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Case C-270/12 (UK v Parliament and Council) – Stress Testing Constitutional Resilience of the Powers of EU Financial Supervisory Authorities – A Critical Assessment of the Advocate General's Opinion 案例C-270/12(英国诉议会和理事会)-欧盟金融监管当局权力的压力测试宪法弹性-对总检察长意见的批判性评估
Pub Date : 2014-01-01 DOI: 10.2139/SSRN.2379348
H. Marjosola
This paper takes a critical look at the conclusions and reasoning of the Opinion of the Advocate General in the case C-270/12 UK v Council and Parliament that, at the time of writing this paper, is pending before the Grand Chamber of the Court of Justice of the European Union. In his Opinion delivered on 12 September 2013, Advocate General Jaaskinen found, in agreement with the UK, that the Article 114 TFEU was not an appropriate legal basis for the powers granted to the European Securities Markets Authority under Article 28 of the Regulation 236/2012 on Short Selling and certain aspects of Credit Default Swaps. This paper has three aims: first, to underline the “systemic” importance of the case for the nascent system of EU financial supervision; second, to point out certain neglected dimensions in the Opinion, especially the insufficient attention paid to ex ante (political and procedural) safeguards and the problematic relationship between financial stability and financial integration; and third, to emphasise the need of the Court to find a second-best solution in order to ring-fence the damage that could be caused to the supervisory system in the event the Court were to agree with the Advocate General’s findings.
本文对C-270/12英国诉理事会和议会案中总检察长的意见的结论和推理进行了批判性的审视,在撰写本文时,该案正在欧盟法院大分庭审理。在2013年9月12日发表的意见中,总检察长Jaaskinen与英国达成一致,认为第114条TFEU不是根据第236/2012号关于卖空和信用违约掉期某些方面的法规第28条授予欧洲证券市场管理局的权力的适当法律依据。本文有三个目的:第一,强调本案对欧盟金融监管新体系的“系统性”重要性;第二,指出《意见》中某些被忽视的方面,特别是对事前(政治和程序)保障措施和金融稳定与金融一体化之间有问题的关系重视不够;第三,强调法院需要找到次佳的解决办法,以便避免在法院同意总检察长的调查结果时可能对监督制度造成的损害。
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引用次数: 2
Towards an Extraterritorial Application of the Chinese Anti-Monopoly Law that Avoids Trade Conflicts 避免贸易冲突的中国反垄断法域外适用
Pub Date : 2013-11-29 DOI: 10.2139/SSRN.2361448
M. Faure, Xinzhu Zhang
This article deals with an important, but yet unexplored issue, being to what extent the anti-monopoly law of China of 2008 can be applied in an extraterritorial manner. The paper reviews first the extraterritorial application of anti-trust law in the United States and in EU competition law and then provides a critical policy analysis on extraterritoriality. Attention is specifically paid to the position of China since article 2 of the ALM, so we argue, explicitly provides for the possibility of extraterritoriality. The first decisions also show that China is apparently on its way towards an extraterritorial application of its anti-monopoly law in practice. We point at the many conflicts to which such an extraterritorial application of competition law has given rise in the EU and in the US (and more particularly between them) and hence we argue that it may be wise to draw lessons from those conflicts in order to prevent a similar scenario for China. We argue that for example joint actions between anti-trust authorities and mutual information exchange (for example on the basis of a bilateral agreement on the extraterritorial exercise of jurisdiction) may lead to avoiding potential conflicts that may arise from an extraterritorial application of the Chinese anti-monopoly law.
中国2008年颁布的《反垄断法》在多大程度上可以域外适用,这是本文探讨的一个重要但尚未探讨的问题。本文首先回顾了美国反垄断法的域外适用和欧盟竞争法的域外适用,然后对域外适用进行了关键性的政策分析。我们认为,《反垄断法》第2条明确规定了治外法权的可能性,因此中国的立场受到特别关注。第一批裁决还表明,中国显然正朝着反垄断法的域外适用方向发展。我们指出,在欧盟和美国(尤其是它们之间),这种域外竞争法的适用引发了许多冲突,因此我们认为,从这些冲突中吸取教训,以防止中国出现类似的情况,可能是明智的。我们认为,例如,反垄断机构之间的联合行动和相互信息交换(例如,基于域外管辖权行使的双边协议)可能导致避免因中国反垄断法的域外适用而产生的潜在冲突。
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引用次数: 7
Regulatory Experience in the US and It's Lessons for European Banking Union 美国的监管经验及其对欧洲银行业联盟的启示
Pub Date : 2013-11-29 DOI: 10.2139/ssrn.2353545
A. Saunders
The regulatory system has taken 150 years to develop in the US. Even today it is far from unified with four supervisory "agencies" overseeing banking organizations, i.e., 50 State Regulatory bodies, the OCC, the FDIC and the Federal Reserve, with a wide variety of individual and often overlapping powers such as in examination and supervision. The Euro-zone is at the very start of what will be a long and difficult process and whether unification is achievable across such a diverse set of economies with competing local supervisors and diverse bankruptcy laws remains to be seen. Nevertheless, the US is a useful laboratory to examine the benefits and costs of different approaches to the three "legs" of European bank union, i.e., supervision, deposit insurance and restructuring/resolution.
