Les gymnodimines, les spirolides, les pinnatoxines et les ptériatoxines constituent une famille de toxines d’origine marine de structures complexes, produites en faibles quantités par des microorganismes marins appelés dinoflagellés. Ces toxines sont connues pour bloquer les récepteurs nicotiniques de l’acétylcholine (nAChRs) sans que leur mode d’action ne soit connu avec précision. D’après les différents tests biologiques réalisés à ce jour, il semblerait que le motif spiroimine, commun à toutes ces molécules, soit essentiel pour l’activité antagoniste. Un accès rapide à ce motif spiroimine ainsi qu’à de plus grandes quantités du produit naturel permettraient une meilleure compréhension du mode d’action de cette famille de toxines. Le travail réalisé au cours de cette thèse s’est d’une part focalisé sur la synthèse de ce coeur spiroimine de la (–)-gymnodimine A et d’autres part tourné vers le développement d’une nouvelle méthodologie d’additon énantiosélective de silyloxyfuranes sur des accepteurs de Michael cycliques. Dans un premier temps, la mise en place de la chaîne latérale de la (–)-gymnodimine A en position C7 en α du carbone quaternaire a été explorée par plusieurs approches diastéréocontrolées. C’est finalement l’utilisation de la réaction de Michael entre un organocuprate et une énone possédant le centre quaternaire en position C22 en présence de TMSCl qui a permis d’introduire un nucléophile avec la diastéréosélectivité désirée. Un précurseur du cœur spiroimne hautement fonctionalisé a alors été préparé avec une diastéréoselctivté de 83/17. Dans un second temps, un travail méthodologique nous a également permis de développer pour la première fois une version énantiosélective de la réaction de Mukaiyama-Michael vinylogue entre un silyloxyfurane et un accepteur de Michael cyclique. C’est l’utilisation d’un complexe de cuivre-(II) avec l’iso-propyl bis(oxazoline) qui s’est révélée être le système le plus performant pour accéder aux buténolides. En l’occurrence, nous avons testé la méthode avec un évantail de β-cétoesters α,β-insaturés cycliques aboutissant aux adduits de Michael avec une diastéréosélectivité totale et de bonnes énantiosélectivités pouvant aller jusqu’à 96%. Nous avons également proposé un état de transition de type Diels-Alder avec une approche exo du silyloxyfurane afin de rationnaliser les énantiosélectivités observées. / Gymnodimines, spirolides, pinnatoxines and pteriatoxines constitute a family of marine toxins with complex structures. They are produced in small amounts by marine microorganisms called dinoflagellates. These toxins are known to block the nicotinic acetylcholine receptors (nAChR), but the exact mode of action remains largely unknown. Biological tests have showed that the spiroimine moiety, the common feature of these molecules, is crucial for antagonist activity. A rapid access to this spiroimine core and to larger amount of this natural product could lead to a better understanding of the mode of action of this toxin family. This Ph.D. work has been focused on the synthesis of the spiroimine core of (–)-gymnodimine A, and on to the development of new methodology in order to add enanstioselectively silyloxyfurans to cyclic Michael acceptors. In the first part, the insertion of the side chain of (–)-gymnodimine A in poistion C7 next to the quaternary carbon has been explored by several diastereoselctive approaches. We found out that the use of the Michael addition of an organocopper reagent in the presence of TMSCl on an enone bearing the quaternary center at C22 positon was the only way to reach the expected diastereomer. Thus we obtained a key intermediaite with an interesting 83/17 diastereoselctivity for the synthesis of the spiroimine core of (–)-gymnodimine A. In a second time, a methological work allowed us to develop the first enantioselective vinyloguous Mukaiyama-Michael reaction between a silyloxyfuran and a cyclic Michael acceptor. The expected butenolide could be obtained with excellent diastereoselcetivity and good enantioselectivtities up to 96% by using iso-propyl bis(oxazoline) copper-(II) complex. This method proved to be relevant with various cyclic α,β-unsaturated β-ketoesters. Moreover, we proposed a Diels-Alder type transition state with an exo approach of the silyloxyfuran in order to rationalise the asymmetric induction.

