cciia.org.cn 2023-6-13 11:51:43 正義網(wang)
依法全鏈條懲治金融犯罪助力防范化解金融風險
——最高檢第四檢察廳負責人就第四十四批指導性案例答記者問
近日,最(zui)(zui)高(gao)(gao)人民檢察院(yuan)制發了以金(jin)融犯(fan)(fan)罪(zui)為主題(ti)的(de)第四(si)十四(si)批指導性案(an)例(li)(li)。該(gai)批案(an)例(li)(li)聚(ju)焦(jiao)涉私募基金(jin)等新型金(jin)融犯(fan)(fan)罪(zui),突出(chu)高(gao)(gao)質效辦理(li)金(jin)融犯(fan)(fan)罪(zui)案(an)件的(de)工(gong)作要求,更好助力防范化解金(jin)融風險(xian)。對此,最(zui)(zui)高(gao)(gao)檢第四(si)檢察廳負責人就相關問題(ti)回答了記者提問。
問:這批指導性案例以金融犯罪為主題,請先簡要介紹下近年來檢察機關打擊金融犯罪工作情況。
答:黨的(de)十八大(da)(da)以來(lai),以習近(jin)平同(tong)志為核心的(de)黨中央高(gao)度(du)(du)(du)重(zhong)視(shi)防(fang)范(fan)化(hua)解(jie)(jie)金(jin)(jin)(jin)融(rong)(rong)(rong)風(feng)(feng)險(xian)(xian)工(gong)作(zuo),采取(qu)了一系(xi)列(lie)重(zhong)大(da)(da)舉措,守住(zhu)了不發(fa)生(sheng)系(xi)統(tong)性金(jin)(jin)(jin)融(rong)(rong)(rong)風(feng)(feng)險(xian)(xian)的(de)底線。檢(jian)察(cha)(cha)機關(guan)(guan)認真貫徹落(luo)實習近(jin)平總書記系(xi)列(lie)重(zhong)要指示批(pi)示精(jing)神和(he)(he)中央決策部(bu)(bu)署,堅持治(zhi)罪(zui)(zui)與治(zhi)理(li)(li)(li)并重(zhong),助力防(fang)范(fan)化(hua)解(jie)(jie)金(jin)(jin)(jin)融(rong)(rong)(rong)風(feng)(feng)險(xian)(xian)。一是(shi)積極參與防(fang)范(fan)化(hua)解(jie)(jie)重(zhong)大(da)(da)風(feng)(feng)險(xian)(xian)攻堅戰、互聯網(wang)金(jin)(jin)(jin)融(rong)(rong)(rong)風(feng)(feng)險(xian)(xian)專項(xiang)整(zheng)(zheng)治(zhi)、打(da)(da)擊整(zheng)(zheng)治(zhi)養(yang)老(lao)詐騙等(deng)(deng)(deng)專項(xiang)工(gong)作(zuo),2018年(nian)以來(lai)全(quan)國檢(jian)察(cha)(cha)機關(guan)(guan)起訴破壞(huai)金(jin)(jin)(jin)融(rong)(rong)(rong)管理(li)(li)(li)秩序和(he)(he)金(jin)(jin)(jin)融(rong)(rong)(rong)詐騙案件(jian)18萬(wan)余人(ren)。二是(shi)依法(fa)(fa)(fa)從嚴(yan)懲治(zhi)網(wang)絡借貸(dai)、私募(mu)基金(jin)(jin)(jin)、養(yang)老(lao)、區塊(kuai)鏈等(deng)(deng)(deng)領域新類(lei)型非法(fa)(fa)(fa)集資(zi),會同(tong)有(you)關(guan)(guan)部(bu)(bu)門(men)(men)掛牌督(du)辦43件(jian)重(zhong)大(da)(da)案件(jian),2018年(nian)以來(lai)共起訴非法(fa)(fa)(fa)集資(zi)案件(jian)11萬(wan)余人(ren)。三(san)是(shi)針對個(ge)別(bie)金(jin)(jin)(jin)融(rong)(rong)(rong)機構在信(xin)貸(dai)活動中長期違法(fa)(fa)(fa)經營(ying)重(zhong)大(da)(da)風(feng)(feng)險(xian)(xian),會同(tong)有(you)關(guan)(guan)部(bu)(bu)門(men)(men)依法(fa)(fa)(fa)妥善處置和(he)(he)化(hua)解(jie)(jie)風(feng)(feng)險(xian)(xian)。四(si)是(shi)“一案雙查”持續加大(da)(da)反洗(xi)錢(qian)力度(du)(du)(du),會同(tong)中國人(ren)民銀行、公(gong)安(an)部(bu)(bu)等(deng)(deng)(deng)部(bu)(bu)署推進打(da)(da)擊治(zhi)理(li)(li)(li)洗(xi)錢(qian)違法(fa)(fa)(fa)犯罪(zui)(zui)三(san)年(nian)行動計劃(2022-2024年(nian)),2020年(nian)以來(lai)共起訴洗(xi)錢(qian)案件(jian)3159人(ren)。