摘要
巨额腐败所得资金转至国外给来源国造成一系列严重的社会、经济、政治后果。为此,国际社会认识到控制腐败资产的外逃,并追回这些外流资产在控制腐败政策中的根本重要性。为此,联合国相继制定了《联合国打击跨国有组织犯罪公约》和《联合国反腐败公约》,以构建控制腐败资产外逃及对其追回的法律框架。两公约,尤其是《联合国反腐败公约》所创设的资产追回制度及其背后所体现的国际司法合作政策,对于我国当前的“反腐”、打击职务犯罪,不论是在实践中还是在理论上,都有着重要的意义。
本文共分七部分。引言部分概述了腐败资产外逃的现状及其社会危害,介绍了国际社会和我国为控制腐败资产外逃及对其追回所做的努力。第一、二、三章以腐败收益的外逃、控制、合作、没收、追回为纵轴,以腐败与洗钱、反洗钱法的特点、刑事没收和民事没收制度比较为横轴,展开论述了“严格的反洗钱法+没收事宜的有效国际合作”这一控制腐败资产外逃及对其追回的模式。并探讨了反洗钱法对金融机构的冲突地位的衡平,民事没收制度对物诉讼的特征,及没收制度与反洗钱法紧密衔接的必然性。
第四章通过比较国际社会在人犯引渡事宜和资产追回事宜中的合作,进一步阐释了在“国家间人犯引渡合作中所面临的诸多困境”的背景下,“合作——没收——返还犯罪收益和工具的机制”在国际社会通过多边合作控制腐败及其他犯罪政策中的重要地位,以及其在实践中的可操作性。第六章论述了重构我国反洗钱法的国际义务要求和内在动力,并提出若干建议。
结语部分提出:通过围绕金融机构及其职员的“认真和审慎的反洗钱义务”,构建民事的、行政的、刑事的三层责任;通过扩大洗钱行为、以及洗钱行为上游行为的定义范围;通过对洗钱行为的刑事追究和行政追究为没收违法
工具和收益的连接点,可以较好解决金融机构冲突地位问题,反洗钱法与没收
制度相衔接问题,并可为没收事宜的国际合作提供相应的国内法律机制。
对腐败资产外流的严格控制和顺利追回必将对腐败分子具有极大的震慑作
用。
International community has acknowledged the crucial importance of "Strengthening international cooperation in preventing and combating the transfer of funds of illicit origin, derived from acts of corruption, including the laundering of funds, and in returning such funds". Thus, United Nations has produced "United Nations Convention Against Corruption", and "Treaties Against Transnational Organized Crime and Terrorism" , with the aim of establishing the correspondent legal framework subsequently. The established framework, especially by "Convention Against Corruption", with the international judicial cooperation policy it demonstrates, has significant importance for China Anti-Corruption career, both in practice and for theory.
This paper consists of seven parts. The introduction expounds the present corruption assets fleeing and its damage, introduces the international community's and our country's effort to combat and recovery the fleeing corruption assets. Chapter One, Chapter Two, and Chapter Three analyze the control and recovery model of "strict anti-money laundering law plus recovery of property through international cooperation in confiscation". The above three chapters have also probed into the balancing of the financial institution "conflicting roles "by anti-money laundering law, the "in rem " character of civil forfeiture system.
In Chapter Four, after comparing the international cooperation between asset recovery and extradition, this essay further analyzes the important role "recovery of property through international cooperation in confiscation" has played in international community control policies of corruption and other crimes. It argues, under the background of troublesome international cooperation in extradition, the mechanism of "recovery of property through international cooperation in confiscation" is more
practicable.
Chapter Six discusses the reconstruction of China anti-money laundering and the proposals this essays thus put forward.
At the end of this essay, the conclusion is that through levying civil,
administrative, and criminal liabilities upon the "anti-money laundering due diligence" of financial institution and its staff; through connecting the anti-money laundering criminal and administrative process and forfeiture mechanism, we can solve some problems caused by "financial institution's conflicting role ", "connection of the anti-money laundering law with forfeiture system", and "lack of correspondent mechanism for recovery of property through international cooperation in confiscation".