This master´s thesis deals with the properties of gel polymer electrolytes, brief characteristics of other types of electrolytes and materials that are used for preparing polymer electrolytes. The thesis explains the use of the gel electrolytes in practice, the current conduction in the electrolytes and the properties of ionic liquids, and flame retardants. This thesis also focuses on methods of measurement of mechanical properties of gel polymer electrolytes. The practical part is focused on preparation of methacrylate gel electrolytes and their modifications with the use of flame retardant - triethyl phosphate (TEP) and ionic liquid - 1-ethyl-3-methylimidazolium bis(trifluoromethanesulfonyl)imide (Emim TFSI). In this part there are evaluations of their potential funcionality (potential window) and specific conductance conductivity using the method LSV (linear sweep voltammetry) and impedance spectroscopy. The practical part also includes a thermal analysis of selected samples by TGA, DTA and EGA methods.

The Maillard reaction products (MRPs) 3-deoxyglucosone (3-DG) and 5-hydroxymethylfurfural (HMF), which are formed during the thermal processing and storage of food, come into contact with technologically used yeasts during the fermentation of beer and wine. In order for the yeast cells to work efficiently, handling of the stress-inducing carbonyl compounds is essential. In the present study, the utilization of 3-DG and HMF by 13 Saccharomyces yeast strains (7 brewer’s yeast strains, 1 wine yeast strain, 6 yeast strains isolated from natural habitats) was investigated. All yeast strains studied were able to metabolize 3-DG and HMF. 3-DG is mainly reduced to 3-deoxyfructose (3-DF) and HMF is completely converted to 2,5-bishydroxymethylfuran (BHMF) and 5-formyl-2-furancarboxylic acid (FFCA). The ratio of conversion of HMF to BHMF and FFCA was found to be yeast strain-specific and no differences in the HMF stress tolerance of the yeast strains and species were observed. After incubation with 3-DG, varying amounts of intra- and extracellular 3-DF were found, pointing to a faster transport of 3-DG into the cells in the case of brewer’s yeast strains. Furthermore, the brewer’s yeast strains showed a significantly higher 3-DG stress resistance than the investigated yeast strains isolated from natural habitats. Thus, it can be shown for the first time that Saccharomyces yeast strains differ in their interaction of 3-DG induced carbonyl stress.

The thesis entitled “New Supramolecular Ion Sensing Probes and their Application in the Detection of Environmentally Relevant Ions” deals with the design and synthesis of several small molecular probes which can specifically sense environmentally relevant ions of (anion or cation) particularly in aqueous or biological medium. The probes have been designed using four different molecular entities which include anthraquinone, oxidized bis-indolyl system, pyrene and rhodamine. The probes afford naked eye detection of a particular ion in the aqueous medium. This work has been divided into six chapters. Chapter 1. Introduction The first chapter gives a brief idea of ion sensor. It provides the description of various approaches used for designing molecular sensors. The chapter further presents an overview of the four different dyes (anthraquinone, oxidized-bis-indole, pyrene and rhodamine) used for designing probes in this work. The properties of these probes, their advantages and disadvantages to use as a signaling subunit have been discussed. This chapter also describes the use of micellar medium for solubilizing different organic dyes in water. Chapter 2. Colorimetric Probes based on Anthraimidazolediones for Selective Sensing of Fluoride and Cyanide ion via Intramolecular Charge Transfer. The second chapter describes the design and synthesis of four different probes based on anthra [1, 2-d] imidazole-6, 11-dione. The anthraquinone part of each molecule has an acceptor moiety whereas substituted nitrogen linked aromatic unit forms the donor site. Each probe acted as strong colorimetric sensor for fluoride and cyanide ion detection and exhibited intramolecular charge transfer (ICT) band which showed significant red-shifts after addition of either the F¯ or CN¯ ion. One of the probes 2 showed selective colorimetric sensing for both cyanide and fluoride ions. In organic medium 2 showed selective color change with fluoride and cyanide, whereas in aqueous organic medium it showed a selective ratiometric response towards cyanide ion. The effect of anionic charge (on the donor moiety) on ICT has been discussed. Among the various donor moieties, the donor site having negative charges on them was found to disperse greater electron density on them. Figure 1. Molecular structures of the sensors Chapter 3 deals with chemodosimetric detection of cyanide ion in water using various oxidized bis-indole based compounds. Chapter 3A. A Chemodosimetric Probe based on a Conjugated and oxidized Bis¬ indolyl System for Selective Naked Eye Sensing of Cyanide ion in Water. The chapter 3A describes the design and synthesis of a new water-soluble bis-indolyl based probe, 5 which possesses two –COOH groups. This probe specifically reacted with the CN¯ ion in pure water at ambient temperature and produced a remarkable change in color from red to colorless. The mechanism of this process was investigated by NMR (1H, 13C and DEPT-135) spectroscopy, mass spectrometry and kinetic studies. The