五是(shi)針對非法(fa)(fa)(fa)集資(zi)、偽造貨幣、信(xin)用卡套(tao)現等(deng)(deng)(deng)傳統(tong)金(jin)(jin)(jin)融(rong)(rong)(rong)犯罪(zui)(zui)網(wang)絡化(hua)、產業化(hua)等(deng)(deng)(deng)趨(qu)勢(shi)特點,做好(hao)立案監(jian)督(du)、引導取(qu)證等(deng)(deng)(deng)工(gong)作(zuo),加大(da)(da)全(quan)鏈條(tiao)追訴力度(du)(du)(du)。六是(shi)向中央有(you)關(guan)(guan)部(bu)(bu)門(men)(men)制(zhi)發(fa)并持續協(xie)同(tong)落(luo)實“三(san)號檢(jian)察(cha)(cha)建議(yi)(yi)”,積極參與金(jin)(jin)(jin)融(rong)(rong)(rong)法(fa)(fa)(fa)治(zhi)建設,促進完善金(jin)(jin)(jin)融(rong)(rong)(rong)監(jian)管。18個(ge)省級檢(jian)察(cha)(cha)院結(jie)合(he)本地金(jin)(jin)(jin)融(rong)(rong)(rong)犯罪(zui)(zui)案件(jian)特點制(zhi)發(fa)檢(jian)察(cha)(cha)建議(yi)(yi)21份。
問:最高檢此次發布金融犯罪指導性案例的主要考慮是什么?這批案例有哪些特點?
答:新一(yi)(yi)屆最高(gao)檢(jian)(jian)黨組突出(chu)(chu)(chu)強調,要高(gao)質(zhi)(zhi)(zhi)效履行法(fa)(fa)(fa)(fa)律監督職責(ze),高(gao)質(zhi)(zhi)(zhi)效辦(ban)(ban)(ban)(ban)(ban)好每(mei)一(yi)(yi)個(ge)案(an)(an)(an)(an)(an)(an)件(jian)(jian),努力實現(xian)辦(ban)(ban)(ban)(ban)(ban)案(an)(an)(an)(an)(an)(an)質(zhi)(zhi)(zhi)量(liang)、效率和效果有(you)機(ji)統一(yi)(yi)于公平正義。最高(gao)檢(jian)(jian)以金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)為(wei)主題(ti)發布(bu)(bu)第四十(shi)四批(pi)指(zhi)(zhi)(zhi)(zhi)導性(xing)案(an)(an)(an)(an)(an)(an)例,旨在貫(guan)徹落實黨的(de)(de)(de)(de)二十(shi)大精神,針(zhen)對(dui)性(xing)指(zhi)(zhi)(zhi)(zhi)導解決(jue)檢(jian)(jian)察機(ji)關辦(ban)(ban)(ban)(ban)(ban)理(li)金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)案(an)(an)(an)(an)(an)(an)件(jian)(jian)中(zhong)的(de)(de)(de)(de)新類(lei)型問(wen)(wen)題(ti)和疑難問(wen)(wen)題(ti),突出(chu)(chu)(chu)高(gao)質(zhi)(zhi)(zhi)效辦(ban)(ban)(ban)(ban)(ban)理(li)金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)案(an)(an)(an)(an)(an)(an)件(jian)(jian)的(de)(de)(de)(de)工作要求,更(geng)好助力防(fang)范(fan)化解金(jin)(jin)(jin)(jin)(jin)融(rong)風險。一(yi)(yi)是(shi)(shi)(shi)聚焦新類(lei)型金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui),既突出(chu)(chu)(chu)指(zhi)(zhi)(zhi)(zhi)導辦(ban)(ban)(ban)(ban)(ban)案(an)(an)(an)(an)(an)(an),又注(zhu)重警示(shi)教育。此次發布(bu)(bu)的(de)(de)(de)(de)張業(ye)(ye)強等(deng)人(ren)非法(fa)(fa)(fa)(fa)集資案(an)(an)(an)(an)(an)(an)就是(shi)(shi)(shi)一(yi)(yi)起涉私募基金(jin)(jin)(jin)(jin)(jin)的(de)(de)(de)(de)新型案(an)(an)(an)(an)(an)(an)件(jian)(jian)。