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Twin Peaks 2.0: Avoiding Influence Over an Australian Financial Regulator Assessment Authority 双峰2.0:避免对澳大利亚金融监管机构评估机构的影响
Q3 Social Sciences Pub Date : 2021-09-25 DOI: 10.1177/0067205X211039888
A. Schmulow, Paul Mazzola, Daniel de Zilva
Globally, financial system regulators are susceptible to deliberate and inadvertent influence by the industry that they oversee and, hence, are also susceptible to acting to benefit the industry rather than the public interest – a phenomenon known as ‘regulatory capture’. Australia, arguably, has an optimal model of financial system regulation (a ‘Twin Peaks’ model) comprising separate regulators for prudential soundness on the one hand, and market conduct and consumer protection on the other. However, the current design of the Twin Peaks model has not been sufficient to prevent and address prolonged and systemic misconduct that culminated in a public Royal Commission of Inquiry into misconduct in the industry. Subsequent to the Royal Commission and other inquiries, the Department of Treasury has proposed legislation to establish an Assessment Authority to assess the effectiveness of the Twin Peaks regulators. The proposal includes enquiries by an Assessment Authority into the regulators’ independence, so as to identify instances of, and thereby mitigate, their capture. As with all financial system regulators, the Assessment Authority itself may be susceptible to regulatory capture, either by the Twin Peaks regulators, or by the financial industry. Thus, this paper poses the question: how can the new Assessment Authority be optimally constituted by legislation, and operated, to effectively oversee the effectiveness of the regulators, but itself remain insulated from the influence of the regulators and industry? We analyse the primary sources of influence over financial system regulators that the Assessment Authority will likely face and recommend ways in which a robust design of the Assessment Authority can mitigate those sources of influence. In doing so, we adopt an inter-disciplinary approach, drawing upon not only regulatory theory but also for the first time in relation to this question, organisational psychology. Our findings address gaps in the proposed legislation currently before Federal Parliament and propose methods by which those gaps may be filled, in order to ensure that this important reform to Australia’s financial regulatory regime has the greatest chance of success.
在全球范围内,金融系统监管机构容易受到其监管行业的蓄意和无意影响,因此,也容易采取有利于行业而非公众利益的行动——这种现象被称为“监管捕获”。可以说,澳大利亚有一个最佳的金融系统监管模式(“双峰”模式),一方面包括独立的监管机构,以确保审慎稳健,另一方面包括市场行为和消费者保护。然而,目前双峰模型的设计不足以防止和解决长期的系统性不当行为,最终导致皇家调查委员会对该行业的不当行为进行公开调查。在皇家委员会和其他调查之后,财政部提议立法成立一个评估机构,以评估双峰监管机构的有效性。该提案包括评估机构对监管机构的独立性进行调查,以确定并减少对其的捕获。与所有金融系统监管机构一样,评估机构本身可能容易受到监管机构的监管,无论是双峰监管机构还是金融业。因此,本文提出了一个问题:新的评估机构如何通过立法以最佳方式组成和运作,以有效监督监管机构的有效性,但其本身又不受监管机构和行业的影响?我们分析了评估机构可能面临的对金融系统监管机构的主要影响来源,并建议了评估机构稳健设计可以减轻这些影响来源的方法。在这样做的过程中,我们采用了一种跨学科的方法,不仅借鉴了监管理论,而且首次借鉴了与组织心理学这个问题有关的理论。我们的调查结果解决了目前提交联邦议会的拟议立法中的差距,并提出了填补这些差距的方法,以确保澳大利亚金融监管制度的这一重要改革取得最大成功。
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引用次数: 0
Why Does the Common Law Conform to the Constitution? 为什么普通法符合宪法?
