미국 연방법무부 기업범죄기소원칙의 변화와 한국 기업의 대응방안
Changes in the U.S. Department of Justiceʼs Principles of Federal Prosecution of Business Organizations and Korean Companies’ Strategies to Cope with these Trends
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세계경제가 고도로 글로벌화되고 우리나라 기업의 대외경제활동 규모가 커지면서근래 우리나라 기업들이 미국 정부의 수사를 받거나 형사처벌되는 사례도 함께 증가하고 있다. 이에 대응하려면 미국은 특히 기업범죄사건의 경우 검찰의 재량권이 크기때문에 검찰실무를 잘 파악할 필요가 있다. 그러나 그동안 국내에서는 기업범죄기소원칙 등 미국 연방검찰을 포함한 연방법무부가 기업범죄사건을 처리하는 기준이 되는실무규정에 대한 연구가 충분하지 않았다. 본 연구는 먼저 미국 연방법무부의 기업범죄사건 처리규정의 변화 추이를 분석함으로써 연방법무부가 그동안 기업범죄기소원칙을 중심으로 한 기업범죄사건처리 관련규정을 지속적으로 정비해왔으며, 그 결과 최근 이들 규정이 매우 상세해지고 구체화된 사실을 확인하였다. 최근 2021년 10월에 연방법무부가 발표한 방침을 보면 기업범죄 엄단 기조가 강화될 것이 예상되는데, 그 중에서도 외국 기업을 제재하는 비중이 커지고 있음을 통계를 통해 확인할 수 있다. 이에본 논문은 근래 미국 법집행기관의 제재를 받은 삼성중공업, KT 등 우리나라 기업들의사례를 분석하여 시사점을 도출하였다. 최근 미국 연방정부가 여러 한국 기업을 제재 한 사례를 보면 외국 기업을 수사하고 처벌하는 범죄의 범위가 확대되고 있으며, 외국수사기관과의 국제공조도 활발해지고 있음을 알 수 있다. 따라서 미국과 사업상 관련이 있는 한국 기업들은 사전적 대응방안으로써 위와 같은 미국 법집행기관의 동향을잘 파악하는 것 외에도 준법통제장치를 충실하게 운영할 필요가 있다. 그러나 미국 연방법을 위반한 행위가 이미 발생한 경우라면 미국과 한국의 기업범죄 수사 내지 기소관련 실무가 상당히 다르다는 점을 유념하고 사후적 대응방안으로써 처벌감면을 위하여 연방법무부의 자진신고 프로그램을 활용하거나 수사에 신속하게 적극적으로 협조하는 등 미국 연방정부의 기업범죄 처벌강화기조에 능동적으로 대응하여야 할 것이다.
Abstract
Due to the highly interconnected nature of the global economy and the increasing scale of international transactions and overseas investments by Korean companies, the number of cases in which U.S. law enforcement authorities investigate and punish Korean companies has grown. In the U.S., the prosecution retains a substantial amount of discretion, especially in corporate crime cases. Therefore, understanding how the prosecution works in practice is critical. In Korea, there is limited research on practical regulations, such as the Principles of Federal Prosecution of Business Organizations (hereafter the Principles) in the Justice Manual of the U.S. Department of Justice (DOJ), that govern how U.S. federal law enforcement institutions handle corporate crime cases. This paper initially surveys changes and trends in the DOJ’s regulations on corporate crime. This includes an assessment of the Principles, which have undergone continuous updates and developments and become more detailed over the last few decades. In October 2021, Deputy Attorney General Lisa Monaco’s memorandum announced significant changes in the DOJ’s corporate crime policy. This enhanced the DOJ’s anti-corporate crime measures and promised changes in the future. The recent trends in U.S. law enforcement’s measures against corporate crime suggests that foreign companies are increasingly becoming the targets of U.S. authorities, including the DOJ. They also reflect that the scope of the corporate crimes that those institutions investigate and punish is expanding. In light of this, international cooperation between investigative agencies has increased, and the U.S. government has become more active in investigating and punishing criminal misconduct by foreign corporations. This paper also investigates recent cases in which the U.S. government imposed criminal and/or civil sanctions on Korean companies, such as Samsung Heavy Industries and Korea Telecom. These cases suggest that Korean companies with a substantial proportion of overseas business should take proactive measures to prevent criminal misconduct with compliance programs and carefully monitoring the trends of U.S. law enforcement practice. If certain Korean companies have already violated U.S. federal law, they should utilize the DOJ’s self-reporting program or actively cooperate with investigations to reduce their level of punishment.
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