通(tong)過(guo)此案(an)(an)(an)(an)(an)(an)例,既為(wei)檢(jian)(jian)察機(ji)關辦(ban)(ban)(ban)(ban)(ban)理(li)類(lei)似(si)案(an)(an)(an)(an)(an)(an)件(jian)(jian)提供借鑒(jian)參考,又發揮(hui)以案(an)(an)(an)(an)(an)(an)釋法(fa)(fa)(fa)(fa)作用,提高(gao)社(she)會公眾的(de)(de)(de)(de)識(shi)別防(fang)范(fan)能力。二是(shi)(shi)(shi)針(zhen)對(dui)金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)黑灰產業(ye)(ye)亂象,培育全鏈條追訴的(de)(de)(de)(de)辦(ban)(ban)(ban)(ban)(ban)案(an)(an)(an)(an)(an)(an)意(yi)識(shi)和辦(ban)(ban)(ban)(ban)(ban)案(an)(an)(an)(an)(an)(an)能力。金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)特別是(shi)(shi)(shi)網絡金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)分(fen)工日益細化,催生出(chu)(chu)(chu)龐大的(de)(de)(de)(de)黑灰產業(ye)(ye)鏈,呈現(xian)“一(yi)(yi)對(dui)多”特征(zheng),社(she)會危(wei)害性(xing)更(geng)大,但(dan)犯(fan)(fan)(fan)(fan)罪(zui)手(shou)段隱(yin)蔽(bi)、難以查(cha)處,是(shi)(shi)(shi)滋(zi)生助長金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)的(de)(de)(de)(de)重大隱(yin)患,有(you)必(bi)要加大懲治(zhi)力度。此次發布(bu)(bu)的(de)(de)(de)(de)郭四記、徐維倫等(deng)人(ren)偽造貨幣案(an)(an)(an)(an)(an)(an)和孫旭東非法(fa)(fa)(fa)(fa)經營案(an)(an)(an)(an)(an)(an)都有(you)上述特點,突出(chu)(chu)(chu)依法(fa)(fa)(fa)(fa)從嚴立場。三是(shi)(shi)(shi)圍繞(rao)指(zhi)(zhi)(zhi)(zhi)控(kong)證(zheng)明(ming)犯(fan)(fan)(fan)(fan)罪(zui)主導責(ze)任,提煉指(zhi)(zhi)(zhi)(zhi)控(kong)證(zheng)明(ming)方法(fa)(fa)(fa)(fa)。金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)專業(ye)(ye)性(xing)較為(wei)突出(chu)(chu)(chu),引導取證(zheng)、證(zheng)據(ju)(ju)審(shen)查(cha)、指(zhi)(zhi)(zhi)(zhi)控(kong)證(zheng)明(ming)等(deng)方面(mian)疑難問(wen)(wen)題(ti)較多。除(chu)了準確適用法(fa)(fa)(fa)(fa)律外,提出(chu)(chu)(chu)有(you)價(jia)值的(de)(de)(de)(de)引導取證(zheng)意(yi)見,科學(xue)合理(li)的(de)(de)(de)(de)審(shen)查(cha)判(pan)斷(duan)證(zheng)據(ju)(ju)方法(fa)(fa)(fa)(fa),有(you)效構建證(zheng)明(ming)體系,既是(shi)(shi)(shi)辦(ban)(ban)(ban)(ban)(ban)理(li)金(jin)(jin)(jin)(jin)(jin)融(rong)犯(fan)(fan)(fan)(fan)罪(zui)案(an)(an)(an)(an)(an)(an)件(jian)(jian)中(zhong)履行好主導責(ze)任的(de)(de)(de)(de)重要方面(mian),也是(shi)(shi)(shi)確保(bao)檢(jian)(jian)察辦(ban)(ban)(ban)(ban)(ban)案(an)(an)(an)(an)(an)(an)質(zhi)(zhi)(zhi)量(liang)的(de)(de)(de)(de)關鍵因素。此次發布(bu)(bu)的(de)(de)(de)(de)三個(ge)案(an)(an)(an)(an)(an)(an)例,都注(zhu)重通(tong)過(guo)指(zhi)(zhi)(zhi)(zhi)控(kong)證(zheng)明(ming)過(guo)程的(de)(de)(de)(de)敘(xu)述和指(zhi)(zhi)(zhi)(zhi)導意(yi)義的(de)(de)(de)(de)歸納闡述指(zhi)(zhi)(zhi)(zhi)控(kong)證(zheng)明(ming)方法(fa)(fa)(fa)(fa)。
問:檢察機關在辦理涉私募基金非法集資犯罪時有哪些難點?社會公眾如何區分合法私募和非法集資?
