After two decades of practice, as my exploration into the specialization of criminal defense has reached a certain level—and in response to new shifts in societal development—I’ve positioned my new area of expertise as criminal compliance.

Some might argue that transitioning from criminal defense to criminal compliance represents a business transformation, but I believe criminal compliance is actually just an extension of the criminal defense practice.

Over the years, it’s become quite common to see lawyers who excel in criminal defense suddenly shift to non-litigation work when times get tough. But as the criminal defense landscape improves and their incomes rise again, they often return to practicing criminal law—constantly toggling between these two specialized fields. Meanwhile, there are also many lawyers who remain deeply passionate about criminal defense, steadfastly holding onto their commitment to this demanding yet prestigious area of law. As teacher Tian Wenchang famously put it: "Criminal defense is the most sophisticated and elite legal practice."

Criminal compliance, as an extension of criminal defense practice, already overlaps significantly with much of what we criminal defense lawyers already do—such as proactive criminal risk management and even non-litigation criminal legal services. After all, criminal compliance represents the core objective and ultimate goal of corporate compliance efforts, making it inherently part of our expertise as criminal defense attorneys. In this short article, I’ll explore, from my own perspective, the relationship between criminal defense lawyers and criminal compliance.

The first important question is whether criminal defense lawyers should expand their practice into the compliance field. Let me start with my own experience: Previously, my colleagues and I led the criminal defense team on a long journey of exploration, fostering both innovation and cohesion. By "innovation," I mean avoiding rigid adherence to conventional practices—instead, we aimed to align with market demands while simultaneously carving out a unique identity that sets us apart. And by "cohesion," I’m referring not only to shared culture and passion but also to tangible and intangible benefits that serve as powerful connecting threads. Over time, our criminal defense team has established independently named courses at five of China’s most prestigious law schools—namely Peking University, Tsinghua University, China University of Political Science and Law, Beijing Normal University, and Renmin University of China School of Law. Meanwhile, our nationwide lecture-and-discussion tour model has already gained widespread recognition. Moreover, when it comes to branding within the legal community—such as calling our initiative the "Lawyer Academy for Criminal Defense"—we’ve become the first firm to adopt this distinctive title. As we’ve engaged more deeply with peers through ongoing exchanges, mutual learning, and collaborative discussions, the theoretical and practical exchange within criminal defense has, in fact, reached a remarkably mature stage.

From the perspective of criminal practice, in recent years—especially since the establishment of the National Supervisory Commission and the launch of the nationwide "Anti-Black-Eye and Anti-Gang" campaign—most smaller cases have already been covered by the plea-bargaining system that offers leniency upon guilty pleas. However, larger, more complex cases still face certain limitations, creating a bottleneck for traditional criminal defense work. Just at this critical juncture, however, corporate compliance has emerged as a promising new area. Starting in 2019, I took the initiative to organize three large-scale Criminal Compliance Forums across various regions, along with several smaller, focused roundtable discussions, marking the beginning of a systematic exploration into criminal compliance. By spring 2020, the procuratorial system had also begun experimenting with criminal compliance initiatives, launching pilot programs in select areas. As a result, criminal compliance is now rapidly gaining momentum—and shows every sign of poised for explosive growth in the near future. If legislation on conditional non-prosecution is eventually enacted, the scope of its application could expand significantly, moving beyond juvenile suspects who might otherwise face up to one year in prison, to include corporate entities that meet specific legal criteria. This development would provide a solid legal foundation for businesses seeking compliance-based non-prosecution options. These exciting new developments have reignited my passion for innovation, making it clear that the time has come to pivot from traditional criminal defense toward the burgeoning field of corporate compliance. Given that compliance work demands independent operational frameworks, seamless collaboration with specialized professionals, and the creation of entirely new, forward-thinking models, this isn’t something a single criminal defense team can tackle alone. That’s precisely why we established a dedicated law firm late last year, officially opening its doors this past March. Our primary focus? Corporate compliance—including, crucially, criminal compliance services tailored to meet the needs of today’s businesses.

The second important question is whether criminal defense lawyers are well-suited to take on this kind of extended role. Since the pilot program for corporate compliance reform initiated by the procuratorial authorities, we’ve observed that, in practice, most of the compliance initiatives currently focus on superficial compliance plans and procedural guidelines. As a result, it’s primarily non-criminal defense lawyers—and even those specializing in non-litigation matters—who are now leading the charge in serving this growing area. After all, these lawyers have had earlier exposure to ISO compliance documents and domestic standard frameworks, giving them a solid grasp of both international and local regulations. Moreover, they already have established case studies and valuable experience in handling comprehensive corporate compliance projects. In contrast, when faced with this sudden surge in business opportunities, criminal defense lawyers like us were largely unprepared. Historically, most of us have concentrated almost exclusively on criminal defense work, leaving us relatively ill-equipped in terms of compliance knowledge and expertise. Consequently, while criminal defense attorneys have been slow to enter this field, non-litigation lawyers remain the dominant players, stepping in to capitalize on these emerging opportunities.

However, the corporate compliance initiatives promoted by the procuratorate still fundamentally revolve around criminal compliance—its ultimate benchmark remains criminal law. In essence, it relies on criminal regulations to address both formal procedures and operational frameworks. The key challenge lies in how to accurately assess a company’s criminal risks after these structural issues have been resolved, as well as how to effectively mitigate or eliminate those risks. Ultimately, this calls for expertise that only criminal defense lawyers can provide. This process involves not only a meticulous understanding of the elements that constitute a crime but also a keen grasp of the ever-evolving realities of criminal justice practice. In fact, our previous work in non-litigation criminal services—such as corporate criminal risk prevention and specialized projects aimed at resolving high-stakes criminal risks—can now seamlessly integrate into our expanding criminal compliance offerings. Of course, we acknowledge that there may be a transitional phase during which some overlap occurs. Yet ultimately, each role must stay true to its core function: while non-litigation and non-criminal defense lawyers play an important supporting role, addressing compliance issues tied directly to individual crimes—and implementing targeted remediation measures—requires the deep expertise and hands-on involvement of criminal defense attorneys. This is where their unique skills and insights become indispensable.

