英国金融申诉专员服务制度之述评

随着金融创新带来的金融产品和服务的日益复杂化、专业化,使得金融消费者在财力、信息和专业层面相较于与金融服务机构所处地位的实质不对等加剧,进而导致各种交易纠纷的频频发生。传统的司法救济途径往往难以满足金融消费者对纠纷公平合理且快速有效解决的需求,因而替代性金融纠纷解决机制(金融ADR)备受各国推崇。英国金融申诉专员服务(FOS)计划凭借其良好的运作表现已成为金融ADR制度的成功典范,选取英国FOS制度为研究对象,从其发展历史、制度安排和实际运作方面做全面的解析,并在此基础上挖掘其制度特点和可供借鉴因素。     

庭审直播的根据与规则

庭审直播有一个历史发展的过程.从各国对庭审录音录像和电视直播的法律规定来看,大多数国家对电视直播持开放的态度.我国法律没有对庭审直播问题作明确规定.审判应当以适应时代发展需要的形式对外公开.对公开审理的案件,可以进行庭审直播和录音录像才是常态,而不允许如此才是一种例外.在进行直播时,一要坚持设备使用的"三无"规则:无声音、无特殊光亮、无大幅度的动作;二要根据法庭的决定来确定使用何种形式的设备;三要禁止对法庭上某些特殊的人进行拍摄.另外,是否庭审直播的决定应当由法官作出.     

Guiding Principles for Directorial Conflicts of Interest: Re Allied Business and Financial Consultants Ltd; O'Donnell v Shanahan

The Court of Appeal has disposed of the ‘scope of business’ test as the touchstone principle for directorial entrepreneurship cases and has confirmed the continuing applicability of a capacity approach while emphasising the importance of directors obtaining the company's informed consent before taking up opportunities that they encounter. This provides welcome legal certainty but raises interesting questions about the scope of a director's disclosure obligations.     

专利侵权等同判定的原则与规则

专利侵权判定中,等同是指技术特征之间的等同.在进行等同判定之前应当先以司法政策为指引,结合个案案情确定合理的宽严标准.具体判定时应当首先对技术特征作准确划分与解释,然后严格遵循“三基本一无需”规则逐一对比.对于功能性特征应适用特别法则.方法专利的等同判定也存在特别之处.在符合禁止反悔规则、特意排除规则、捐献规则、不保护现有技术原则的情形下,等同不成立.     

Rules, Principles, Algorithms and the Description of Legal Systems

Abstract .
Although the Hart/Dworkin debate has as much to do with Dworkin's affirmative theory of judicial discretion as with Hart's more comprehensive theory of law, the starting point was of course Dworkin's attempt to demolish the "model of rules," Hart's alleged analysis of legal systems as collections of conclusive reasons for specified legal consequences. The continuing relevance of this attack for the prospects for any theory of law is the subject of the present essay.     

司法鉴定的理念、原则与规则——对我国司法鉴定立法的思考（上）

本文针对我国现行司法鉴定法律制度缺乏应有的理念和对鉴定机构应是法院的辅助机构、鉴定人是"不着制服的法官",还是鉴定机构应是独立的鉴定机构、鉴定人应是中立的等等争论.笔者提出了应引入程序正义,并尝试运用程序正义的理念,程序正义的"本体说"和"价值说",分别对我国司法鉴定法的理念,基本原则和具体规则涉及到的主要问题作出一些反思,提出了一些设想,并进行了必要的论证.以期引起法学界和司法实际部门的讨论,推进我国司法鉴定法立法的步伐.     

The Harmonisation of Rules of Conduct in EU Financial Markets: Economic Analysis, Subsidiarity and Investor Protection

The rules that regulate the market conduct of traders and the conduct of the business of investment intermediaries in the context of financial markets have not been comprehensively harmonised in the EU. As a result, cross-border trading in financial products and provision of other financial services is regulated by largely asymmetrical national rules. Host state regulators have remained responsible for the supervision of the compliance of banks and investment firms with national rules of conduct when they engage in the cross-border provision of banking and investment services. However, the advent of both the EMU and global trends in the financial services industry have transformed the market landscape. The regulatory challenges that recent market developments pose require a more efficient supervisory regime and a harmonised regulatory environment. These points were focal in the Commission's recent Communication, entitled 'Action Plan for Financial Markets'. This article examines the current regulatory framework in the area of market conduct and conduct of business in the EU. It argues, with the aid of economic analysis, for the harmonisation of rules of market conduct and for the further harmonisation of conduct of business rules at retail investor level. The harmonisation of conduct of business rules goes beyond the Commission's plans and might raise issues of Community competence. However, such harmonisation is dictated by the challenges of investor protection that changing market conditions create. Also, the transaction costs associated with indirect fragmentation inhibit the growth of cross-border trade in this area.     