答:私(si)(si)募(mu)(mu)(mu)(mu)基(ji)金(jin)(jin)(jin)是非(fei)公開募(mu)(mu)(mu)(mu)集資(zi)金(jin)(jin)(jin)的(de)一(yi)種方(fang)(fang)式,與公募(mu)(mu)(mu)(mu)活動存在明(ming)顯區(qu)別(bie)。基(ji)于私(si)(si)募(mu)(mu)(mu)(mu)基(ji)金(jin)(jin)(jin)募(mu)(mu)(mu)(mu)集方(fang)(fang)式和(he)(he)風險特征,《中華人民共和(he)(he)國證券投資(zi)基(ji)金(jin)(jin)(jin)法(fa)》《私(si)(si)募(mu)(mu)(mu)(mu)投資(zi)基(ji)金(jin)(jin)(jin)監(jian)督管理(li)暫行(xing)辦法(fa)》等法(fa)律法(fa)規(gui)、部門規(gui)章對私(si)(si)募(mu)(mu)(mu)(mu)的(de)對象(xiang)、方(fang)(fang)式、收(shou)益分配規(gui)則(ze)等方(fang)(fang)面都作了明(ming)確規(gui)定。發行(xing)銷售私(si)(si)募(mu)(mu)(mu)(mu)基(ji)金(jin)(jin)(jin)必須依(yi)法(fa)依(yi)規(gui)進行(xing),不得突破“私(si)(si)募(mu)(mu)(mu)(mu)”底線。
辦理此類案(an)(an)件的(de)難(nan)點(dian)主要(yao)集(ji)(ji)中(zhong)在(zai)兩個(ge)方(fang)(fang)面(mian)(mian):第(di)一,如(ru)何(he)準(zhun)確認(ren)識(shi)私募(mu)(mu)基金(jin)(jin)備案(an)(an)的(de)性質?有(you)(you)人(ren)(ren)(ren)認(ren)為(wei)只要(yao)備案(an)(an)了(le)就(jiu)沒有(you)(you)違(wei)法(fa)(fa)(fa)性,這也是私募(mu)(mu)投(tou)資(zi)(zi)(zi)(zi)(zi)人(ren)(ren)(ren)容(rong)易受誤(wu)導的(de)地方(fang)(fang)。在(zai)張業強等(deng)人(ren)(ren)(ren)非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)案(an)(an)中(zhong),以(yi)(yi)發行(xing)銷售私募(mu)(mu)基金(jin)(jin)為(wei)名,違(wei)反私募(mu)(mu)基金(jin)(jin)管理規定(ding),公開宣(xuan)傳,向社會(hui)公眾(zhong)吸收資(zi)(zi)(zi)(zi)(zi)金(jin)(jin),承諾還本(ben)付(fu)(fu)息的(de),構成(cheng)非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)犯罪。辦案(an)(an)中(zhong),往(wang)往(wang)需要(yao)穿透涉(she)案(an)(an)私募(mu)(mu)基金(jin)(jin)的(de)偽裝了(le)解(jie)募(mu)(mu)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)的(de)實(shi)(shi)際(ji)過(guo)程,判斷私募(mu)(mu)基金(jin)(jin)是否(fou)存在(zai)違(wei)法(fa)(fa)(fa)違(wei)規問題,不(bu)(bu)能僅(jin)從形式(shi)上看(kan)是否(fou)備案(an)(an)。第(di)二,非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)人(ren)(ren)(ren)將部(bu)分(fen)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)款用于投(tou)資(zi)(zi)(zi)(zi)(zi)經營(ying)活動(dong)的(de),如(ru)何(he)判斷其有(you)(you)無(wu)非(fei)法(fa)(fa)(fa)占(zhan)有(you)(you)目的(de)?很(hen)多人(ren)(ren)(ren)在(zai)此問題上容(rong)易出現分(fen)歧,有(you)(you)的(de)直接(jie)以(yi)(yi)此為(wei)由(you)否(fou)定(ding)非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)人(ren)(ren)(ren)的(de)非(fei)法(fa)(fa)(fa)占(zhan)有(you)(you)目的(de)。有(you)(you)無(wu)非(fei)法(fa)(fa)(fa)占(zhan)有(you)(you)目的(de),需要(yao)綜(zong)(zong)合各方(fang)(fang)面(mian)(mian)情(qing)(qing)況進行(xing)綜(zong)(zong)合判斷。