论发展中国家金融现代化的基本走向

金融现代化主要应该是指发展中国家的金融现代化,包括"外源性现代化"和"混合性现代化".金融现代化研究应该超越传统金融发展理论视野.金融现代化的历史与逻辑起点应该是金融体系运作的市场化.同时,发展中国家的金融现代化还有赖于金融运作的国际协调.     

Regulation of Technology Transfer to Developing Countries: The Relevance of Institutional Capacity*

This article revisits the debate over appropriate approaches to the regulation of technology transfer to developing countries. It begins by contrasting two stylized approaches, labeled for convenience the “New International Economic Order” model and the “Globalization” model, which have historically struggled for acceptance. It then explores the implications for the choice between these or alternative models of the fact that many developing countries presently lack the institutional capacity required to provide optimal regulation of technology transfer. Existing discussions appear either to assume that developing countries possess sufficient institutional capacity to design and implement sophisticated regulatory regimes, or to take the opposite approach and assume a drastic shortage of institutional capacity. Both approaches ignore the intermediate category of countries that do face constraints upon institutional capacity but are striving to overcome them. The analysis here is intended to demonstrate the general point that a country's present and future institutional capacity ought to be considered highly relevant to the design of central aspects of the regime that it uses to regulate technology transfer. The analysis is also designed to highlight the specific need for attention to the distinctive questions of regulatory design which arise in countries that are in the process of enhancing their institutional capacity in this and other regulatory contexts.     

转基因技术专利保护对发展中国家遗传资源的影响--对TRIPs和CBD为背景

转基因技术诞生于二十世纪下半叶，已经被广泛应用于医药、农业等领域，是二十一世纪的朝阳技术。但是，发达国家凭借其生物技术优势，特别是透过TRIPs协议框架，采取专利保护方式，对发展中国家遗传资源进行掠夺，这与CBD体系下的基因资源保护背道而驰。发展中国家必须合理利用CBD机制予以积极应对，维护本国利益。     

Evidence-Based Approaches to Crime Prevention in Developing Countries

The purpose of this paper is to review the present state of the evidence base on the effectiveness of crime prevention programmes and practices in developing countries and to consider the prospects for its improvement. The paper summarises the findings from a scoping review of the literature and develops some suggestions about how the void it finds might be filled. A key focus is on the quality of the methodology used in the research from which the findings are drawn. Against this background the paper considers the degree to which findings about effectiveness, even where they are derived from high quality research on the impact of a criminal justice intervention, are likely to be generalisable from the location of an experiment or pilot to other settings or countries. Building an evidence based on the effectiveness of crime prevention or crime reduction interventions for developing countries would clearly be a major task. Many kinds of political, social, economic and other forces, which vary from country to country, may mediate the impact of criminal justice interventions. The result may be that what works well in one country may not work at all well elsewhere for all kinds of reasons. The principal challenge in creating an evidence base is to develop inclusion criteria when making cross-country comparisons that strike an appropriate balance between the costs and benefits of greater methodological rigour and generalisation.     

The Transfer of Small Business Assistance Strategies to Emerging Countries: The Case of Malawi

Malawi, located in Southern Africa, was ranked as one of the poorest countries in the world. Small business development was being emphasised by government and donors to expand employment and income. Numerous agencies, financed by government and foreign donors, existed in Malawi to assist the small business sector expand. The formation and much of the technologic know how used by these agency was originally transferred from donor countries. This paper presents results from a study to determine the capacity of these organisations to carry out national employment objectives. Numerous capacity constraints were identified and suggestions were made to improve agency effectiveness. The diverse source of SME assistance know-how was suggested as one cause of the capacity limitation of the agencies.     

发展中国家技术性贸易壁垒的发展走向及我国的对策

随着国际贸易的发展,技术性贸易壁垒越来越成为国际贸易中的重大障碍。发展中国家的技术性贸易壁垒在产生中存在很强的被动性,技术性贸易壁垒的法律和程序体制不健全且缺乏必要的透明度,在实施技术性贸易壁垒的过程中协调性也差。但是我们也应当注意到发展中国家正在通过自身的努力和广泛参与国际合作,技术性贸易壁垒的发展速度不断加快,制度也越来越完善,与发达国家差距将不断缩小。我们应当吸取它们的经验,完善我国的技术性贸易壁垒体系,积极应对国外的技术性贸易壁垒。     

发展中国家与GATT/WTO反倾销立法

本文将发展中国家参与ＧＡＴＴ／ＷＴＯ反倾销立法的过程分为三个阶段,其在ＷＴＯ的反倾销立法中的影响力与发达国家趋向平衡,但并非他们关心的所有问题在乌拉圭回合反倾销协议中都有所体现。从维护发展中国家的利益考虑应进一步修订国际反倾销协议。     

Developing Countries and the Implementation of CITES: The Mexican Experience

A key issue for the success of international conventions regulating biodiversity conservation is to understand the different philosophical positions of each party for initially acceding to that convention, and for the measures each party takes to implement that convention. This paper documents policies for wildlife trade regulation in Mexico from the early 1980s to the early 2000s, with emphasis on the process of CITES implementation. Mexico was slow to adopt environmental policies, but when Mexico did recognize wider environmental concerns, the prospect of acceding to CITES was not considered because of existing bans on all wildlife trade in native species. However, Mexico could not control the illegal trade of wild species during the 1980s. Mexico acceded to CITES in 1991 mainly in response to international pressure and to bilateral pressure while seeking to join a free trade agreement. The step of joining CITES was taken without clear analysis about the consequences of being a party to the Convention. Between 1992 and 1996, Mexico had no clear policy about its role within CITES. The period from 1997 to 2001 witnessed an improved legal and administrative structure and a greater internal coordination between the institutions involved with CITES. Mexico has now improved its policy toward international wildlife trade.     