mechanism investigation showed that the cyanide ion reacts with the probe and removes the conjugation of the bis-indolyl moiety of the probe with that of the 4-substituted aromatic ring which renders the probe colorless. Taken together a plausible mechanism of the reaction was presented which showed to operate via a Michael type adduct formation under ambient conditions of pH and temperature in water. The probe gave a detection limit of 0.38 ppm for detection of cyanide ion in water. Figure 2. Molecular structure of the probe 5. Chapter 3B. Micelle Assisted ppb level Detection of Cyanide ion in Water by Chemodosimetry and Visual detection of the Endogenous Cyanide. The chapter 3B deals with the synthesis of a bis-indole based colorimetric probe 6. The probe showed selective detection of the cyanide ion in water at ppb level and a visible detection of endogenous cyanide from cassava (a major staple food in the developing world) by chemodosimetry. The cyanide ion binds with the probe 6 in a chemodosimetric fashion and follows pseudo first-order kinetics in water under appropriate conditions. It showed a highly sensitive detection of the cyanide ion in water with a detection limit of 0.33 ppm. The use of the micellar medium improved the detection limit drastically and a ppb level detection limit was achieved. The probe also showed the detection of the endogenously bound cyanide in cassava both visually and by spectrophotometer. Figure 3. Molecular structure of the probe 6. Chapter 3C. Ratiometric Cyanide ion probe in Water and for the detection of the Endogenously bound cyanide. Chapter 3C presents the synthesis of two new bis-indolyl (7 and 8) based probes for colorimetric detection of cyanide ion in pure water. Compound 8 showed a ratiometric response with cyanide in water and a visual detection of the endogenously bound cyanide ion in cassava. Using compound 8 the selective detection of the cyanide ion in water was achieved with a detection limit of ~ 17 ppb which is almost 13 times lower than the permitted limit as specified by EPA, United States. 7; R = H 8; R = -(OCH2CH2)3CH3 Figure 4. Molecular structures of the probes 1 and 2. Chapter 4 deals with the colorimetric and ratiometric detection of the Cu2+and Hg2+ions using different small synthetic molecular probes. Chapter 4A. Colorimetric Sensors for Ratiometric Detection of Copper and Mercury ions in Biological media and below ppm level in Water. The chapter 4A deals with the synthesis of two novel colorimetric probes (9, 10) using bispicolyl unit as the binding moiety and anthraimidazolediones and bis-indolyl system as a signaling sub-unit. Using the two sensors, Cu2+ion can be detected below the permitted limit (1.3 ppm) in both drinking water and at physiological pH 7.4. Sensor 9 can detect both Cu2+and Hg2+ in water with very low detection limit. It showed specific binding with Cu2+ at physiological pH 7.4 and in presence of serum albumins. Chemosensor 10 can be used for the specific detection of both Cu2+and Hg2in water as well as for the contamination in microorganisms. Figure 5. Molecular structure of the sensors 9 and 10. Chapter 4B. A New Molecular Probe for the Selective Sensing of Cu2+ and Hg2+ ions in Micellar Media and in Live ells.This chapter describes a synthesis of a novel bispicolyl based sensor 11 which can detect Cu2+ ion specifically in water medium and both Cu2+ and Hg2+ ions selectivelyin Brij-58 micellar medium. In micellar medium both the ions can be detected in the ppb level. Using fluorescence spectroscopy these two metal ions can be discriminated.The probe is also be useful for checking metal ion contamination in cellular samples. Figure 6. Molecular structure of the sensor 11. Chapter 4C. Rhodamine based Sensors for Cu2+ and Hg2+ ions in Water and in Biological media. The chapter 4C presents the synthesis and the sensing properties of the three positional isomers of the pyridine end of the rhodamine-pyridine compounds (12-14). The three isomers only differ in the position of nitrogen of the pyridine moiety. Sensor 12, which contains the pyridine nitrogen at the ortho-position showed selective sensing toward Cu2+ ion in both pure water and in buffered physiological media of pH 7.4. It gave a detection limit of ~13 ppb which is 100 times lesser than the EPA permitted limit. The other two sensors 13 and 14, which possessed the pyridine ends with the nitrogen atom at the meta- and the para- positions respectively showed the selective sensing of Hg2+ ion in water and did not show any interaction with the Cu2+ ion. Probes 2 and 3 showed ‘turn-on’ detection of Hg2+ ion both in the UV-vis and the fluorescence emission spectroscopy. Compound 2 and 3 showed a detection limit of ~ 9 and 4 ppb respectively. The NMR titration showed the change in color was due to the opening of the spirolactam ring of the rhodamine. The sensors can also be used for the detection of Cu2+ and Hg2+ ion in real life water samples and in the live cells. Figure 7. Molecular structure of the sensors 12, 13 and 14. Chapter 5. Ratiometric and ppb level Detection of Toxic Transition Metal ions using a Single Probe in Micellar media. This chapter describes the selective sensing of multiple ions using a single probe 15. The probe incorporates pyrene and pyridine as signaling and interacting moiety respectively. The sensor showed different responses towards different metal ions just by varying the medium of detection. In organic solvent (acetonitrile), the probe showed selective detection of Hg2+ ion. In water the fluorescence quenching was observed with three metal ions, Cu2+, Hg2+ and Ni2+. Further just by varying the surface charge of different micellar media, the probe showed selective interaction with Hg2+ ion in neutral micelles (Brij-58). However, in anionic micellar medium (SDS), the probe showed selective changes with both Cu2+ and Ni2+ in the UV-vis spectroscopy. The discrimination between these two ions was achieved by emission spectroscopy, where it showed selective quenching only with Cu2+. Thus using a single probe all the three metal ions Cu2+, Hg2+ and Ni2+ can be detected and discriminated just by varying the surface charge of the micellar medium. Figure 8. Molecular structure of the sensors 15. Chapter 6. Highly sensitive Rhodamine Based Dual Probes for the Visual detection of F¯ and Hg2+ ions in Water. This chapter deals with the design and synthesis of two new rhodamine based probes (16-17) which act as dual probes for the ppb level selective detection of Hg2+ and F¯ ions in water and at physiological pH 7.4. The two probes were synthesized by coupling tert-butyldiphenylsilyl (TBDPS) protected forms of 4-hydroxybenzaldehyde and 2, 4- dihydroxy benzaldehyde with rhodamine hydrazone. The F¯ ion detection is based on the desilylation of the probe, whereas the spirolactam ring opening leads to the detection of Hg2+ ion. The two probes gave turn-on detection of both Hg2+ and F¯ ion selectively in aqueous medium with the detection limit well below the EPA permitted limits. The probes showed detection of both the ions by dual mode with visibly different color and fluorescence under UV-lamp. The F¯ ion interacts with the silyl bond of probe and the cleavage results into yellow color whereas; the addition of Hg2+ ion to the probe solution opened the spirolactam ring and resulted into appearance of pink color. Figure 9. Molecular structure of the probes 16 and 17. (For structural formula pl see the abstract file)

Because of its mandate and its enforcement powers, the ICC has been hailed as a major advance on the road towards individual accountability for the perpetration of the most heinous violations of human rights (international crimes) and thus as a major contribution to the prevention of such horrible crimes. However, with its limited resources in terms of human and financial means, the ICC will not be able to deal with all perpetrators of the crimes that come under its jurisdiction wherever such crimes are committed throughout the world. For this reason, in order to end impunity in the commission of international crimes, there will always be a need for combined efforts by the ICC and national courts. This reality is recognised by the Rome Statute which, in the preamble and article 1 of the Statute, provides that the jurisdiction of the ICC is “complementary” to national courts and that, therefore, States Parties retain the primary responsibility for the repression of international crimes. In legal literature, this is generally referred to as the “principle of complementarity” or the “complementarity regime of the Rome Statute”. In order to give effect to the complementarity principle of the Rome Statute, South Africa passed the Implementation of the Rome Statute of the International Criminal Court Act 27 of 2002 (hereafter the Implementation Act); which determines the modalities of prosecuting perpetrators of the crimes of genocide, crimes against humanity and war crimes in South African courts. The Implementation Act also provides that South African courts will have jurisdiction over these crimes not only when they are committed on South African territory but also when they are committed outside the Republic, thus empowering South African courts to exercise “universal jurisdiction” over these three international crimes. This thesis examines the extent to which South African courts, acting under the complementarity regime of the Rome Statute are, or are not, allowed to exercise universal jurisdiction over international crimes committed in foreign States. The study is based on two assumptions. First, it is assumed that since under the principle of complementarity South African courts are required to do the same job as the ICC, they should have the same powers as those States Parties gave to the ICC when they adopted the Rome Statute. Secondly, it is assumed that, although having the same mandate as the ICC in terms of the complementarity principle, South African courts are nonetheless domestic courts as opposed to the ICC which is an international court and that, accordingly, the international law principle of State sovereignty may impose limitations on their ability to exercise universal jurisdiction over international crimes committed in foreign States. In the light of the above assumptions, this study investigates three issues. Firstly, do South African courts have the same powers as the ICC has to disregard immunities of foreign States’ officials which, under international customary law, attach to their functions or status? Secondly, are South African courts entitled, as the ICC is, to disregard amnesties granted by foreign States, either in the process of national reconciliation or as means to shield the criminals from prosecution by the ICC? Finally, are South African courts entitled, as the ICC is, to retry a case which has already been tried in a foreign country but with the aim of shielding the accused from criminal responsibility or where, for example, the sentence imposed was too lenient in comparison with the gravity of the crime? / PhD (Law), North-West University, Potchefstroom Campus, 2014