張業強等(deng)人(ren)(ren)(ren)非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)案(an)(an)明確提出,非(fei)法(fa)(fa)(fa)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)人(ren)(ren)(ren)雖(sui)然將部(bu)分(fen)集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)款投(tou)入生產經營(ying)活動(dong),但投(tou)資(zi)(zi)(zi)(zi)(zi)隨意,明知經營(ying)活動(dong)盈(ying)利能力不(bu)(bu)具(ju)有(you)(you)支付(fu)(fu)本(ben)息的(de)現實(shi)(shi)可能性,仍(reng)然向社會(hui)公眾(zhong)大規模吸收資(zi)(zi)(zi)(zi)(zi)金(jin)(jin),還本(ben)付(fu)(fu)息主要(yao)通過(guo)募(mu)(mu)新還舊實(shi)(shi)現,致使集(ji)(ji)資(zi)(zi)(zi)(zi)(zi)款不(bu)(bu)能返還的(de),應當認(ren)定(ding)其具(ju)有(you)(you)非(fei)法(fa)(fa)(fa)占(zhan)有(you)(you)目的(de)。檢(jian)察官在(zai)引導取證、審查證據時需要(yao)全面(mian)(mian)查清資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)實(shi)(shi)際(ji)去(qu)向、投(tou)資(zi)(zi)(zi)(zi)(zi)經營(ying)實(shi)(shi)際(ji)情(qing)(qing)況等(deng)相關證據。
區分合法(fa)私(si)募(mu)(mu)(mu)(mu)與非(fei)(fei)法(fa)集資(zi)(zi)的(de)(de)關鍵要點是,私(si)募(mu)(mu)(mu)(mu)基(ji)(ji)金不(bu)(bu)得(de)(de)變相自融、不(bu)(bu)得(de)(de)向社(she)會公開(kai)宣傳、不(bu)(bu)得(de)(de)承諾資(zi)(zi)金不(bu)(bu)受損失或者最低收(shou)益、不(bu)(bu)得(de)(de)向合格投資(zi)(zi)人(ren)(ren)(ren)之外(wai)的(de)(de)單位和(he)個人(ren)(ren)(ren)募(mu)(mu)(mu)(mu)集資(zi)(zi)金,單只私(si)募(mu)(mu)(mu)(mu)基(ji)(ji)金投資(zi)(zi)者累(lei)(lei)計人(ren)(ren)(ren)數不(bu)(bu)得(de)(de)超(chao)過(guo)規(gui)定(ding)(ding)人(ren)(ren)(ren)數,如(ru)《私(si)募(mu)(mu)(mu)(mu)投資(zi)(zi)基(ji)(ji)金監督管理(li)暫行辦法(fa)》明(ming)確(que)規(gui)定(ding)(ding)基(ji)(ji)金份額持有(you)(you)人(ren)(ren)(ren)累(lei)(lei)計不(bu)(bu)得(de)(de)超(chao)過(guo)二百人(ren)(ren)(ren)。募(mu)(mu)(mu)(mu)集資(zi)(zi)金過(guo)程(cheng)中(zhong)同時有(you)(you)上述禁止(zhi)性(xing)行為(wei)的(de)(de),既違(wei)反(fan)了私(si)募(mu)(mu)(mu)(mu)基(ji)(ji)金管理(li)有(you)(you)關法(fa)律規(gui)定(ding)(ding),又違(wei)反(fan)了《中(zhong)華人(ren)(ren)(ren)民共(gong)和(he)國商(shang)業銀行法(fa)》《防范和(he)處置非(fei)(fei)法(fa)集資(zi)(zi)條(tiao)例(li)》等(deng)關于(yu)禁止(zhi)非(fei)(fei)法(fa)集資(zi)(zi)的(de)(de)規(gui)定(ding)(ding),已經不(bu)(bu)是“私(si)募(mu)(mu)(mu)(mu)”行為(wei),而是非(fei)(fei)法(fa)集資(zi)(zi),應當(dang)依法(fa)予(yu)以打(da)擊。
投(tou)(tou)(tou)(tou)資(zi)私(si)募(mu)(mu)(mu)基(ji)金(jin)要求投(tou)(tou)(tou)(tou)資(zi)人(ren)具有更(geng)高的(de)風險(xian)識別(bie)和(he)承受能(neng)力(li)。從辦案情況看,有的(de)投(tou)(tou)(tou)(tou)資(zi)人(ren)對私(si)募(mu)(mu)(mu)基(ji)金(jin)的(de)性質、風險(xian)及其與公(gong)募(mu)(mu)(mu)基(ji)金(jin)的(de)區(qu)別(bie)等還(huan)存在模(mo)糊認(ren)識。通過這(zhe)個案例,希望(wang)廣大投(tou)(tou)(tou)(tou)資(zi)者對私(si)募(mu)(mu)(mu)基(ji)金(jin)領域(yu)違法(fa)犯罪風險(xian)予以高度關注,提(ti)高識別(bie)防范能(neng)力(li)。私(si)募(mu)(mu)(mu)基(ji)金(jin)從業(ye)人(ren)員更(geng)應當守(shou)法(fa)誠信經營,依(yi)法(fa)依(yi)規發行銷售私(si)募(mu)(mu)(mu)基(ji)金(jin),共同(tong)維護多層次(ci)資(zi)本市場(chang)健康發展。
問:郭四記、徐維倫偽造貨幣案是一起通過網絡共同偽造貨幣的案件。該案對辦理其他網絡金融犯罪案件有什么指導意義?