Q3 Social Sciences Pub Date : 2021-09-23 DOI: 10.1177/0067205X211039889
Joshua Sheppard
The High Court has often said that the common law must conform to the Constitution. The High Court has not completely explained why this is so. This requirement is not explicitly mentioned anywhere in the Constitution itself. A number of scholars have suggested possible answers. One is that the Constitution is the supreme law and binding on everyone. Another suggestion has been that the common law must conform because the Constitution constrains ‘state action’: something more than just an exercise of constitutionally conferred power. This latter explanation appears to deviate from the High Court's exposition of the common law's relationship with the Constitution in Lange v Australian Broadcasting Commission. This article suggests that the Constitution has a broader application to the common law, in that it constrains all uses of judicial power, not just those that are considered to be ‘state action’. It contends that it is implicit in s 71 of the Constitution that the power to develop the common law yields to constitutional imperatives. This theory is more descriptively consistent with the High Court's practice and observations about the relationship between the common law and the Constitution.
高等法院经常说,普通法必须符合宪法。高等法院并没有完全解释为什么会这样。这一要求在宪法本身的任何地方都没有明确提到。许多学者提出了可能的答案。其一,宪法是最高法律,对每个人都有约束力。另一种说法是,普通法必须遵守,因为宪法限制“国家行为”:这不仅仅是行使宪法赋予的权力。后一种解释似乎偏离了高等法院在兰格诉澳大利亚广播委员会案中对普通法与宪法关系的阐述。这篇文章表明,宪法对普通法有更广泛的适用,因为它限制了司法权的所有使用,而不仅仅是那些被认为是“国家行为”的使用。它认为,宪法第71条暗示,制定普通法的权力应服从宪法的要求。这一理论在描述上更符合高等法院对普通法与宪法之间关系的实践和观察。
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引用次数: 0
The Reception of Structured Proportionality in Australian Constitutional Law 结构比例原则在澳大利亚宪法中的接受
Q3 Social Sciences Pub Date : 2021-06-04 DOI: 10.1177/0067205X211016581
Murray Wesson
A majority of the High Court has incorporated a test of structured proportionality into its implied freedom of political communication case law. Structured proportionality developed in the context of constitutional rights adjudication and requires courts to engage in substantive, values-based reasoning. The Australian Constitution does not contain a Bill of Rights and the High Court is known for its commitment to legalism and textualism. Against this background, one might think that the High Court would interpret the elements of structured proportionality so that they assume a highly distinctive form in Australian constitutional law. However, a close reading of recent implied freedom of political communication case law demonstrates that generally this is not the case. Admittedly, the High Court’s approach to the necessity and balancing stages departs from the case law of the Federal German Constitutional Court. However, once a broader comparative perspective is adopted, it becomes apparent that the High Court’s approach is not unusual, especially for courts that are new to applying structured proportionality. By adopting structured proportionality, the High Court may have aligned the implied freedom of political communication with a global model of constitutional rights enforcement. The Australian constitutional context may also be less distinctive than is sometimes supposed.
高等法院的大多数法官已将结构化相称性测试纳入其隐含的政治沟通自由判例法中。结构性相称性是在宪法权利裁决的背景下发展起来的,要求法院进行实质性的、基于价值观的推理。《澳大利亚宪法》不包含《权利法案》,高等法院以其对法律主义和文本主义的承诺而闻名。在这种背景下,人们可能会认为高等法院会解释结构化比例的要素,使其在澳大利亚宪法中具有高度独特的形式。然而,仔细阅读最近隐含的政治传播自由判例法表明,通常情况并非如此。诚然,高等法院对必要性和平衡阶段的处理方法与德国联邦宪法法院的判例法不同。然而,一旦采用了更广泛的比较视角,很明显,高等法院的做法并不罕见,尤其是对于新应用结构化比例的法院来说。通过采用结构化的相称性,高等法院可能将隐含的政治沟通自由与宪法权利执行的全球模式相结合。澳大利亚的宪法背景也可能没有人们有时想象的那么独特。
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引用次数: 0
Multi-Stakeholder Frameworks for Rectification of Non-Compliance in Cleaning Supply Chains: The Case of the Cleaning Accountability Framework 清洁供应链不合规整改的多方利益相关者框架——以清洁问责框架为例
Q3 Social Sciences Pub Date : 2021-05-26 DOI: 10.1177/0067205X211016575
M. Rawling, Sarah Kaine, Emmanuel Josserand, M. Boersma
There is now an expanding body of literature on the significant problem of business non-compliance with minimum labour standards including ‘wage theft’. Extended liability regulation beyond the direct employer is seen as one solution to this non-compliance in fragmented but hierarchically organised industries—such as the cleaning industry. This article uses empirical evidence to assess the effectiveness of one such regulatory scheme, the Cleaning Accountability Framework (CAF), in addressing non-compliance with minimum labour standards (including provisions of the Fair Work Act 2009 (Cth) and the Cleaning Services Award 2020). We find that CAF has been successful in identifying and rectifying certain non-compliance, improving working conditions for some cleaners involved in the scheme. We synthesise the key success factors of CAF in view of envisioning the adoption of such co-regulation frameworks in other industries. We also propose legal reforms that will support change across the cleaning industry.
