Ensuring regulatory compliance in banking and finance through effective controls: The principle of duality in the segregation of duties

Today the segregation of duties is commonly used to ensure regulatory compliance in various industries. This article considers the organizational requirements for the effective implementation of this principle, through an examination of a duality‐based segregation‐of‐duties type control system and its fundamental characteristics. Cases from the Swedish banking and finance sector are discussed to show how breakdowns in duality‐based systems have compromised compliance and even encouraged crime, and how crimes could be carried out in practice. Particular attention is paid to the critical role that gullibility, loyalty, and dependency relations among employees played in these cases, in leading control persons to neglect their responsibility to review and approve their colleagues’ work, while bringing no consequences for their ability to carry on performing their work tasks. The argument is made that an effective duality‐based segregation‐of‐duties type control system presupposes social relations characterized by relative autonomy and third‐party dependence, along with work task interdependence.     

涉林渎职犯罪“情节特别严重”标准探究——从经济损失的角度入手

罪刑相适应原则是刑法的基本原则,然而在具体的制度中常常存在量化标准的缺位。在涉林渎职犯罪中,已经明确将以违法发放林木采伐许可证之外的其他方式作为的渎职犯罪,定性为滥用职权罪或玩忽职守罪,但对于该类犯罪"情节特别严重"等升格量刑的标准,仍存在立法和解释上的不足,导致量刑畸轻,同类犯罪易发、多发。量刑标准的确立应综合考虑行为的社会危害性、侵害法益的差异性、立法技术的统一性等多重因素,在此基础上可推之,涉林渎职犯罪"情节特别严重"的认定宜遵循现有司法解释对渎职犯罪升格量刑的一般规律,将其确立在立案标准的5倍以上为宜。     

Age structure and crime rates: The conflicting evidence

Because arrest rates are especially high for teenagers and young adults, criminologists have long contended that age structure changes affect crime trends. In recent years, however, this belief has been drawn into question because crime has not declined even though high-crime age groups have shrunk. We argue that the age/crime relationship is probably exaggerated because the high arrest rates for younger persons are due partly to their lesser ability to escape arrest, younger persons commit more group crime, and the age structure of victims should be taken into account. We then review 90 studies that regress crime rates on age structure; only a small minority consistently finds significant relationships. Because of methodological problems in this research, one cannot conclude that the age/crime relationship does not exist, but the weight of evidence shows that forecasts based on demographic trends are not likely to be helpful.     

Measuring the impact of forensic science in detecting burglary and autocrime offences

As UK investment in forensic science has increased, the government has taken a fresh interest in how far this has led to dividends in terms of the detection of crime and its reduction. The Home Office funded 'Pathfinder Project' sought to monitor and document the complex relationships between the collection and use of forensic material (looking at a range of forensic science techniques) and its impact on crime detection. The project specifically targeted the 'volume' crimes of burglary and vehicle crime. Detailed data was gathered on all stages of the process between the collection and use of forensic material and crime detection. The model falls into two conceptual phases--scene attendance to suspect identification and identification to detection. From the analysis it was found that approximately one third of burglary and autocrime scenes are visited by SOCOs. While scientific identifications are only made in a minority of burglary and autocrime offences overall, it belies their importance. About one in ten of burglary and autocrime cases are cleared up by the police and it is estimated that fingerprints and SGMPlus were a contributory factor in achieving one third of these clear ups.     

萨瑟兰的不同交往理论与我国青少年犯罪控制

"不同交往理论"是美国著名犯罪学家萨瑟兰解释犯罪的一个重要的理论。它在美国犯罪学研究史上产生了重要影响。从这一理论的9个命题出发,可以分析这一理论的积极意义及其困境,由此可以得到对我国青少年犯罪控制的有益启示。     

有价证券诈骗罪客观方面若干问题研究

有价证券诈骗罪在客观方面表现为使用伪造、变造的国库券或者国家发行的其他有价证券进行诈骗活动,其行为有伪造、变造、虚假权利质押、恶意买卖、冒用、空买空卖等不同的方式,犯罪使用之物也包含虚假的地方政府债券、金融债券、国家有价证券、外国有价证券众多形式,颇为复杂。     

未成年人网络游戏引发暴力犯罪的控制路径

近年来,因网络游戏而诱发的未成年人犯罪案件呈日益上升趋势,如何有效地预防和控制未成年人暴力犯罪,已成为全社会关注的热点问题。从实证分析角度,考量域外国家防控机制,为了实现对未成年人网络游戏暴力犯罪的控制,应当建立未成年人涉网相关的专门法律规范,强化行政执法权,推行网络游戏相关规控制度,开展社会管控,对未成年人健康用网进行综合引导。     

Terrorism and Organised Crime: Co-operative Endeavours in Scotland?

It has been suggested that a nexus between terrorist groups and those involved in organised crime exists. This study explores the co-operative possibilities that exist between these phenomena, focusing specifically on the level of assistance participants in organised criminal activity might provide to those engaged in terrorism, the “initial nexus.” This was achieved initially through interviews with subject matter experts with knowledge of the organised crime and counter terrorism situation in Scotland. Thereafter, law enforcement personnel who investigate serious and organised crime were interviewed, and their opinions sought in respect of the likely actions of those they investigate. The data gathered is subject to analysis and comment are provided as to what level of co-operation between those involved in organised crime and terrorism can be expected; what motivational factors may have a bearing on the level of co-operation provided; and discussion of “tipping points,” ethical or otherwise, where the withdrawal of co-operation could occur, providing opportunities for increasingly successful law enforcement intervention.     

巨额财产来源不明罪探析

为了加强对贪污贿赂犯罪的打击力度,现行刑法增设了巨额财产来源不明罪,但该罪在司法实践中日益暴露出其立法及前置制度不健全等问题,因而必须从刑法理论上加以完善,以满足反腐倡廉的实际需要.     

过失犯的构成要件构造及其适用

如何适用刑法对过失犯予以处罚,虽然在刑法理论上有各种不同学说,然而均缺乏从过失犯整体构成要件的角度进行思考。本文认为,过失犯的注意义务之未规定属于立法者未能详尽地描述出的犯罪行为构成要素,这样,根据条文对犯罪构成要件的规定还无法推断行为的违法性,还必须由法官对注意义务作出必要的补充判断,因此其在构成要件构造上属于开放性的。分析过失犯的构成要件构造是对过失犯理论研究领域的拓展,有利于我们明确过失犯的类型性意义,以提倡法官对超出立法技术限度的注意义务进行补充。过失犯注意义务之未规定不属于法律漏洞,对之应该采用狭义的法律解释方法适用之。