒收地點的選擇、舉證責(zé)任及證明標(biāo)準(zhǔn)等問題。在腐敗資產(chǎn)跨境追回中面臨一系列障礙,既有腐敗資產(chǎn)跨境追回中的一般性障礙,即國際范圍內(nèi)腐敗資產(chǎn)跨境追回的普遍性問題,也有腐敗資產(chǎn)追回機制運行中的具體性障礙,更重要的是我國腐敗資產(chǎn)跨境追回配套立法的不完善,如主權(quán)豁免原則例外制度的缺乏、刑事沒收立法的不完善、民事沒收立法的缺位以及沒收國際司法合作的立法缺陷。因此,為順利追回跨境轉(zhuǎn)移的腐敗資產(chǎn),最為重要的是要完善腐敗資產(chǎn)跨境追回的配套立法,具體而言,要建立運用民事確權(quán)訴訟、民事賠償訴訟及簡易返還手段追回腐敗資產(chǎn)的制度,要在擴大刑事沒收范圍、規(guī)范沒收前保全措施適用及加強善意第三人合法權(quán)利保護等方面完善刑事沒收制度,要針對腐敗犯罪主體死亡、潛逃或者缺席等情形建立民事沒收制度,要建立承認與執(zhí)行外國沒收裁決的司法審查機制并完善向外國請求協(xié)助沒收財產(chǎn)的立法。在腐敗資產(chǎn)返還與處分方面要明確腐敗資產(chǎn)分享制度的構(gòu)建方式及具體內(nèi)容,如分享資產(chǎn)的適用情形、范圍、具體程序、比例與方式等。在腐敗資產(chǎn)跨境追回的具體操作中,要重視多種措施的配合使用,并最大化地追求配合后產(chǎn)生的價值,如重視基礎(chǔ)性措施、靈活性措施及策略性措施的運用,強化腐敗資產(chǎn)追回的保障性措施。 本學(xué)位論文具有一定的創(chuàng)新性,闡述了一些新觀點。如建議在腐敗資產(chǎn)跨境追回中,要重視民事訴訟的運用。政府在境外提起民事訴訟時,要通過創(chuàng)設(shè)國資委、專門基金會等“法人手段”,由其代替政府作為訴訟主體,以避免政府作為訴訟主體所引發(fā)的主權(quán)豁免方面的問題;主張借鑒美國、英國、新加坡等國家關(guān)于民事沒收的立法經(jīng)驗,建立我國的民事沒收制度;主張在界定沒收裁決范圍的基礎(chǔ)上建立承認與執(zhí)行外國沒收裁決的司法審查機制;建議通過完善國內(nèi)立法、締結(jié)雙邊協(xié)議及個案合作等方式,構(gòu)建腐敗資產(chǎn)分享制度,設(shè)立被沒收腐敗資產(chǎn)基金以解決腐敗資產(chǎn)跨境追回中的追回資產(chǎn)保存、追回耗費資金等問題;主張在腐敗資產(chǎn)跨境追回中,要注重靈活性,如靈活地處理資產(chǎn)分享事宜,有效運用不判處死刑承諾,追求量刑磋商的價值。還要講究策略,如發(fā)揮外逃腐敗官員追逃在資產(chǎn)追回中的作用,在運用民事訴訟追回腐敗資產(chǎn)中要重視與刑事訴訟相結(jié)合使用,并注重以指控洗錢犯罪為資產(chǎn)跨境追回的切入點。這些觀點有助于我國拓寬思路,創(chuàng)新措施,爭取腐敗資產(chǎn)跨境追回的最大化效果。本學(xué)位論文從選題、收集資料、提綱組織、開始寫作、多次修改到論文成稿,歷時六年半之久,期間,腐敗官員外逃及資產(chǎn)跨境轉(zhuǎn)移現(xiàn)象履有發(fā)生,但國際社會對這個問題的認識與看法漸趨一致,反腐敗國際合作的氛圍也趨于良好,一批潛逃境外多年的腐敗官員或涉及腐敗犯罪的其他人員也陸續(xù)引渡或遣返回國,因此,筆者既深感研究腐敗犯罪資產(chǎn)跨境追回這個主題的重要性、緊迫性,也對通過研究這個主題在實踐中推動腐敗資產(chǎn)跨境追回的進一步開展持有積極、樂觀的態(tài)度,而正是這種態(tài)度,引導(dǎo)筆者在論文寫作過程始終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.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D924;D925;D997.9
本文編號：2244899
[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.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D924;D925;D997.9
【參考文獻】
相關(guān)期刊論文 前10條
1 楊宇冠,吳小軍;《聯(lián)合國反腐敗公約》資產(chǎn)追回機制與我國刑事訴訟法的完善[J];當(dāng)代法學(xué);2005年01期
2 王學(xué)成;張健;;我國跨國追繳職務(wù)犯罪所得相關(guān)制度研究[J];當(dāng)代法學(xué);2007年03期
3 張琰妍;;引渡制度重思[J];中國司法;2006年03期
4 王秋玲;苗春;;非經(jīng)刑事定罪的沒收制度與我國相關(guān)法律完善[J];大連海事大學(xué)學(xué)報(社會科學(xué)版);2007年01期
5 陳斌;崔凱;;外逃腐敗資產(chǎn)追回的程序選擇——從《聯(lián)合國反腐敗公約》的視角[J];湖北社會科學(xué);2006年11期
6 申嘉;;“刑事附帶民事訴訟”制度對追回腐敗資產(chǎn)的制約及對策[J];法學(xué)雜志;2007年05期
7 陳雷;國際反腐敗法律機制中的資產(chǎn)追回制度[J];法學(xué);2004年08期
8 陳立虎,易波;從《聯(lián)合國反腐敗公約》看我國遏制貪官攜款外逃制度創(chuàng)新[J];江蘇警官學(xué)院學(xué)報;2004年03期
9 魏紅;劉學(xué)文;;淺議《聯(lián)合國反腐敗公約》框架下中國外逃資產(chǎn)追回機制的法律構(gòu)建[J];貴州大學(xué)學(xué)報(社會科學(xué)版);2006年03期
10 魏紅;;引入公益訴訟完善外逃腐敗資產(chǎn)追回機制[J];貴州大學(xué)學(xué)報(社會科學(xué)版);2007年01期
相關(guān)重要報紙文章 前1條
1 陳雷;[N];檢察日報;2006年
相關(guān)碩士學(xué)位論文 前4條
1 范玲莉;論《聯(lián)合國反腐敗公約》資產(chǎn)追回與返還機制及在我國的適用[D];中國人民大學(xué);2005年
2 宋首武;論《聯(lián)合國反腐敗公約》的資產(chǎn)追回機制[D];中國政法大學(xué);2006年
3 胡瑩;論《聯(lián)合國反腐敗公約》框架下我國資產(chǎn)追回機制的構(gòu)建[D];外交學(xué)院;2008年
4 王申軍;論民事手段在《聯(lián)合國反腐敗公約》資產(chǎn)追回機制中的應(yīng)用[D];中國政法大學(xué);2008年
，本文編號：2244899
本文鏈接：http://sikaile.net/falvlunwen/guojifa/2244899.html