Because of its mandate and its enforcement powers, the ICC has been hailed as a major advance on the road towards individual accountability for the perpetration of the most heinous violations of human rights (international crimes) and thus as a major contribution to the prevention of such horrible crimes. However, with its limited resources in terms of human and financial means, the ICC will not be able to deal with all perpetrators of the crimes that come under its jurisdiction wherever such crimes are committed throughout the world. For this reason, in order to end impunity in the commission of international crimes, there will always be a need for combined efforts by the ICC and national courts. This reality is recognised by the Rome Statute which, in the preamble and article 1 of the Statute, provides that the jurisdiction of the ICC is “complementary” to national courts and that, therefore, States Parties retain the primary responsibility for the repression of international crimes. In legal literature, this is generally referred to as the “principle of complementarity” or the “complementarity regime of the Rome Statute”. In order to give effect to the complementarity principle of the Rome Statute, South Africa passed the Implementation of the Rome Statute of the International Criminal Court Act 27 of 2002 (hereafter the Implementation Act); which determines the modalities of prosecuting perpetrators of the crimes of genocide, crimes against humanity and war crimes in South African courts. The Implementation Act also provides that South African courts will have jurisdiction over these crimes not only when they are committed on South African territory but also when they are committed outside the Republic, thus empowering South African courts to exercise “universal jurisdiction” over these three international crimes. This thesis examines the extent to which South African courts, acting under the complementarity regime of the Rome Statute are, or are not, allowed to exercise universal jurisdiction over international crimes committed in foreign States. The study is based on two assumptions. First, it is assumed that since under the principle of complementarity South African courts are required to do the same job as the ICC, they should have the same powers as those States Parties gave to the ICC when they adopted the Rome Statute. Secondly, it is assumed that, although having the same mandate as the ICC in terms of the complementarity principle, South African courts are nonetheless domestic courts as opposed to the ICC which is an international court and that, accordingly, the international law principle of State sovereignty may impose limitations on their ability to exercise universal jurisdiction over international crimes committed in foreign States. In the light of the above assumptions, this study investigates three issues. Firstly, do South African courts have the same powers as the ICC has to disregard immunities of foreign States’ officials which, under international customary law, attach to their functions or status? Secondly, are South African courts entitled, as the ICC is, to disregard amnesties granted by foreign States, either in the process of national reconciliation or as means to shield the criminals from prosecution by the ICC? Finally, are South African courts entitled, as the ICC is, to retry a case which has already been tried in a foreign country but with the aim of shielding the accused from criminal responsibility or where, for example, the sentence imposed was too lenient in comparison with the gravity of the crime? / PhD (Law), North-West University, Potchefstroom Campus, 2014

(Magíster en derecho con mención en derecho penal) / El presente trabajo propone primeramente, atendiendo al hecho de que se aprecia como una práctica habitual en la comisión de gran parte de los ilícitos contemplados en nuestro ordenamiento jurídico penal la concurrencia de más de un sujeto activo, un acercamiento a cada una de las figuras criminales en las cuales se considera la existencia de una agrupación o de una pluralidad de individuos en su verificación. En este sentido, se plantea que no todas ellas son constitutivas de delitos per se, sino que existen asimismo algunas que vienen en agravar o intensificar la afectación o daño provocado a los bienes jurídicos respectivos, denominadas circunstancias modificatorias de la responsabilidad penal. Asimismo, mientras algunas se verifican con la sola concurrencia numérica y objetiva de más de un sujeto, otras requieren de otro tipo de elementos para tenerse por establecidas, en este aspecto se obtiene que según el caso la pluralidad de sujetos al momento de la comisión de los ilícitos puede configurarse tanto a partir de la simple unión de dos o más sujetos previamente concertados, hasta la constitución de complejas organizaciones criminales denominadas en nuestro ordenamiento jurídico penal como asociaciones ilícitas. En segundo lugar, se apunta a llevar a cabo una aproximación a un análisis de carácter transversal a las distintas figuras tratadas, estableciendo sus elementos comunes y en definitiva, buscar determinar si cada una de ellas individualmente consideradas, constituye o no una forma de agravación por coautoría

No description available.