答:當(dang)前,網絡(luo)支付(fu)成(cheng)為人(ren)們日常生活中的(de)主要支付(fu)方(fang)式,現金(jin)使用量大幅減少(shao)。但是,假幣犯罪(zui)在(zai)(zai)農村等(deng)網絡(luo)支付(fu)尚未普及的(de)地區(qu)、老年人(ren)等(deng)不習慣網絡(luo)支付(fu)的(de)群(qun)體中仍然(ran)存(cun)在(zai)(zai),反假幣工作形勢依然(ran)嚴(yan)峻,假幣犯罪(zui)活動分(fen)散(san)化特(te)征明顯,潛(qian)在(zai)(zai)的(de)風險隱患仍不容忽視。編(bian)發郭(guo)四(si)記、徐維倫等(deng)人(ren)偽造(zao)貨幣案,對于懲治和防范假幣犯罪(zui)具有重(zhong)要意義。
此案系一(yi)起通過網絡(luo)(luo)聯絡(luo)(luo)、分工負責(ze)、共(gong)(gong)同(tong)實(shi)(shi)施(shi)偽(wei)(wei)造(zao)(zao)(zao)貨幣的(de)跨區域犯(fan)(fan)(fan)罪(zui)(zui)(zui)案件,具有(you)當(dang)前網絡(luo)(luo)共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)的(de)典型特(te)征。司法(fa)實(shi)(shi)踐中(zhong)在共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)、主(zhu)從(cong)犯(fan)(fan)(fan)的(de)判斷上還存在一(yi)些難(nan)點(dian)。這個(ge)案例要(yao)求辦案人員(yuan)(yuan)對犯(fan)(fan)(fan)罪(zui)(zui)(zui)鏈(lian)條(tiao)中(zhong)關(guan)聯人員(yuan)(yuan)的(de)事(shi)實(shi)(shi)證(zheng)據加強審查,發(fa)現遺漏犯(fan)(fan)(fan)罪(zui)(zui)(zui)事(shi)實(shi)(shi)依法(fa)追訴(su),并基于(yu)罪(zui)(zui)(zui)責(ze)刑相(xiang)適應(ying)的(de)原則(ze)和刑法(fa)有(you)關(guan)共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)的(de)規(gui)(gui)定,進一(yi)步明(ming)確相(xiang)關(guan)規(gui)(gui)則(ze)。一(yi)是關(guan)于(yu)共(gong)(gong)同(tong)故意(yi)的(de)認(ren)定方面(mian),明(ming)確向直(zhi)接實(shi)(shi)施(shi)偽(wei)(wei)造(zao)(zao)(zao)貨幣人員(yuan)(yuan)提(ti)(ti)供專門用于(yu)偽(wei)(wei)造(zao)(zao)(zao)貨幣的(de)技(ji)術或者設備(bei)、材料的(de),應(ying)當(dang)認(ren)定有(you)共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)故意(yi)。二是關(guan)于(yu)主(zhu)從(cong)犯(fan)(fan)(fan)的(de)判斷方面(mian),在網絡(luo)(luo)偽(wei)(wei)造(zao)(zao)(zao)貨幣共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)中(zhong),有(you)的(de)通過網絡(luo)(luo)積極(ji)宣傳(chuan)、主(zhu)動為(wei)直(zhi)接實(shi)(shi)施(shi)偽(wei)(wei)造(zao)(zao)(zao)貨幣人員(yuan)(yuan)提(ti)(ti)供偽(wei)(wei)造(zao)(zao)(zao)貨幣的(de)關(guan)鍵技(ji)術、物資,有(you)的(de)明(ming)知他人有(you)偽(wei)(wei)造(zao)(zao)(zao)貨幣意(yi)圖,仍積極(ji)提(ti)(ti)供專門從(cong)事(shi)偽(wei)(wei)造(zao)(zao)(zao)貨幣相(xiang)關(guan)技(ji)術、物資等(deng),這些人員(yuan)(yuan)雖(sui)然未直(zhi)接實(shi)(shi)施(shi)偽(wei)(wei)造(zao)(zao)(zao)貨幣行為(wei),但在共(gong)(gong)同(tong)犯(fan)(fan)(fan)罪(zui)(zui)(zui)中(zhong)的(de)地位、作用十(shi)分重(zhong)要(yao),可以(yi)認(ren)定為(wei)主(zhu)犯(fan)(fan)(fan),對參與(yu)的(de)全部犯(fan)(fan)(fan)罪(zui)(zui)(zui)數額負責(ze)。這對于(yu)依法(fa)從(cong)嚴懲治金融黑灰產相(xiang)關(guan)犯(fan)(fan)(fan)罪(zui)(zui)(zui)也具有(you)指(zhi)導意(yi)義。
問:自行偵查是孫旭東非法經營案辦理中的一個亮點,請介紹一下該案對于開展自行偵查工作的指導意義。