美国的监管体系发展了150年。即使在今天,它也远没有统一为四个监督银行组织的监管“机构”,即50个州监管机构,OCC, FDIC和美联储,它们拥有各种各样的个人权力,而且往往在审查和监督方面重叠。欧元区正处于一个漫长而艰难的过程的开端,在这样一个地方监管机构相互竞争、破产法各不相同的经济体中,是否能实现统一还有待观察。然而,美国是一个有用的实验室,可以用来研究欧洲银行联盟三个“腿”(即监管、存款保险和重组/处置)的不同方法的收益和成本。
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引用次数: 3
Multinationals and Transparency in Foreign Direct Liability Cases - The Prospects for Obtaining Evidence Under the Dutch Civil Procedural Regime on the Production of Exhibits 跨国公司与外国直接责任案件的透明度-荷兰民事诉讼制度下关于出示证物的证据获取前景
Pub Date : 2013-11-04 DOI: 10.5553/DQ/221199812013001003003
L. Enneking
On 30 January 2013, the The Hague district court rendered a final judgment with respect to a number of civil liability claims against Royal Dutch Shell (RDS) and its Nigerian subsidiary Shell Petroleum Development Company of Nigeria (SPDC) that had been pursued by four Nigerian farmers and the Dutch NGO Milieudefensie in relation to various oil spills from SPDC-operated pipelines in the Nigerian Niger Delta. This case, including the January 2013 ruling by the The Hague district court, is interesting for a number of reasons. One of them is that it forms part of a broader, worldwide trend towards similar civil liability procedures that has come up over the past two decades in Western societies around the world.One of the main characteristics of these so-called 'foreign direct liability cases' is the inequality of arms that typically exists between the host country plaintiffs on the one hand and the corporate defendants on the other when it comes to financial scope, level of organization and access to relevant information. As a consequence, the procedural rules pertaining to the collection of evidence that apply in the forum countries in which they are pursued typically play an important part in these cases. This also means that in countries where the prospects for obtaining evidence in civil procedures are poor, this may add a potentially crucial procedural barrier for host country plaintiffs seeking to pursue foreign direct liability claims that may be difficult to overcome.The main question to be answered in this article is what the prospects are for plaintiffs in Dutch foreign direct liability claims (i.e. foreign direct liability claims pursued before Dutch courts against multinational corporations that are based in the Netherlands) when it comes to obtaining evidence under the Dutch civil procedural regime on the production of exhibits. This question is highly relevant, since the course of the proceedings in the first and (so far) only Dutch foreign direct liability case, the Dutch Shell Nigeria case, suggest that the Dutch procedural regime on the collection of evidence may pose a significant hurdle for plaintiffs seeking to pursue foreign direct liability claims before Dutch courts.