关于企业不遵守最低劳动标准的重大问题,包括“工资盗窃”,现在有越来越多的文献。将责任监管扩展到直接雇主之外,被视为解决分散但分级组织的行业(如清洁行业)不遵守规定的一种解决方案。本文使用经验证据来评估清洁问责框架(CAF)这一监管计划在解决不符合最低劳动标准(包括2009年《公平工作法》(Cth)和2020年清洁服务奖的规定)方面的有效性。我们发现,CAF在识别和纠正某些不合规行为方面取得了成功,改善了参与该计划的一些清洁工的工作条件。我们综合了CAF的关键成功因素,以期在其他行业采用这种共同监管框架。我们还建议进行法律改革,以支持整个清洁行业的变革。
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引用次数: 2
Can I Leave the House? A Coded Analysis of the Interpretation of the Reasonable Excuse Provision by NSW Police During the COVID-19 Lockdown 我可以离开房子吗?新南威尔士州警方在新冠肺炎封锁期间对合理辩解条款的解读编码分析
Q3 Social Sciences Pub Date : 2021-05-25 DOI: 10.1177/0067205X211016576
B. Mostyn, Niamh Kinchin
This article looks at the recent Public Health (COVID-19 Restrictions on Gathering and Movement) Order 2020, which was in force in New South Wales from 31 March 2020 to 14 May 2020. The order allowed police to fine people who left their houses without a ‘reasonable excuse’. This article considers the confusion around the order in the community and upper levels of the government. Publicly available information about the fines issued by the police is analysed and it is argued that an overly narrow application of the order by police meant that its application was not reasonably proportionate to the authorising legislation, the Public Health Act 2010 (NSW). It is concluded that if future lockdowns are required, care will need to be taken to ensure that Ministerial orders are crafted in line with the legislation and that police officers clearly understand their operation.
本文介绍了最近的《2020年公共卫生(新冠肺炎限制集会和行动)令》,该命令于2020年3月31日至2020年5月14日在新南威尔士州生效。该命令允许警方对没有“合理理由”离开房屋的人进行罚款。本文考虑了社区和政府高层对秩序的困惑。分析了有关警方罚款的公开信息,有人认为,警方对该命令的适用范围过于狭窄,意味着其适用与授权立法《2010年公共卫生法》(新南威尔士州)不相称。结论是,如果未来需要封锁,需要小心确保部长级命令是根据立法制定的,并且警察清楚地了解他们的行动。
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引用次数: 1
Legal Exclusions: Émigré Lawyers, Admissions to Legal Practice and the Cultural Transformation of the Australian Legal Profession 法律排斥:移民律师、法律执业准入和澳大利亚法律职业的文化转型
Q3 Social Sciences Pub Date : 2021-05-19 DOI: 10.1177/0067205X211016574
S. Dehm
Legal histories of Australia have largely overlooked the exclusion of European émigré lawyers from legal practice in Australia. This article recovers part of this forgotten history by tracing the drawn-out legal admission bids of two Jewish émigré lawyers in the mid-20th century: German-born Rudolf Kahn and Austrian-born Edward Korten. In examining their legal lives and doctrinal legacies, this article demonstrates the changing role and requirement of British subjecthood in the historical constitution and slow cultural transformation of the Australian legal profession. This article suggests that contemporary efforts to promoting cultural diversity in the Australian legal profession are enriched by paying attention to this long and difficult history of legal exclusions.
