Regulating ethics in financial services: Engaging industry to achieve regulatory objectives

This article addresses the issue of renewing a sense of vocation in finance. Drawing on experiences in the UK, Australia, and Ireland, three common law jurisdictions at various phases of developing “an ethical esprit de corps” to professionalize the banking industry, it argues that adopting some aspects of a profession, a “trajectory towards professionalization” of the banking industry, could serve, at least to some extent, to improve the industry-wide norms that influence firms' cultures and individual behaviors. It contends that professionalization could help to develop bankers with a professional, pro-social identity, in which there is a recognition of broader obligations to society, that exists independently of the profit-driven nature of banking and the hierarchy of their own firms. This analysis is informed by an integration of regulatory theory, which casts doubt on the utility of sanctions except as a last resort, behavioral science, which offers insights into how ethics and culture, not just law and markets, can constrain irresponsible behavior in the financial services sector, and criminological theory, which emphasizes that particular types of controls, including individual attachments to groups, build “stakes in conformity” which encourage law abiding and responsible behaviors.     

跨界海洋环境损害的国家责任问题探讨

国家责任的承担似乎是跨界海洋环境损害责任追究的必然结果,但缘于就此领域国家责任承担的法理论与法实践的困扰和障碍,使得跨界海洋环境损害责任私法化趋势明显,而且以广泛国际合作为基础的针对跨界海洋环境损害风险预防机制的强化将弱化责任追究本身的重要性。     

行业体制改革:中国由公益走向私益?

进一步厘清行业协会公私冲突的根源,在非营利化与市场化、民营化的互动基础之上,重新拷问中国的行业体制改革的路径选择,才能实现行业管理的善治。     

Measuring the impact of public perceptions on child welfare workers

The Public Perceptions of Child Welfare Scale measures how the social environment influences child welfare workers, including their job satisfaction and intent to leave. Psychometric studies have validated the scale for private child welfare workers, but there are no validation studies with public agency staff. This study fills that gap, showing stigma and respect are important constructs that also predict worker intent to leave. This research found an additional construct, blame, which was not present in private worker validation studies. The scale provides an important tool for the field as we continue to build evidence for effective recruitment and retention.     

类推适用的私法价值与司法运用

凡制定法皆可能存在法律漏洞,类推适用是在法律对系争事件或说个案存在法律漏洞时的一种漏洞补充方法。类推适用的私法价值既是法律正义价值的体现,也是法律存在漏洞并且必须补充和法官不得拒绝审判原则的必然要求;基于中国的法律文化传统,我国民法典应该确认类推适用的地位并确定具体的规则。     

论民法理念及其现实意义

民法理念是民法的最高价值与终极宗旨,具体表现为私权神圣和私法自治,其形成有着经济与人文基础。由于长期的封建历史传统、商品经济不发达、公法优位、泛道德主义与重刑主义严重等原因,我国没有形成私法传统,缺失民法理念。民法理念对于引导民法典的制定、培育私法文化、促进经济发展与政治文明具有重要的意义。     

日本银行体系的脆弱性与其金融安全网的演变

金融安全网作为保持金融体系、尤其是银行体系安全稳健运行而建立的危机防范和管理的一系列制度安排,一直受到各国金融监管当局和相关学者的关注。日本从二战后至80年代金融业处于长期稳定状态,使许多人推崇日本当时的金融安全网。然而,正是这个安全网阻碍了市场约束发挥作用,掩盖了日本银行体系长期积累下的脆弱性。进入90年代,随着金融环境的变化,日本传统的金融安全网明显失效,其金融业进入长达十余年的不稳定时期。安全网也随之发生变革。     

法律的私人执行

法律执行可分为公共执法和私人执法。基于法律执行经济分析 ,结合民间收债、私人侦探、私刑等社会现象 ,可认为法律的私人执行是阐释私力救济的另一种思路 ,而提升私人执法的作用将成为法制变革的方向。私人执法与公共执法应保持平衡、相互补充。     

税收法律行为初论

与税收法律关系同样都为税法学的基本范畴 ,但税收法律行为的研究在传统税法学理论中却付之阙如 ,本文即对此作出了探索性的研究。本文首先界定了税收法律行为的概念 ,并确定了其较为重要的种类划分 ;然后 ,通过对税收法律行为与行政法律行为以及私法法律行为之间关系的分析 ,明确了税收法律行为的公、私法交融的性质特征 ,并着重以契约行为为例加以进一步的说明 ;最终 ,将税收法律行为与税法上的事实行为一起 ,初步构建了税法上行为的体系。     

中国民法典制定的冷思考--从《法国民法典》看我国民法典的制定

《法国民法典》在特定的政治、经济、文化背景中产生 ,具有划时代的历史意义。其所体现的思想内容和精神价值在当代社会仍具有巨大的震撼力 ,主要包括法律公开、司法独立、私权天赋不可侵犯而独立于公权、法官不得拒绝裁判等 ,这些观念为后世各国制定民法典所遵从 ,也为我国制定民法典所参考。由于我国当前不具备自主制定成熟民法典的各项基础要素 ,因此应克服仓促制定《民法典》的急躁心态。