Principles, Values, and Rules in Legal Decision-Making and the Dimensions of Legal Rationality

Abstract. The author singles out various conceptions of rationality used in practical legal discourse: formal and substantive rationality, instrumental goal- and means-rationality, communicative rationality. Practical rationality is expressed in decisions justified by epistemic and axiological premises according to the rules of justificatory reasoning. Five levels of analysis of this justification are identified. Rules, principles and evaluations are used as justifying arguments and their characteristics determine the dimensions of rationality of decision depending on the features of rules, various conceptions of principles, and kinds of relativisation of evaluations. The dimensions of legal rationality depend mainly on three singled out conceptions of rationality, i.e., formal rationality dealing with the deep structure of justification, instrumentally oriented rationality as content of justifiability, and communicative rationality linked with the pragmatics of human interaction. Legitimacy, according to the presented analysis, appears as a subclass of external justification dealing with axiological premisses in terms of instrumental rationality and/or communicative rationality.     

关于我国金融法治重构的思考

我国已经初步形成基本适应社会主义市场经济和金融发展的金融法治框架;金融法治建设面临的新态势可以概括为金融服务现代化,其基本特征有金融政策自由化、金融服务网络化、金融企业巨型化和金融服务贸易全球化等;我国金融法治的重构,应以“推动金融服务现代化”为根本任务,并应遵循“法治先行、服务为本。整体设计、重点推进”的方针。     

司法鉴定的理念、原则与规则(下)——对我国司法鉴定立法的思考

本文针对我国现行司法鉴定法律制度缺乏应有的理念和对鉴定机构应是法院的辅助机构、鉴定人是"不着制服的法官",还是鉴定机构应是独立的鉴定机构、鉴定人应是中立的等等争论.笔者提出了应引入程序正义,拜尝试运用程序正义的理念,程序正义的"本体说"和"价值说",分别对我国司法鉴定法的理念,基本原则和具体规则涉及到的主要问题作出一些反思,提出了一些设想,并进行了必要的论证.以期引起法学界和司法实际部门的讨论,推进我国司法鉴定法立法的步伐.     

法律对社会冲突的控制与和谐社会的构建

现实社会是冲突与和谐的统一体。和谐社会并不是不存在冲突,而是社会制度能够最大限度减少冲突。中国目前正处在构建社会主义和谐社会时期,需要从法律制度上对各种社会冲突进行有效控制。在立法上,建立一种服务于大多数人利益整合的制度,实现对利益的分配、保障和和谐;在司法上,做到阻止非法利益、平衡合法利益、容许法外利益,实现司法公正。     

人权的法律保障与和谐社会的构建

和谐社会应当是依法保障人权的社会,人权不仅需要法律保障,更需要健全而完善的法律体系的保障.因此,有必要从立法、司法等方面完善人权法律保障体系,构建和谐社会.     

建构我国刑事诉讼合理构造的理念与原则

刑事诉讼构造是刑事程序法律规范所确立的刑事诉讼各要素之间的诉讼地位和相互关系。建构合理的刑事诉讼构造是修改、完善我国刑事诉讼法的关键。在我国 ,建构合理的刑事诉讼构造 ,必须确立控诉与审判分离、裁判权中立、控诉与辩护平等对抗等理念与原则     

从CDS看金融衍生品的异化与监管——以瑞银集团诉Paramax案为例

本文以最具代表性的金融衍生品——信用违约互换（CDS）为例,结合次贷危机后第一例CDS诉讼——“瑞银诉Paramax”,分析了CDS这一金融创新异化的过程以及法律因素在其中扮演的角色。CDS的形式是市场主体之间缔结的合同。正是合同下的履约风险消解了CDS作为信用风险管理工具的基本价值,促成了其从保险机制到投机工具、从合同到不受监管的“证券”的异化。这也表明,以形式至上为特征的法律与监管机制在功能（实质）至上的金融创新面前恐怕难以避免失败的结局。     

The Rule in Wilkinson v Downton: Conduct,Intention, and Justifiability

The decision in OPO v MLA [2014] EWCA Civ 1277 causes confusion to the rule in Wilkinson v Downton. A strong line of authorities indicates that the defendant must either have an actual intention to cause physical injury or be reckless as to the causing of such harm, the latter being determined by the likelihood of harm being caused by the defendant's act. ‘Imputed intention’ does not form a separate category of mental state. There was also a missed opportunity to develop a ‘justifiability’ criterion, by which policy considerations can be taken into account to preclude an application of the tort. This criterion ought to be developed in a principled manner, in line with the existing jurisprudence concerning human rights and with the policy limitations as developed in the context of other torts.     

民主、民生与和谐社会建设

胡锦涛总书记在十七大报告中强调,要高举中国特色社会主义伟大旗帜,实现中华民族的伟大复兴.这个旗帜是当代中国发展与进步的旗帜,是全党和全国人民团结进步的旗帜.     

Edem v. The Information Commissioner and The Financial Services Authority [2014] EWCA Civ 92

From time to time the Court of Appeal feels the need to steer inferior courts and tribunals away from an over-enthusiastic application of a particular direction of travel signposted by its own previous decisions. In the Edem judgment, published on 7 February 2014, the court has taken the opportunity to restrict significantly the application of its decision more than a decade ago in Durant v. Financial Services Authority, ¹ a case that has been relied on by many commercial data protection practitioners to deny subject access or the wider application of the Data Protection Act 1998 on the grounds that the data were not personal in that they did not relate to the individual in question even though the individual's name appeared as part of the data.