The Transfer of Personal Data to Third Countries Under EU Directive 95/46/EC

The 1981 Council of Europe Convention 108 and EU Directive 95/46/ EC assert that data protection is privacy protection. Consequently, countries with data protection rules control trans-border data flows to protect the rights of their citizens. Under the Directive, but subject to some derogations, personal data may only be transferred to third countries with adequate protection. 'Adequacy' is to be assessed in the light of all the circumstances. Alternative safeguards can be provided by means such as contractual arrangements. The Data Protection Commissioners have tried to define 'adequacy' as the usual data protection principles plus an assurance of compliance. This can be delivered by self-regulation as well as formal law. The Directive has not made a radical break with the past. The usual principles are those found in Convention 108 and in the 1980 OECD Guidelines. Those instruments also dealt with the control of trans-border data flows because of fears of restrictions on the free flow of information. The flexibility of the effective current UK law, which permits flows whilst preventing those which would lead to a breach of data protection, would have prevented the acrimony of the current debate with third countries. National laws on transborder data flows long pre-date the Directive and data protection authorities can be expected to continue to promote pragmatic methods of protecting exported data such as the use of model contracts either as a basis for derogation from 'adequacy' or as part of a package to satisfy the adequacy test. Work is taking place to build bridges between those with formal law and others relying on self-regulation. In Ottawa last October OECD ministers reaffirmed the 1980 Guidelines and if practical privacy protection can be secured globally, transborder data-flow control is of much less concern.     

金融商业方法专利的攻与防——跨国银行与发展中国家之间的较量

基于全球竞争需要,跨国公司不但在本国申请商业方法专利,而且大量在发展中国家申请方法专利,跨国银行也不例外。从以美国为代表的发达国家对商业方法专利提供法律保护的实践看,各国对商业方法专利的审查及授予标准逐步趋于接近,主要是采取适度从严的审查规则,重点强调方法专利中的创新性技术性成分,并要求专利具有技术性贡献。中国在商业方法专利保护方面刚刚起步,国内金融企业对于开发商业方法专利的意识有所增强,但实质性进步并不明显。未来,围绕商业方法专利的保护与反垄断之间的斗争将越来越公开化。为此,我国应当通过税收优惠政策鼓励金融企业进行专利创新,同时还要通过发起公益诉讼、反垄断调查等法律手段来适度保护民族金融产业。     

Developing Countries and Global Environmental Governance: From Contestation to Participation to Engagement

Developing countries did not start off as demandeurs of global environmental governance. Although they are still rather skeptical about the global environmental enterprise, they have come a long way from being the vigorous contestants that they were three decades ago. This fascinating evolution has not only changed the views of developing countries but has also transformed the shape of the global environmental discourse, most significantly by turning what used to be global environmental politics into what is now the global politics of sustainable development. This paper charts this evolution by using the twin conceptual lenses of effectiveness and legitimacy and the heuristic markers of the three key global conferences on the global environment (Stockholm 1972; Rio de Janeiro 1992; Johannesburg 2002). The paper argues that the pre-Stockholm era was exemplified by a politics of contestation by the South; the Stockholm-to-Rio period was a period of reluctant participation as a new global compact emerged around the notion of sustainable development; and the post-Rio years have seen the emergence of more meaningful, but still hesitant, engagement by the developing countries in the global environmental project but very much around the promise and potential of actualizing sustainable development. The author is grateful to an anonymous review, and to Steinar Andresen, Ellen Hey, and Jessica Green for valuable comments.     

欧盟关税优惠案对发展中国家的影响

欧盟 2 0 0 1年 12月 10日通过的第 2 5 0 1/2 0 0 1号理事会条例就向发展中国家提供优惠关税作出了包括反药品生产在内的五种安排 ,给予 12个发展中国家优于其他发展中国家的关税待遇。印度由此向世贸组织提出申诉 ,认为欧盟条例 (后将其指控限定在药品安排 )违反了关贸总协定第 1条第 1款的规定 ,且不能以授权条款作为抗辩理由。专家组于 2 0 0 3年 12月 1日公布报告 ,支持印度的指控。欧盟就专家组的报告提起上诉。针对欧盟的上诉和其他当事方的意见 ,上诉庭明确了授权条款的地位问题、指控方应承担的提出证据的标准问题、以及非歧视待遇的内涵问题 ,据此 ,欧盟的药品安排被裁定不符合授权条款的规定。上诉庭的裁定意见将对发展中国家在世界贸易组织内享有的权利产生消极和积极两个方面的重要影响     

“关系性资源”在当代中国发展的困境

目前,在我国构建社会资本的条件尚不充分,如果强行进行社会资本的运行,那么,社会资本极易演变成"关系性资源",进而不利于社会的有效整合。本文通过对社会资本内涵的分析,力求探讨"关系性资源"和社会资本的关系,厘清社会资本和"关系性资源"的区别。