答:信用(yong)(yong)(yong)(yong)卡(ka)、貸款(kuan)領(ling)域的(de)黑(hei)中(zhong)介問題日益凸顯,危害很(hen)大。在孫(sun)旭(xu)(xu)東非法經(jing)營案中(zhong),檢察官從1張(zhang)(zhang)信用(yong)(yong)(yong)(yong)卡(ka)引發的(de)信用(yong)(yong)(yong)(yong)卡(ka)詐騙(pian)案發現孫(sun)旭(xu)(xu)東犯罪線(xian)索,最終查清(qing)孫(sun)旭(xu)(xu)東為他人違規辦理46張(zhang)(zhang)大額(e)度信用(yong)(yong)(yong)(yong)卡(ka)并使用(yong)(yong)(yong)(yong)POS機非法套現1324萬元的(de)犯罪事實,展現了檢察官發現線(xian)索的(de)敏銳性(xing)和依法追訴的(de)行動力,在辦理相關案件時值(zhi)得學習借鑒。
本案(an)經(jing)過兩次退回補充(chong)(chong)(chong)偵(zhen)(zhen)查(cha)(cha)(cha)和(he)自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha)多個(ge)環節,最(zui)終通過檢(jian)察官的(de)(de)(de)(de)自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha)突(tu)破了(le)關鍵證(zheng)據,案(an)例重(zhong)(zhong)點對(dui)開(kai)展自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha)工作(zuo)的(de)(de)(de)(de)規(gui)則(ze)進行(xing)了(le)闡釋(shi)。2020年,最(zui)高檢(jian)、公安部(bu)印發《關于加強(qiang)和(he)規(gui)范補充(chong)(chong)(chong)偵(zhen)(zhen)查(cha)(cha)(cha)工作(zuo)的(de)(de)(de)(de)指(zhi)導(dao)意見(jian)》,明確(que)提出開(kai)展補充(chong)(chong)(chong)偵(zhen)(zhen)查(cha)(cha)(cha)(包括自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha))工作(zuo)應(ying)當遵循必(bi)要(yao)(yao)(yao)性原則(ze)、可(ke)(ke)行(xing)性原則(ze)。根據指(zhi)導(dao)意見(jian)的(de)(de)(de)(de)規(gui)定,案(an)例對(dui)已(yi)經(jing)兩次退回補充(chong)(chong)(chong)偵(zhen)(zhen)查(cha)(cha)(cha)的(de)(de)(de)(de)案(an)件,判(pan)斷(duan)自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha)必(bi)要(yao)(yao)(yao)性、可(ke)(ke)行(xing)性的(de)(de)(de)(de)條件作(zuo)了(le)細化。必(bi)要(yao)(yao)(yao)性,應(ying)當根據已(yi)查(cha)(cha)(cha)清的(de)(de)(de)(de)事(shi)實對(dui)犯罪(zui)(zui)嫌疑(yi)(yi)人是否有(you)遺漏犯罪(zui)(zui)重(zhong)(zhong)大嫌疑(yi)(yi)進行(xing)判(pan)斷(duan),如(ru)果沒有(you)犯罪(zui)(zui)事(shi)實或者無法確(que)定有(you)重(zhong)(zhong)大嫌疑(yi)(yi)的(de)(de)(de)(de),就沒有(you)自行(xing)偵(zhen)(zhen)查(cha)(cha)(cha)的(de)(de)(de)(de)必(bi)要(yao)(yao)(yao)性。可(ke)(ke)行(xing)性,應(ying)當結合相關類型金(jin)融業務(wu)的(de)(de)(de)(de)特點、在案(an)證(zheng)據、需要(yao)(yao)(yao)補充(chong)(chong)(chong)的(de)(de)(de)(de)證(zheng)據和(he)可(ke)(ke)能偵(zhen)(zhen)查(cha)(cha)(cha)方向進行(xing)分(fen)析研判(pan)。
從檢察(cha)辦案(an)(an)情況看,金(jin)融(rong)黑(hei)灰產(chan)(chan)中介的(de)專(zhuan)業性、隱(yin)蔽性很強,往往利用金(jin)融(rong)業務中的(de)隱(yin)蔽漏洞實施,檢察(cha)官在辦理這類(lei)案(an)(an)件時,首先(xian)要樹立(li)全鏈條追(zhui)訴的(de)意識,善于發現“案(an)(an)中案(an)(an)”,同(tong)時還要注意通過案(an)(an)例、咨(zi)詢等途徑熟悉(xi)涉案(an)(an)金(jin)融(rong)業務流程、黑(hei)灰產(chan)(chan)運作特點等,為高質(zhi)高效開展補充偵查、自行偵查工作夯(hang)實基礎。
問:下一步,檢察機關在助力防范化解金融風險工作方面,將采取哪些措施?