2013年1月30日,海牙地区法院就荷兰皇家壳牌公司(RDS)及其尼日利亚子公司尼日利亚壳牌石油开发公司(SPDC)的一系列民事责任索赔作出了最终判决,这些索赔是由四名尼日利亚农民和荷兰非政府组织Milieudefensie就荷兰皇家壳牌公司在尼日利亚尼日尔三角洲运营的管道发生的各种漏油事件提起的。这个案子,包括2013年1月海牙地区法院的裁决,在很多方面都很有趣。其中之一是,它构成了一个更广泛的、世界范围内类似民事责任程序的趋势的一部分,这种趋势在过去20年里出现在世界各地的西方社会。这些所谓的“外国直接责任案件”的主要特征之一是,在涉及财务范围、组织水平和获取相关信息时,东道国原告与公司被告之间通常存在不平等的武器。因此,在这些案件中,适用于寻求证据的法庭国家的有关收集证据的程序规则通常起着重要作用。这也意味着,在那些在民事诉讼中取得证据的前景很差的国家,这可能会给东道国原告寻求寻求可能难以克服的外国直接责任索赔增加一个潜在的关键程序障碍。本文要回答的主要问题是,在荷兰外国直接责任索赔(即在荷兰法院对总部设在荷兰的跨国公司提起的外国直接责任索赔)中,原告根据荷兰民事诉讼制度获取证据时,其前景如何。这个问题是高度相关的,因为第一个也是迄今为止唯一一个荷兰外国直接责任案件,即荷兰壳牌尼日利亚案的诉讼过程表明,荷兰关于收集证据的程序制度可能对原告在荷兰法院寻求外国直接责任索赔构成重大障碍。
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引用次数: 3
The Shift in Power in the European Union and Its Consequences for Energy and the Environment 欧盟的权力转移及其对能源和环境的影响
Pub Date : 2013-11-03 DOI: 10.2139/SSRN.2349348
Noah M. Sachs
Control over environmental regulation has become remarkably centralized in the European Union, with power shifting over the past few decades from Member States to EU institutions in Brussels. This chapter, part of a forthcoming ABA book -- International Environmental Law: The Practitioner's Guide to the Laws of the Planet -- analyzes both the causes and the effects of that policy centralization. It focuses on EU energy and climate change policy, including the Emissions Trading System, and also discusses EU legislation on toxic chemicals and product policy.
在过去的几十年里,随着权力从成员国转移到布鲁塞尔的欧盟机构,欧盟对环境法规的控制已经变得非常集中。本章是美国律师协会即将出版的新书《国际环境法:地球法律实践者指南》的一部分,分析了这种政策集中化的原因和影响。它侧重于欧盟的能源和气候变化政策,包括排放交易系统,还讨论了欧盟关于有毒化学品和产品政策的立法。
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引用次数: 0
Behavioral International Law 行为国际法
Pub Date : 2013-09-18 DOI: 10.2139/ssrn.2320375
Tomer Broude
This article systematically explores the application of insights from behavioral economics to international legal issues. Economic analysis has in recent years made significant inroads into the study of international law, but most of this literature relies upon assumptions of perfect rationality of states and decision-makers. This approach is inadequate, both in its insufficient empirical grounding and in its question-begging tendency towards often unsophisticated and outdated forms of ‘Realist’ international relations theory. A behavioral approach would augment legal research by providing new hypotheses to address puzzles in international law while at the same time introducing empirically grounded concepts of real, observed bounded’ rationality, which diverge from the assumed, perfect rationality of traditional law and economics. The article addresses some possible methodological objections to the application of behavioral analysis to international law, namely: the focus of behavioral analysis on the individual; the empirical foundations of behavioral economics; and behavioral analysis’ relative lack of parsimony. It then offers indicative behavioral research frameworks for three outstanding puzzles in international law: (a) the relative inefficiency of the development of international law; (b) collegiality and dissent in international tribunals; and (c) target selection in armed conflict. Behavioral research of international law can serve as a viable and enriching alternative and complement to economic analysis and other theoretical approaches to international legal research, so long as it is pursued with academic and empirical rigor as well as intellectual humility.
本文系统地探讨了行为经济学的见解在国际法律问题上的应用。近年来,经济分析在国际法研究方面取得了重大进展,但这些文献大多依赖于国家和决策者完全理性的假设。这种方法是不充分的,既因为它缺乏经验基础,也因为它对往往不成熟和过时的“现实主义”国际关系理论形式提出问题的倾向。行为方法将通过提供新的假设来解决国际法中的难题,同时引入基于经验的真实的、观察到的有限理性的概念,从而增强法律研究,这些概念与传统法律和经济学的假设的、完美的理性不同。本文阐述了在方法上对行为分析应用于国际法的一些可能的反对意见,即:行为分析侧重于个人;行为经济学的实证基础;以及行为分析相对缺乏节俭。然后,它为国际法中三个突出的难题提供了指示性行为研究框架:(a)国际法发展的相对低效;(b)国际法庭的合议和异议;(三)武装冲突中的目标选择。国际法的行为研究可以作为经济分析和国际法研究的其他理论方法的可行和丰富的替代和补充,只要它在学术和经验上的严谨以及智力上的谦逊进行。
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引用次数: 20
International Authority, the Responsibility to Protect and the Culture of the International Executive 国际权威、保护责任与国际行政人员文化
Pub Date : 2013-09-01 DOI: 10.1093/LRIL/LRT004
Jacqueline Mowbray