Those modifications of China anti-money laundering law will facilitate our country's control and recovery of fleeing corruption assets. This will deter the potential corruptive crimes effectively.
引文
1、邵沙平著:《跨国洗钱的法律控制》,武汉大学出版社1998年第1版。
2、邵沙平等著:《控制洗钱及相关犯罪法律问题研究》,人民法院出版社 2003年第1版。
3、高铭暄、马克昌主编:《刑法学》,北京大学出版社、高等教育出版社 2000年版。
4、李学军主编:《美国刑事诉讼规则》,中国检察出版社2003年第1版。
5、成良文著:《刑事司法协助》,法律出版社2003年版。
6、(英)詹宁斯、瓦茨(修订),王铁崖等译:《奥本海国际法》,中国大百科全书出版社1998年版。
7、(美)爱伦·豪切斯泰勒斯·黛丽,南希·弗兰克著,陈卫东、徐美君译:《美国刑事法院诉讼程序》,中国人民大学出版社2002年第1版,
8、(美)理查德·A·波斯纳著,蒋兆康、林毅夫译:《法律的经济分析》,中国大百科全书出版社1997年第1版。
9、占善刚:《美国民事没收法与正当程序的冲突与衡平》,载《法商研究》,1999年第3期。
10、徐安住:《论刑事司法没收》,载《学海》,1998年第4期。
11、薛凯:《湖南长沙反腐调查》,载《半月谈》,2004年第1期。
12、刘爱成:《美国不再是外逃贪官的天堂近日遣返中国巨贪》,载《环球时报》,2004年4月19日。
13、卢嵘:《巨贪遣返开启反腐国际合作之门》,载《南方周末》,2004年4月22日期。
14、王松苗、李曙明、聂静:《三位法学专家谈移交焦点》,来源:《检察日报》,2004年4月21日。
15、梁洪培:《巨额薪酬引公愤,纽约证交所主席格拉索被迫辞职》,来源:
http://www. finance. sina. com. cn/j/20030918/1041450917. shtml。
16、腐败公约谈判工作特别委员会编撰:《转移非法来源资金,尤其是腐败行为所得资金问题全球研究报告》,联合国出版物编号:A/AC.261/12。
17、美国驻华大使馆新闻稿:《被判处诈骗罪的中国国民被送返中国》,来源:http://www. usembassy-china. org. cn/press/release/2004/c/042004 yzd. html。
18、中国驻美国大使馆新闻稿:《外逃的贪污挪用公款犯罪嫌疑人余振东被缉捕归案》,来源:http://www. china-embassy. org/chn/zmgx/t85438. htm。
19、莱斯·M·约瑟夫:《顺‘钱’摸瓜打击洗钱》,来源:http://www. usembassy-china. org. cn/infousa/e-journal/GB/money2. htm。
20、《美国将要怎样没收外国贪官在美境内的不义之财?》,来源:北国网-半岛晨报http://www. news. tom. com。
21、参见王姝、吴蔚、袁凌:《协商两年缉拿余振东归案》,来源:http://www. gmdaily. com. cn/03pindao/2004-04/20/content 15074. htm。
1、MINORITY STAFF REPORT FOR PERMANENT SUBCOMMITTEE ON INVESTIGATIONS HEARING ON PRIVATE BANKING AND MONEY LAUNDERING:A CASE STUDY OF OPPORTUNITIES AND VULNERABILITIES November 9, 1999。来源:http://www. senate. gov/~gov affairs/110999_report. htm。
2、US CODE COLLECTION。来源: http://www. uscode. house. gov/title_26. htm。
3、The Treasury Executive Office FOR Asset Forfeiture & Treasury Forfeiture Fund。来源: http://www. ustreas. gov/offices/eotffc/teoaf/about-forfeiture. html。
4、Civil Forfeiture Research Pathfinder。来源: http://www. lectlaw. com/files/lws 12. htm。
5、Recovery of Funds Looted by heads of State。来源: http://www. law. cam. ac. uk/rcil/lecture_20030117_daniel. htm。