The third important issue is how we, as criminal defense lawyers, can effectively integrate criminal compliance into our practice while continuing to excel in criminal defense. At Xinglai, we proudly claim to be the first law firm explicitly focused on corporate compliance services. Yet, when it comes to the emerging field of criminal compliance, we’re still exploring innovative operational models and content—especially now that the procuratorial system has rolled out its second batch of pilot programs nationwide, with nearly 200 organizations already participating. Even so, the process remains largely experimental. For now, we’ve distilled three key approaches that we’d like to share with our readers.

First, criminal defense lawyers should immediately start building their compliance expertise, which can be achieved through specialized training and professional networking opportunities. In particular, young criminal defense attorneys should remain open-minded and proactive about their career prospects. Early in their practice, they must not only hone their core skills by handling individual cases but also cultivate a broad, forward-looking perspective—actively exploring how compliance-related services can extend beyond traditional criminal defense work. They should diligently reflect on the criminal cases they’ve handled, especially those involving businesses, to identify whether proactive, legally sound compliance measures could help mitigate corporate criminal risks. This approach will naturally deepen their understanding of compliance knowledge as they gain experience from real-world cases. On the other hand, compliance services span a wide range of industries. Criminal defense lawyers should seize every opportunity to deepen their knowledge of the unique operational and business characteristics of different sectors, as well as the risk areas most prone to criminal involvement. By doing so, they’ll develop greater industry awareness, enabling them to quickly pinpoint critical issues when advising companies on specialized criminal compliance initiatives.

Second, we need to shift from a defense-oriented mindset to a compliance-focused approach. We must stop viewing compliance matters solely through the lens of criminal defense—and equally, we shouldn’t tackle compliance issues using the typical mindset of general legal counsel or traditional criminal risk management frameworks. For instance, compliance is no longer just about shielding individual entrepreneurs or executives; instead, it’s about safeguarding the entire organization. It’s not enough for compliance efforts to simply enable business leaders to avoid personal risks. Similarly, compliance isn’t merely about helping companies sidestep risks associated with behavior that could pose real harm—though those are certainly part of the equation. At our core, criminal defense lawyers excel at retracing how crimes actually take shape, identifying their critical risk points, and pinpointing precise strategies to address and mitigate those vulnerabilities at every detail level. That’s precisely where our unique expertise lies.

Third, in terms of methodology, it’s crucial to thoughtfully combine expertise from different fields. We must carefully examine the distinctions and connections between pre-incident compliance—focused on helping businesses align with regulations before any legal issues arise—and post-incident compliance, which addresses how companies navigate regulatory challenges after becoming involved in a case. Moreover, compliance efforts should seamlessly integrate with defense strategies. Regarding pre-incident compliance, lawyers should proactively engage with company employees to gain a deep understanding of the business’s current operations and operational nuances. It’s essential to meticulously review existing company documentation while considering the unique characteristics of the industry in question. This process will help clarify the administrative and criminal risks the company currently faces, laying a solid foundation for future collaboration with relevant authorities during investigations—as well as preparing effectively for potential defense activities. For post-incident compliance, lawyers must promptly stay informed about and skillfully leverage policy frameworks such as the "Guiding Opinions on Establishing a Third-Party Supervision and Evaluation Mechanism for Corporate Compliance in Cases (Trial Implementation)." By thoroughly analyzing all case-related evidence, lawyers can determine whether and how compliance measures like non-arrest or non-prosecution options might apply, and then communicate these insights clearly to prosecutors. Additionally, under the new corporate compliance landscape, criminal defense attorneys may wish to consider directly joining the roster of qualified professionals appointed by third-party organizations. This approach not only allows them to accumulate valuable experience in guiding companies through post-incident compliance processes—but also enhances their visibility and reputation within the corporate compliance arena. However, it’s important to note that while fulfilling their duties as third-party supervisors and evaluators, criminal defense attorneys must strictly adhere to regulations prohibiting them from accepting cases involving parties with whom they have potential conflicts of interest. Furthermore, within one year after completing their role as third-party supervisors, neither the attorney nor their affiliated intermediary organization may accept any business engagements from the companies, individuals, or other entities/individuals with whom they previously worked during the evaluation process.

Criminal compliance services play a vital role in both social governance and the healthy growth of businesses, representing a new frontier in criminal defense practice. This area is ripe for criminal defense lawyers to leverage their expertise and actively contribute to ongoing reforms. Currently, Xinglai has attracted a team of experienced lawyers who bring deep insights into compliance practices, collaborating across disciplines to explore innovative pathways for corporate compliance. Moreover, with the support of the Bar Association, we’re joining forces with multiple law firms—criminal compliance practitioners at the industry level—to jointly advance this critical field through collaborative research and development. On another front, Xinglai is also developing cutting-edge compliance products, which are rapidly evolving thanks to the dedicated efforts of our R&D team. We see these products as the central pillar and driving force behind our compliance initiatives, helping streamline and enhance the delivery of compliance services. Against this backdrop, we sincerely invite our peers to unite and collaborate—working together as a networked team—to elevate the quality of compliance services. By doing so, we can not only support the sustainable development of businesses but also contribute meaningfully to the broader goal of strengthening the rule of law in our nation.