O objeto da dissertação é a regulamentação do uso indevido de informação privilegiada no mercado de capitais. Discute-se no texto qual seria a melhor maneira de reprimir a conduta praticada pelo insider trading, concluindo-se que o sistema ideal seria não mais a dupla repressão como ocorre atualmente, mas sim a separação entre as esferas administrativa e penal. A primeira julgaria as infrações de menor gravidade, deixando apenas as que efetivamente causassem potencialidade lesão grave ao bem jurídico sob a tutela do direito penal. Ante a necessidade de compreensão do contexto em que o delito de uso indevido de informação privilegiada ocorre, o trabalho inicia-se com um breve panorama do mercado de capitais, no qual se trata da formação do mercado de valores mobiliários, das bolsas de valores e das sociedades anônimas. Assim, no primeiro capítulo trata-se da regulamentação do mercado de capitais no Brasil, em especial, das Leis 6.385/1976, a qual regula o mercado de valores mobiliários brasileiro e traz a descrição do tipo penal do crime do insider trading no artigo 27-D, e da Lei 6.404/1976, que regula as sociedades anônimas no Brasil, e trata dos deveres de informar, de lealdade e de guardar sigilo impostos aos administradores das sociedades anônimas de capital aberto. No segundo capítulo, é feita inicialmente uma abordagem do que vem a ser o crime de insider trading e informação privilegiada, mencionando-se quais são argumentos contrários e a favor da repressão da conduta de utilização indevida de informação privilegiada. Na seqüência, faz-se uma breve análise da legislação estrangeira, com destaque para os países Estados Unidos da América, Espanha, Portugal e Itália. O terceiro capítulo trata da regulamentação do crime de insider trading no Brasil, iniciando-se com uma breve análise comparativa entre o tipo penal da legislação pátria e os das legislações estrangeiras estudadas no capítulo anterior. Em seguida, é analisada a tipicidade objetiva e subjetiva do tipo penal, concluindo-se que se trata de crime formal, que não admite tentativa e que se consuma no momento da utilização da 173 informação relevante ainda não divulgada ao mercado, independentemente da obtenção da vantagem indevida. Ainda no terceiro capítulo, trata-se do sujeito ativo e passivo do delito, concluindo-se que, de acordo com a redação do tipo penal, apenas quem tem o dever de manter sigilo pode ser responsabilizado criminalmente no Brasil pelo crime de insider trading, e que o sujeito passivo é a coletividade, a sociedade como um todo. Esse capítulo traz também o debate existente, sobretudo na doutrina estrangeira, de qual seria o bem jurídico tutelado pelo crime em comento. Dentre todas os possíveis bem jurídicos aventados, conclui-se que apenas a igualdade entre os investidores e a confiança no mercado de capitais são dignos de tutela penal e justificam a intervenção dessa esfera do direito. O quarto capítulo trata da relação existente entre o direito penal econômico e o crime de insider trading. Além de tratar das características do direito penal econômico, o capítulo traz críticas à expansão do direito penal moderno e trata da ineficiência da utilização da esfera penal para proteger de forma eficaz os delitos da moderna criminalidade econômica. O quinto e último capítulo trata justamente do título do trabalho: Direito Administrativo Sancionador e o Crime de Insider Trading. Nesse capítulo, explica-se o modelo proposto para sancionar a utilização indevida de informação privilegiada, iniciando-se por tratar da definição de direito administrativo sancionador e sua distinção entre o direito penal. Na seqüência trata-se da possível configuração de bis in idem existente atualmente com a aplicação de sanção administrativa e penal para o mesmo fato, para o mesmo sujeito e com o mesmo fundamento. Trata-se ainda do fortalecimento da CVM como agência reguladora para regulamentar, fiscalizar e punir com eficiência as utilização indevida de informação privilegiada, deixando para o direito penal apenas as infrações capazes de colocar em risco o mercado de capitais. Por fim, são expostas as conclusões do trabalho. / The object of this dissertation is the regulation of the misuse of privileged information in the capital market. It is discussed in the text which would be the best way to repress the conduct practiced by insider trading, concluding that the ideal system would be no more the