论金融机构金融风险管理中的数据治理

在金融机构金融风险管理的过程中,通过经济数据的挖掘和分析,可以在一定程度上预先判断和预防金融风险的发生,而其中对金融数据的治理是其前提和关键所在。文章通过对金融数据治理内容和重要性的分析,引入实现金融数据治理的基本方法,构建了金融机构数据治理成熟度模型,从而最终提出对金融机构在金融风险管理过程中实现合理金融数据治理的建议。     

风险视角下的犯罪运行机制——一种对犯罪现象的新解读

风险社会中,犯罪不应再被认为是社会病态现象,而应被视为日常风险产物。为了更全面的研究犯罪现象,而不仅仅将犯罪研究拘于原因论当中,应在犯罪规律、犯罪演进、犯罪趋势等已有犯罪现象研究基础之上通过对犯罪运行的研究再次解读犯罪现象。犯罪运行机制是犯罪如何存在于社会、作用于社会并与社会进行互动的规律性与非规律性同在的运作形态,在犯罪生成状态与最终状态之中承载着过渡功能。风险视野下的犯罪运行具有其特殊的主体构造,来自内部与外部的运行动力,运行动力系统具有风险变量、表层与深层的运行模式,以及犯罪延续、犯罪异化、犯罪循环、犯罪消灭等四种最终状态。犯罪运行机制的研究转换了犯罪学研究的原因论思维,扩宽了犯罪学的研究范畴。     

Enabling global principle‐based regulation: The case of risk analysis in the Codex Alimentarius

This paper deals with the creation of global principle‐based standards. For such standards to be accepted and effective, particular conditions must be fulfilled. One such condition, little explored, is that standard‐makers and ‐takers share knowledge about the meaning of the principles, as well as the practices through which they are likely to be applied. The paper shows that this condition is fulfilled when transnational cultural systems exist, by means of which both types of actors engage in the explication and representation of their practices so that a common, standard understanding emerges of how principles may be interpreted on the ground and informs the negotiations. A transnational cultural system is a crucial governance infrastructure to set global standards, as shown by the long history of creating a risk analysis guideline by the Codex Alimentarius, the inter‐governmental body for food standards.     

The Politics of Counter-Expertise on Aerial Spraying: Social Movements Denouncing Pesticide Risk Governance in the Philippines

ABSTRACT

In various places in the world, aerial spraying of pesticides has met with resistance from local communities potentially endangered by toxic pesticide drift. Social movements, and the counter-expertise that they mobilise, often trigger changes in state regulations of the practice. This article describes such struggles over risk regulation in the Philippines, where aerial spraying is common in large monoculture banana plantations. It has provoked local activism contesting the socio-economic power of landed and business elites and has challenged the government’s approach to managing pesticide risks. This article develops the argument that different types of counter-expertise must be recognised. The case shows that it can be difficult for movements to articulate these different types of counter-expertise. Furthermore, the weak state characteristics of the Philippine state has shaped the ambiguous responses of risk governance to multiple actors’ divergent knowledge claims. The result is a legal impasse in which civil society has successfully pushed the issue of aerial spraying onto the national political arena, but the state has as yet been unable to develop a comprehensive pesticide risk regulation independent of powerful business interests.     

Taming Risks in Asia: The World Bank Group and New Mining Regimes

Abstract

Despite the admonishments of the 2003 Extractive Industry Review, the World Bank Group (WBG) has continued to promote the expansion of mining activities in resource-rich client-countries. While maintaining its mantra on the economic benefits of the sector in cash-strapped countries, in recent years poverty reduction and environmental sustainability have become the new buzzwords to justify the need for the WBG to remain actively involved in the sector. Building on the cases of the Philippines, Papua New Guinea and Lao PDR, this paper analyses this new socio-environmental narrative in conjunction with the highly political nature of the role played by the WBG in the mining sector of its country-clients. The cases demonstrate that the World Bank has played a key role in influencing a wave of new mining regimes in the region. Further, these new regimes, which comprise multilateral social and environmental safeguards, circumscribe the risks faced by industry, rather than by local populations. While successful in stimulating foreign investments in the sector, these regimes might prove ineffective in taming local and national resentment against mining activities. Crucially, the engineering of mining regimes and norm-settings in multilateral arenas raises concerns about the legitimacy of the transformations of roles and responsibilities assigned to local mining stakeholders and the possible subsequent contraction of local political spaces.     