In her book, 'International Authority and the Responsibility to Protect,' Anne Orford compellingly demonstrates how the doctrine of responsibility to protect can be seen as providing a normative foundation for international authority already exercised through 'pre-existing practices of protection' on the part of the international executive. She does so through a close historical analysis of practice on the part of the UN, and particularly the work of Secretary General Dag Hammarskjold. In doing so, she positions Hammarskjold as the 'founding father' of international executive action, and treats the expansion of international authority justified by reference to protection largely as a result of the implementation of Hammarskjold’s vision for the development of international executive rule. Focusing on Hammarskjold in this way provides the basis for an illuminating and coherent narrative of the development of the responsibility to protect concept. However, it also obscures questions of the social and institutional context within which Hammarskjold’s ideas took effect. Quite evidently, it was not Hammarskjold alone, but a whole bureaucratic machinery which performed the ‘protracted process’ of consolidating international executive power by reference to the concept of protection. But this social history of the responsibility to protect is largely missing from Orford’s narrative. As a result, Orford’s account of the ‘pre-existing…practices of protection,’ which responsibility to protect emerged to justify, is only partial, and leaves critical questions – such as the nature of those exercising international authority – unanswered. In this piece I therefore argue that Orford’s consideration of the political philosophy and intellectual history of the responsibility to protect needs to be supplemented by greater attention to its sociology, through an analysis of how practices of international executive action to 'protect life' developed through the institutional life – or 'culture' – of international bodies. Such an analysis not only offers a more complete picture of the consolidation of international executive authority based on protection, but also provides a basis for understanding how the responsibility to protect concept might affect the future practices of international institutions exercising executive power.
安妮•奥福德(Anne Orford)在她的著作《国际权威和保护责任》(International Authority and the Responsibility to Protect)中有力地论证了保护责任的原则如何可以被视为为国际权威提供了一个规范性基础,而国际权威已经通过国际执行机构的“预先存在的保护实践”得以行使。她通过对联合国的实践,特别是对秘书长达格·哈马舍尔德的工作进行了细致的历史分析。在这样做的过程中,她将哈马舍尔德定位为国际行政行为的“奠基人”,并将国际权威的扩张在很大程度上归因于哈马舍尔德对国际行政规则发展的愿景的实施。以这种方式关注哈马舍尔德为保护责任概念的发展提供了启发性和连贯叙述的基础。然而,它也模糊了哈马舍尔德的思想产生影响的社会和制度背景的问题。很明显,不仅仅是哈马舍尔德一个人,而是整个官僚机构,通过提及保护概念来执行巩固国际行政权力的“漫长过程”。但是这种保护责任的社会历史在奥福德的叙述中基本上是缺失的。因此,奥福德对“预先存在的……保护实践”的描述,即保护责任的出现是为了证明其合理性,只是部分的,并留下了一些关键问题——比如那些行使国际权威的人的性质——没有得到回答。因此,在这篇文章中,我认为,奥福德对保护责任的政治哲学和思想史的考虑需要得到对其社会学的更多关注的补充,通过分析国际机构的制度生活或“文化”如何发展国际行政行动的实践来“保护生命”。这种分析不仅提供了以保护为基础的国际行政权力巩固的更全面的情况,而且还为了解保护责任概念如何影响行使行政权力的国际机构的未来做法提供了基础。
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引用次数: 3
What is 'Law,' If 'The Law' is Not Something that 'Is'? A Modest Contribution to a Major Question 如果“法律”不是某种“存在”的东西,那么什么是“法律”?对一个重大问题的适度贡献
Pub Date : 2013-09-01 DOI: 10.1111/raju.12022
D. Svantesson
Having proposed an alternative definition of what “law” (as a jurisprudential concept) is, this article seeks to demonstrate the impossibility of identifying “the law” (as in what law-makers announce, relative to a particular jurisdiction) as something that is in a particular way. Rather, the law is always a more or less abstract range of options. Thus, law-makers, such as legislators and judges, do not express the law, but something less than the law – something limited by biases. Drawing upon this conclusion, the article calls for a reassessment of how we view the role of law-makers. We need to remove the mystery that surrounds the law. Doing so will make clear that law-makers must be open about their unavoidable biases – we need greater transparency. The article concludes that this transparency can only be gained by requiring law-makers to declare their inescapable biases where they impact on their lawmaking.