答:黨(dang)的(de)二十(shi)大報(bao)告明確(que)提(ti)(ti)出,依(yi)(yi)(yi)法(fa)(fa)將各(ge)(ge)類(lei)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)活動全(quan)部(bu)納入監(jian)(jian)管(guan),守住不發生(sheng)系(xi)統(tong)性風(feng)險(xian)底(di)線。《黨(dang)和國(guo)家機(ji)(ji)構改革(ge)方案(an)》將金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)監(jian)(jian)管(guan)體制(zhi)(zhi)機(ji)(ji)制(zhi)(zhi)改革(ge)作(zuo)為(wei)重(zhong)要(yao)內容。面對(dui)防(fang)范(fan)化(hua)(hua)解金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)風(feng)險(xian)的(de)新(xin)(xin)形勢新(xin)(xin)任務,檢(jian)(jian)察(cha)機(ji)(ji)關(guan)(guan)(guan)將結合學習貫徹習近(jin)平(ping)新(xin)(xin)時代(dai)中(zhong)國(guo)特色社(she)會(hui)主義思想主題教育(yu)和黨(dang)中(zhong)央大興調查研究的(de)部(bu)署要(yao)求,認(ren)真貫徹落實黨(dang)的(de)二十(shi)大精神,積極適應(ying)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)監(jian)(jian)管(guan)機(ji)(ji)構改革(ge)要(yao)求,完善金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)檢(jian)(jian)察(cha)工作(zuo)機(ji)(ji)制(zhi)(zhi),以高質效履職更好助力(li)防(fang)范(fan)化(hua)(hua)解金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)風(feng)險(xian)。一要(yao)突出重(zhong)點,依(yi)(yi)(yi)法(fa)(fa)懲治非法(fa)(fa)集資、騙取貸款、洗錢(qian)、證券(quan)期(qi)貨犯(fan)罪(zui)(zui)等,更加(jia)關(guan)(guan)(guan)注以金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)“創新(xin)(xin)”為(wei)名以及金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)黑灰產相(xiang)關(guan)(guan)(guan)犯(fan)罪(zui)(zui)動向,加(jia)大刑事懲治和追贓挽損力(li)度。二要(yao)完善金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)檢(jian)(jian)察(cha)工作(zuo)機(ji)(ji)制(zhi)(zhi),加(jia)強與公安機(ji)(ji)關(guan)(guan)(guan)、金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)監(jian)(jian)管(guan)部(bu)門等有關(guan)(guan)(guan)部(bu)門的(de)溝通協作(zuo),健(jian)全(quan)駐中(zhong)國(guo)證監(jian)(jian)會(hui)檢(jian)(jian)察(cha)室(shi)的(de)派駐檢(jian)(jian)察(cha)工作(zuo)機(ji)(ji)制(zhi)(zhi),著力(li)解決引導取證、追贓挽損、行(xing)刑雙向銜(xian)接等難點問(wen)題,強化(hua)(hua)防(fang)范(fan)化(hua)(hua)解金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)風(feng)險(xian)的(de)工作(zuo)合力(li)。三要(yao)加(jia)強金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)犯(fan)罪(zui)(zui)檢(jian)(jian)察(cha)專業化(hua)(hua)隊伍建(jian)(jian)設,培養一批既懂(dong)(dong)法(fa)(fa)律又懂(dong)(dong)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)的(de)專業化(hua)(hua)辦(ban)案(an)團隊,提(ti)(ti)升(sheng)應(ying)對(dui)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)犯(fan)罪(zui)(zui)迭代(dai)升(sheng)級(ji)的(de)能力(li)水(shui)平(ping)。四(si)要(yao)結合辦(ban)案(an)促進完善金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)監(jian)(jian)管(guan),圍繞黨(dang)的(de)二十(shi)大報(bao)告提(ti)(ti)出依(yi)(yi)(yi)法(fa)(fa)將各(ge)(ge)類(lei)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)活動全(quan)部(bu)納入監(jian)(jian)管(guan)的(de)要(yao)求,加(jia)強對(dui)新(xin)(xin)類(lei)型金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)犯(fan)罪(zui)(zui)案(an)件社(she)會(hui)風(feng)險(xian)、防(fang)范(fan)治理(li)等問(wen)題的(de)研判,積極提(ti)(ti)出檢(jian)(jian)察(cha)建(jian)(jian)議、立(li)法(fa)(fa)建(jian)(jian)議等。
日期：2023-6-13 11:51:43 | 關閉 |
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