澳大利亚的法律历史在很大程度上忽视了欧洲移民律师被排除在澳大利亚法律实践之外的问题。本文通过追踪20世纪中期两位犹太移民律师旷日持久的法律录取申请,恢复了这段被遗忘的历史的一部分:德国出生的鲁道夫·卡恩和奥地利出生的爱德华·科尔滕。在考察他们的法律生活和学说遗产时,本文展示了英国在历史宪法中不断变化的角色和要求,以及澳大利亚法律职业缓慢的文化转型。这篇文章表明,通过关注这段漫长而艰难的法律排斥历史,当代澳大利亚法律界促进文化多样性的努力得到了丰富。
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引用次数: 0
From Stepping-Stones to Throwing Stones: Officers’ Liability for Corporate Compliance Failures after Cassimatis 从垫脚石到扔石头:卡西马蒂斯事件后高管对公司合规失败的责任
Q3 Social Sciences Pub Date : 2021-05-19 DOI: 10.1177/0067205X211016573
Pamela Hanrahan, T. Bednall
Australian corporate law allows for significant civil penalties to be imposed by a court on negligent corporate officers, including directors. For more than a decade, Australian Securities and Investments Commission used civil prosecutions for negligence exclusively in situations where an officer is alleged to have exposed their corporation to foreseeable risk of harm that would flow from a contravention by the corporation of a regulatory or disclosure obligation. This enforcement strategy—known as ‘stepping-stones’—has been strongly criticised, including by Rares J in his 2020 dissenting opinion in the Cassimatis appeal. This article explains how stepping-stones works as an enforcement strategy in the context of corporate compliance failures, explores the various criticisms of it, and argues for reform. It proposes a legislative alternative that rebalances individual officer liability, to reflect contemporary governance practices and encourage better management and oversight of non-financial risk in corporations.
澳大利亚公司法允许法院对疏忽大意的公司高管(包括董事)处以重大民事处罚。十多年来,澳大利亚证券和投资委员会(Australian Securities and Investments Commission)仅在官员被指控因公司违反监管或披露义务而使其公司面临可预见的损害风险的情况下,才对疏忽行为提起民事诉讼。这种被称为“垫脚石”的执法策略受到了强烈批评,包括Rares J在2020年对卡西马蒂斯上诉的反对意见中。本文解释了在公司合规失败的背景下,垫脚石如何作为一种执行策略发挥作用,探讨了对它的各种批评,并主张进行改革。它提出了一种重新平衡个人高管责任的立法替代方案,以反映当代治理实践,并鼓励更好地管理和监督公司的非金融风险。
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引用次数: 0
Rethinking Richardson: Sexual Harassment Damages in the #MeToo Era 反思理查森:#MeToo时代的性骚扰损害
Q3 Social Sciences Pub Date : 2021-03-09 DOI: 10.1177/0067205X21993146
M. Castles, Tom Hvala, Kieran Pender
The 2014 judgment in Richardson v Oracle Corporation Australia Pty Ltd (‘Richardson’) had a seismic effect on workplace sexual harassment claims in Australia. Overnight, the ‘general range’ of damages awarded for non-economic loss in such cases increased from between $12 000 and $20 000 to $100 000 and above. The judgment has made Sex Discrimination Act 1984 (Cth) litigation considerably more attractive for plaintiffs and resulted in greater judicial recognition of the pain and suffering experienced by sexual harassment survivors. Richardson’s impact has also been felt beyond that immediate context, with the judgment cited in support of higher damages in discrimination cases and employment disputes. However, six years and over 40 judicial citations later, Richardson’s broader significance remains unclear—particularly following the emergence of the #MeToo movement. Drawing on a doctrinal analysis of subsequent case law and qualitative interviews with prominent Australian legal practitioners, this article evaluates Richardson’s legacy and considers how sexual harassment litigation may further evolve to reflect changing societal norms.
