关于规则的法哲学思考

本文站在法哲学的高度,对规则理念进行了深入思考。揭示了规则的本质属性,对国人对规则的态度进行了深刘的检讨,指出了对规则应有的正确态度,对于更好的遵守规则具有指导意义。     

企业合规制度中认罪问题研究

在企业合规制度中,涉罪企业认罪既是启动合规考察的前提条件,亦能体现检察机关提前采取“准刑罚”措施的正当性。围绕中小微企业这一类主要适用对象,企业认罪的实践困境包含直接责任人员未参与罪名合意、认罪真实性与自愿性难以保障、检察机关接触企业认罪较晚等。究其原因,主要为“认事”与罪名合意之人发生分离、合规不起诉的优待及于直接责任人员、公诉裁量权较大且外在监督不足等。同时,从试点情况看,企业认罪的具体表现形式为第三方组织审查和建议采取何种合规计划、合规考察合格后检察机关是否不起诉等提供了参考和依据。面对诸多实践困境,应从赋予两类代表人员相关性权利、对直接责任人员慎用不起诉、逐步完善企业合规规则、强化公诉裁量权的外部“风控”因素四方面加以改进。     

Government Communications,Political Trust and Compliant Social Behaviour: The Politics of Covid-19 in Britain

It is commonly said that the lockdowns and social distancing necessary to control coronavirus pandemics will only work if the general population trusts its government, believes the information it provides, and has confidence in its policies. This article traces the British government’s record in providing information about its policies and performance, and compares this with the public’s use of the mainstream news media. It then considers how these two sources of information affected trust in government and public compliance with social distancing and lockdown rules. Lastly, it compares Covid-19 with Brexit and draws conclusions about how beliefs and behaviour are formed when individuals are personally faced with a serious threat.     

企业刑事合规的程序应对

在刑事合规的制度设计中,程序法承载了治理犯罪、保护权利、提升经济效率等多项重要职能。当前,全球范围内企业合规的刑事程序运行呈现出如下发展态势:立案管辖范围扩张,侦(调)查措施更加灵活多样,检察官主导实现多样化的诉讼激励,刑事合规的司法审查逐步加强,律师充分参与刑事合规得到保障。我国刑事合规的理论研究逐步兴起,实践中企业合规试点单位进行了相应的刑事程序改革与探索。随着刑事合规的全面深入发展,我国刑事诉讼程序应从立案、侦查、起诉、审判、辩护等多个环节进行系统、科学改造,以满足企业合规对刑事程序的实质需求。     

Do markets enhance convergence on international standards? The case of financial regulation

Why do countries that did not participate in the establishment of international standards converge on them in the absence of external coercion? The market‐based perspective asserts that market forces enhance cross‐national convergence on international standards. This paper challenges the market‐based perspective, focusing on compliance with the 1988 Basel Capital Accord in South Korea and Taiwan. First, it argues that adoption of the Basel Capital Accord by these countries was mainly driven by their regulatory authorities’ concern about the potential risk of foreign market closure to noncompliant banks. Second, it demonstrates that enforcement by the two countries’ regulatory authorities was crucial in ensuring compliance. These findings suggest that national regulatory authorities are still key actors in voluntary convergence on international standards.     

CONTEXTUAL DISPARITIES IN GUIDELINES DEPARTURES: COURTROOM SOCIAL CONTEXTS,GUIDELINES COMPLIANCE,AND EXTRALEGAL DISPARITIES IN CRIMINAL SENTENCING1

This study examines the theoretical and empirical linkages between criminal court social contexts and the judicial use of sentences that deviate from the recommendations of sentencing guidelines. Individual sentencing data from the Pennsylvania Commission on Sentencing (PCS) are combined with county‐level measures of social context to examine predictions about the role courtroom characteristics play in judicial departures. Results from hierarchical analyses suggest that the likelihood of departure varies significantly across courts, even after accounting for variations in individual case characteristics. Several measures of courtroom social context—including the size of the court, its caseload pressure and the overall guidelines compliance rate—are significantly related to the individual likelihood of receiving a departure sentence. Moreover, the social context of the court also conditions the influence of various individual‐level sentencing considerations. Findings are discussed in relation to contemporary theoretical perspectives on courtroom decision making and future directions for research on contextual disparities in criminal sentencing are suggested.     

The emergence of policy implementation analysis: The Wyatt v. Stickney decision

In recent years scholars have devoted substantial attention to the “implementation” phase of the policy-making process. Analytical efforts have focused on the identification of variable sets as they are associated with the outcomes of public policies and programs. This article will discuss these program implementation conceptualizations within the context of a landmark court decision. This court decision, Wyatt v. Stickney, impacted to a profound degree the lives of residents in institutions for the mentally retarded. Finally, based on the analysis of this case, the authors cite limitations and propose future directions for social policy implementation analysis as a scholarly emphasis.     

附条件合同的再认识——以英美法上的条件制度为比较对象

条件系当事人对法律行为的附款，它可分为效力附条件和义务附条件。我国应在立法上明确义务附条件制度，厘清条件与义务的关系；灵活适用“严格相符规则”，明确条件成就的标准；引入英美法上的“合理人标准”和“善意标准”，合理确定主观性条件的效力。     

竞争倡导研究

竞争倡导是反垄断执法机构实施的除执法以外所有改善竞争环境的行为，具有促进和补充反垄断执法、推进竞争政策有效实施和推动竞争文化建设的重要作用。反垄断执法针对私人限制竞争，竞争倡导关注政府干预限制竞争的风险，故所倡导的竞争应围绕干预的适当性、主导权及期望实现的目标来界定。分析各国竞争倡导的制度路径，借鉴其成功经验并结合我国现实诉求，我国竞争倡导制度构建的重点在于引入立法优先咨询制度、推动准入管制的放松、逐步缩减反垄断除外适用范围、健全对管制的竞争评估、帮助企业进行合规制度建设，以形成多样化的倡导工具。     

Local government reform in South Africa: An analysis of financial management legislative compliance by municipalities

South African local government has undergone radical transformation. The reform process included a local government financial management best‐practice technical assistance programme (MFMTAP) targeting financial management and especially budget quality reform. Dollery and Graves (2009) earlier examined the efficacy of the South African National Treasury (NT's) municipal budget funding compliance technique for measuring adherence to the Municipal Finance Management Act's (MFMA) budget funding requirements using a single metropolitan municipality case study. This article further evaluates the robustness and validity of the funding compliance instrument as a reform performance measurement tool by comparing the results of four geographically and demographically different municipalities. Also introduced is a performance ‘trend’ instrument similar to a ‘Likert scale’ for comparing municipal performance. Optimal tax revenue theory is invoked to examine this key revenue variable for producing a compliant budget. The article finds the ‘budget funding’ reform component of the Best‐Practice Technical Assistance (BPTA) programme presently ineffective and unsustainable. Copyright © 2009 John Wiley & Sons, Ltd.