double repression as currently occurs, but a single repression in administrative or criminal sphere according to the seriousness of the offense. The first would judge the lesser gravity infractions, leaving only those that actually caused any serious injury to the good under the legal protection of criminal law. Before the need to understand the context in which the offense of misuse of privileged information occurs, the dissertation begins with a brief overview of capital markets, in which it comes to the formation of the securities market, stock exchange, as well as corporations. Thus, the first chapter deals with (i) the regulation of the capital market in Brazil, in particular regarding Law 6.385/1976, which regulates the securities market of Brazil and contains a description of the type of criminal offense of insider trading, and (ii) the Federal Act 6.404/1976, which regulates corporations in Brazil and provides the duties to inform, loyalty and confidentiality imposed on directors of stock companies. In the second chapter, it is initially provided an approach of the concept of the insider trading crime, mentioning what are the arguments against and in favor of its repression. Subsequently, there is a brief analysis of foreign law, particularly the legislation of the United States of America, Spain, Portugal and Italy. The third chapter deals with the regulation of the insider trading crime in Brazil, beginning with a brief comparative analysis of criminal hyphotesis provided by Brazilian law and the foreign legislation analyzed in the previous chapter. Then, it is analysed the objective and subjective elements of the criminal hypothesis, concluding that it is a formal crime, which admits no attempt and that occurs at the time of use of relevant information not yet disclosed to the market, independently of obtaining improper benefit. The fourth chapter deals with the relationship between economic crime and insider trading crime. Besides approaching characteristics of the economic criminal law, the chapter provides critics to the expansion of modern criminal law and deals with the inefficiency of using the criminal sphere to protect society against the crimes of modern economic criminality. The fifth and final chapter deals with the relationship between punitive administrative law and insider trading crime. In this chapter it is explained the model proposed to penalize the misuse of inside information, starting with the definition of punitive administrative law and its distinction from criminal law. Following reference is to the possible configuration of bis in idem currently existing in the application of the criminal and administrative sanction for the same offense, same individual and on the same basis. In addition, it is also discussed the strengthening of the Comissão de Valores Mobiliários (the Brazilian Securities and Exchange Commission) as the regulatory agency authorized to regulate, inspect and punish effectively the misuse of inside information, leaving to the penal sphere only the criminal law offenses that are entitled to put the capital market in risk. Finally, the dissertation conclusions are exposed.

Die im Oktober 2011 verteidigte und mit der Note "summa cum laude" bewertete Arbeit beschäftigt sich mit der Auswertung aller bis 2011 bekannt gewordener Zeugnisse, die im Nahen Osten auf eine Kenntnisnahme und Verehrung der ägyptischen Götter Isis, Sarapis, Apis, Harpokrates etc. hindeuten. Eine grundlegende Materialaufnahme mithilfe eines DAAD-Stipendiums erfolgte 2003 bis 2004 in allen Levanteländern. Die im Zuge dieser Recherchen allerdings ausufernde Materialbasis führte dazu, den Fokus der Dissertation auf die südliche Levante zu richten. Zeitlich wurden vor allem die Jahrhunderte der hellenistischen und römischen Beherrschung des Gebiets näher untersucht. / This thesis, defended in October 2011 and rated "summa cum laude", evaluates testimonies that became known until 2011, which in the Middle East point to a recognition and worship of the Egyptian gods Isis, Sarapis, Apis, Harpocrates, etc. , Basic material was collected with the help of a DAAD scholarship in 2003-2004 in all Levant countries. However, in the course of these researches, a sprawling material base led to the focus of the dissertation on the southern Levant. In particular, the centuries of Hellenistic and Roman domination of the area were examined more closely.