Assessing Recidivism Risk Across Female Pathways to Crime

This research empirically examines the role of police in promoting collective efficacy and in particular, whether higher levels of police legitimacy are associated with more neighborhood collective efficacy. The research is conducted in the developing nation of Trinidad and Tobago—providing important evidence about the generalizability of the antecedents and effects of legitimacy outside of industrialized nations. The results support a potential role for police in promoting collective efficacy, but the mechanism for doing so is not legal institution legitimacy. Instead, the research identifies a relationship between quality routine police services, levels of police misconduct, and collective efficacy. In Trinidad, the amount and nature of interactions with police appear to play an important part in residents’ and neighborhood‐level assessments about police services and misbehavior.     

Are Risky Youth Less Protectable as They Age? The Dynamics of Protection during Adolescence and Young Adulthood

Research on recidivism in criminal justice and desistance in criminology are not integrated. Yet, both fields are moving towards models that look at how positive elements in a person’s environment can impact a person’s behavior, conditional on different levels of risk. This study builds on this observation by applying interactional theory and the concept of Risk–Needs–Responsivity to theorize that both Needs and Responsivity will change over time in predictable ways. We then use a novel empirical approach with the Rochester Youth Development Study to show that even in late adolescence, individuals who are at risk for violence can be protected from future violence and risky behavior like gun carrying with positive events in their environment and personal life. In young adulthood, fewer people are still at risk for violence, and those who are at risk are harder to protect from future violence and gun carrying.     

风险刑法理论的批判与反思

风险刑法理论曲解了风险社会理论,尤其是风险范畴的真实含义,混淆了风险社会的风险与传统社会的风险。该理论针对的是传统社会的风险,它对于传统刑法理论的颠覆是无根据的。风险社会的风险具有全球性、未知性、系统性、两面性,在古典工业社会的背景下,它们被合法化为现代化的"潜在副作用",古典工业社会的刑法无法化解风险社会的风险。风险社会的危机属于系统危机,需要系统性地解决,这首先有赖于科学和政治的制度性反思。面对风险社会的危机,刑法既不应无所作为,也不应鲁莽冒进,而应当是反思性的。     

知识产权的制度风险与法律控制

在风险社会的语境中,知识产权法是一种制度文明,也是一种可能存在的制度风险。诸如文化风险、生态风险、基因技术风险、网络风险等,主要是知识产权制度的"内生性"风险。如何克服现行知识产权法律制度和法律秩序的先天性缺陷和潜在危机,提高风险意识,增强风险识别能力,寻求风险治理机制,是国际知识产权界共同面临的时代问题。知识产权制度风险的法律治理必须秉持价值理性与工具理性统一、权利观念与责任观念统一、法律控制与技术规制统一等理念,并通过传统知识保护、公共领域保留、开放存取及知识共享协议、知识创新奖励等制度的替代和补充,形成一个应对风险社会的观念体系和制度系统。这是应对知识产权制度风险的法律举措,也是实现知识产权制度价值目标的法律变革路径。     

追寻对冲基金监管法制路径——嬗变与评述

对冲基金是美国“非银行金融体系”的重要组成部分之一,其长期存在于美国的金融市场中,并且呈现出不断发展壮大的趋势,尽管美国相关金融法制一直在寻求金融监管与金融创新之间的平衡,但在美国金融混业经营模式下,对对冲基金监管的漏洞将可能引发“系统性风险”,尤其是金融危机的出现更加坚定了立法者和监管者必须采取措施填补这一监管漏洞.《多得-弗兰克法案》对对冲基金等私募基金的监管进行了立法改革,采取了相应的监管措施.追寻美国关于对冲基金监管法制改革历程,其充分反映了金融立法中自由、安全、公平、效率等法律价值的动态博弈.