在提出了“法律”(作为法学概念)是什么的另一种定义之后,本文试图证明,不可能将“法律”(作为立法者相对于特定管辖权所宣布的内容)确定为某种特定方式的东西。相反,法律总是一个或多或少抽象的选择范围。因此,立法者,如立法者和法官,表达的不是法律,而是某种低于法律的东西——某种受偏见限制的东西。根据这一结论,文章呼吁重新评估我们如何看待立法者的作用。我们需要消除围绕法律的神秘感。这样做将清楚地表明,立法者必须公开他们不可避免的偏见——我们需要更大的透明度。文章的结论是,这种透明度只能通过要求立法者在影响其立法的地方宣布他们不可避免的偏见来获得。
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引用次数: 4
‘Member Responsibility’ and the ILC Articles on the Responsibility of International Organizations: Some Observations “成员责任”与国际法委员会关于国际组织责任的条款:一些意见
Pub Date : 2013-06-28 DOI: 10.1163/9789004289222_018
Sienho Yee
This paper briefly explains the idea of "member responsibility" for acts of an international organization, moves on to lay out the International Law Commission 2011 Articles on Responsibility of International Organizations framework on this issue, and then offers some critical observations on the ILC treatment of the topic. The 2011 articles framework on this issue can be considered to have four aspects, short-handed roughly as "independent personality", "additional acts approach", "no member responsibility", and ‘remedy-enabling obligations pursuant to the rules of the international organization’. The consolation prizes that the ILC has given to the world are article 61 on prevention of circumvention of member States’ obligations and article 40 on ensuring the fulfillment of the obligation to make reparation. Neither represents a substantial victory for member responsibility, but each can be considered a half-step forward in that direction. As to article 61, the intention to circumvent obligations may be too high a threshold and may not cover the original establishment of an international organization and thus may not completely solve the ‘beautiful for some but ugly for others’ problem, but at least it would catch the overtly villainous States, if any. As to article 40, the ‘take all appropriate measures’ obligation to enable remedies on the part of the international organization as well as its member States may not rise to the level of ‘hard obligations’ because under article 40 these obligations are supposed to be pursuant to the rules of the organization which may reject such obligations. The saving grace is probably the suggestion made in the commentary that an implied obligation to enable remedies should be read into silent or unclear rules of the organization. This can be a powerful idea because silent or unclear rules of the organizations are the norm, other formulations the exception. This ‘rule of interpretation’ may nudge the law into the direction of providing for remedies where they are due.
本文简要解释了国际组织行为“成员责任”的概念,接着阐述了国际法委员会2011年《国际组织责任条款》关于这一问题的框架,然后对国际法委员会对这一主题的处理提出了一些批判性的看法。2011年关于这一问题的条款框架可以认为有四个方面,简称为“独立人格”、“附加行为方式”、“无成员责任”和“根据国际组织规则的救济义务”。国际法委员会给全世界的安慰奖是关于防止规避成员国义务的第61条和关于确保履行赔偿义务的第40条。两者都不是成员责任的实质性胜利,但都可以被视为朝着这个方向前进了半步。关于第61条,规避义务的意图可能是一个过高的门槛,可能不包括最初建立一个国际组织,因此可能不能完全解决“对一些人来说是美好的,对另一些人来说是丑陋的”问题,但至少它会抓住公然作恶的国家,如果有的话。关于第40条,“采取一切适当措施”以使国际组织及其成员国能够采取补救措施的义务可能不会上升到“硬义务”的水平,因为根据第40条,这些义务应该符合可能拒绝这种义务的组织的规则。可取之处可能是评注中提出的建议,即应将使补救措施成为可能的默示义务解读为组织的沉默或不明确的规则。这可能是一个强有力的想法,因为沉默或不明确的组织规则是常态,其他公式是例外。这种“解释规则”可能会将法律推向提供应有救济的方向。
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引用次数: 3
Fighting Discrimination with Discrimination: Public Universities and the Rights of Dissenting Students 以歧视对抗歧视:公立大学与持不同意见学生的权利
Pub Date : 2013-06-01 DOI: 10.1111/raju.12012
J. Affolter
This article discusses recent legal conflicts between state universities and conservative religious students in the United States, focusing on Christian Legal Society v. Martinez. In recent years, several universities have denied recognition to religious student organizations that discriminate on the basis of religion or sexual orientation. I argue that scholars on both sides of the issue have failed to recognize the full scope of the privilege that the universities demand. If the courts accept the universities' demands, then the courts dangerously expand the government's authority to suppress dissenters. No proponent of civil liberties should welcome this change.
本文讨论了最近美国州立大学和保守宗教学生之间的法律冲突,重点是基督教法律协会诉马丁内斯案。近年来,一些大学拒绝承认基于宗教或性取向歧视的宗教学生组织。我认为,这个问题的双方学者都没有认识到大学所要求的特权的全部范围。如果法院接受了大学的要求,那么法院就危险地扩大了政府镇压异见者的权力。任何公民自由的支持者都不应该欢迎这种变化。
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引用次数: 1
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