2014年Richardson诉Oracle Corporation Australia Pty Ltd(“Richardson”)一案的判决对澳大利亚的工作场所性骚扰指控产生了巨大影响。一夜之间,此类案件中非经济损失的“一般赔偿范围”从12000美元至20000美元增加到100000美元及以上。该判决使1984年《性别歧视法》(Cth)诉讼对原告更有吸引力,并使性骚扰幸存者所经历的痛苦得到了更多的司法承认。理查森的影响也超出了眼前的范围,该判决支持歧视案件和就业纠纷中更高的损害赔偿。然而,六年后,经过40多次司法传讯,理查森的更广泛意义仍然不清楚——尤其是在#MeToo运动出现之后。根据对随后判例法的理论分析和对澳大利亚著名法律从业者的定性采访,本文评估了理查森的遗产,并考虑了性骚扰诉讼如何进一步演变,以反映不断变化的社会规范。
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引用次数: 0
A Shield for the Tip of the Spear 矛尖的盾牌
Q3 Social Sciences Pub Date : 2021-03-09 DOI: 10.1177/0067205X21993147
S. White
The defence of superior orders is not new. However, within Australia, its statutory codification is lamentably underexplored. The 2018 Amendments to Part IIIAAA of the Defence Act 1903 (Cth) provides a neat catalyst to expand the defence and look at possible manners in which it can be constructed. Utilising a theoretical case study of Australian Defence Force members killing a possible terrorist, ‘this article addresses’ the key elements of the defence—what an order is, when can it be constructed as being manifestly unlawful and what does reasonable and necessary force mean for Australian Defence Force members.
捍卫上级命令并不是什么新鲜事。然而,令人遗憾的是,在澳大利亚国内,对其法律编纂的探索不足。《1903年国防法》(Cth)第IIIAAA部分的2018年修正案为扩大国防并研究其可能的构建方式提供了一个巧妙的催化剂。本文利用澳大利亚国防军成员杀害一名可能的恐怖分子的理论案例研究,阐述了国防的关键要素——什么是命令,什么时候可以将其视为明显非法,以及合理和必要的武力对澳大利亚国防军员意味着什么。
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引用次数: 0
Erasing the Vision Splendid? Unpacking the Formative Responses of the Federal Courts to the Fast Track Processing Regime and the ‘Limited Review’ of the Immigration Assessment Authority 抹去美好的愿景?拆解联邦法院对快速通道处理制度和移民评估机构的“有限审查”的形成性反应
Q3 Social Sciences Pub Date : 2021-03-02 DOI: 10.1177/0067205X21993158
J. Townsend, Hollie Kerwin
The establishment of the Immigration Assessment Authority (‘IAA’) and the Fast Track Processing Regime for certain asylum seekers has posed new and important questions for Australian administrative law, especially in respect of the place, scope and effect of merits review. This article considers the early and formative jurisprudence of the federal courts in relation to ‘Fast Track decisions’ made by the IAA. It concludes that the Fast Track process represents a novel development in Australian public law: a partial review process which is not sufficient to correct the errors of the decision-maker at first instance but which appeared for a time capable of immunising elements of the decision from appeal or direct judicial review. It is, in its intention and current operation, more than a ‘targeted tinkering’ with the mechanics of merits review and of migration law in Australia. It deserves attention as it commences its journey through superior courts and as the regime settles into the Australian administrative law landscape.
移民评估局(IAA)和某些寻求庇护者快速通道处理制度的建立给澳大利亚行政法提出了新的和重要的问题,特别是在是非事实审查的地点、范围和效果方面。本文考虑了联邦法院与IAA做出的“快速通道决定”相关的早期和形成性判例。它的结论是,快速通道程序代表了澳大利亚公法的一项新发展:部分审查程序不足以在初审时纠正决策者的错误,但在一段时间内似乎能够使决定的要素免于上诉或直接司法审查。就其意图和目前的运作而言,它不仅仅是对澳大利亚的功绩审查机制和移民法的“有针对性的修修补补”。它值得关注,因为它开始了通过高级法院的旅程,随着该政权进入澳大利亚行政法领域。
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引用次数: 1
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Federal Law Review
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