Le développement de l’arbitrage international s’inscrit de nos jours, comme l’un des modes alternatifs de règlement des conflits le plus utilisé. Sa nature hybride, à la fois contractuelle et juridictionnelle, en fait le mode privilégié du monde des affaires ; cet engouement pour l’arbitrage international, s’explique en ce que la mondialisation de l’économie et l’effacement progressif des frontières, ont obligé les acteurs du commerce, à résoudre les litiges avec efficacité et immédiateté ; chose que les juridictions étatiques ne sont pas à même de procurer dans la pratique, contrairement à l’arbitrage international, qui jouit d’une réputation favorable, en traitant les conflits qui lui sont confiés, avec célérité, efficacité et confidentialité. Reste une question : l’arbitrage international reçoit-il la-même acceptation selon tous les États ? Les études de droit comparé, démontrent à première vue, une réelle volonté d’harmonisation des dispositions entourant l’arbitrage afin d’en faire un mode totalement autonome des juridictions étatiques. Cependant, une analyse plus approfondie démontrera que cette volonté est relative, ce qui poussera le juge étatique à intervenir tout au long de la procédure arbitrale (avant, pendant, après) pour en faire « un auxiliaire indispensable de la justice arbitrale » . Cette intervention du juge étatique, sera néanmoins plus délicate dans la première phase de l’arbitrage (avant), en ce que dérivent de cette ingérence, la mise en œuvre ou non de l’arbitrage. Surviennent alors de nombreuses questions : est-ce que l’intervention du juge étatique contrevient à l’autonomie de l’arbitrage international ? Mais aussi, quelle est la nature de cette intervention : coercitive, d’assistance, de contrôle ? Cela met-il en péril l’autorité de l’arbitre-juge ? Est-ce que cette intervention du juge étatique peut être utilisée par les parties à des fins dilatoires? Tout l’enjeu de ces travaux sera de trouver des réponses à ces questions au travers une étude de droit comparée entre la France et les États-Unis. / Summary Nowadays, international arbitration is one of the most commonly used alternative forms of conflict resolution. Its hybrid nature, both contractual and jurisdictional, makes it the preferred mode of the business world ; this enthusiasm for international arbitration is shown in the fact that economic globalization and the gradual disappearance of borders have forced trading parties to resolve disputes with efficiency and immediacy, which state courts are unable to provide in practice ; this is in contrast to international arbitration, which has a favorable reputation in managing and resolving conflicts entrusted to it in a timely manner, efficiently and confidentially. Nevertheless, a question remains: does international arbitration have the same acceptance from all states? At first glance, studies in comparative law show a genuine desire to harmonize the provisions surrounding arbitration, so as to render it a totally autonomous mode of state jurisdiction. However, a more thorough analysis will show that this desire is relative, which will push the state judge to intervene throughout the arbitration process (before, during, after) to make it "an arbitral justiceÕs indispensable auxiliary ". However, this intervention by the state judge will be more delicate in the arbitrationÔs first phase, and the result will be its implementation or not. Then, a number of questions arise: does the intervention of the state judge violate the autonomy of international arbitration? But also, what is the nature of this intervention: coercive, assistance, control? Does this jeopardize the authority of the referee-judge? Can this intervention by the state court be used by the parties for delaying purposes? The challenge will be to find answers to these questions through a study of comparative law between France and the United States.

Este trabalho analisa a disciplina da remuneração dos administradores de sociedades por ações no direito brasileiro em cotejo com aquela do Reino Unido, sob a perspectiva da estrutura de propriedade do capital predominante em cada um desses países. Após um escorço histórico que ilustra o papel da sociedade por ações em mobilizar poupança popular, exploram-se os fatores que levaram à fragmentação da propriedade acionária no Reino Unido e analisa-se a ocorrência de tal fatores no Brasil. A seguir destacam-se as relações entre distribuição do capital (se concentrada ou dispersa) e administração societária, com especial ênfase a seus reflexos sobre a remuneração. Por fim investiga-se a disciplina da remuneração dos administradores de companhias no direito britânico e brasileiro, atentando-se para a adequação deste a um cenário em que sociedades de capital disperso passam a disputar espaço no mercado com sociedades de capital concentrado. Conclui-se que as mudanças pelas quais vem passando o mercado de capitais brasileiro nos últimos anos podem vir a exigir alterações no direito. / This thesis analyses the discipline of executive remuneration in Brazilian law as compared to that of British law and under the perspective of the prevailing capital ownership structure in each of these countries. After a brief historical illustration of the role of corporations in the mobilisation of public savings, the factors that produced the dispersion of shareholding in the United Kingdom are review and their occurrence in Brazil is analysed. The relationships between share ownership distribution (if concentrated or dispersed) and corporate governance are reviewed, with an emphasis on its effects over remuneration. Finally the discipline of executive remuneration in British and Brazilian law is investigated, considering the adequacy of the latter to a scenario in which dispersed capital companies share an space in market with concentrated capital companies. Conclusion is that the changes observed in the brazilian capital market in the last years may come to demand modifications in law.

A presente dissertação tem por objetivo apresentar ferramentas que fomentem a implementação de uma espécie de controle de constitucionalidade dialógico no ordenamento jurídico brasileiro, de forma a mitigar a supremacia judicial ostentada pelo Supremo Tribunal Federal. Para isso, foi organizado em três capítulos. Os dois primeiros dirigem-se a realizar uma abordagem comparada, por meio de um breve apanhado histórico e análise jurisprudencial, entre os sistemas constitucionais dos Estados Unidos, da Colômbia, da Costa Rica e do Brasil e entre os seus respetivos Tribunais imbuídos da função da realização do controle de constitucionalidade. Com isto, busca-se demonstrar o assentamento da supremacia judicial em uma visão mais ampla, bem como em uma realidade latino-americana. O terceiro capítulo, por sua vez, tem o escopo de explorar as diversas vertentes da teoria dos diálogos constitucionais, elaborar um conceito de diálogo substancial e, por fim, elaborar proposições de instrumentos dialógicos ainda não existentes no ordenamento jurídico pátrio, bem como sugerir a reformulação de alguns já existentes. O intuito primordial da parte final da dissertação é a busca da promoção de uma ressignificação do controle de constitucionalidade, de forma a democratiza-lo, mitigando a supremacia judicial, incluindo no debate sobre o significado da Constituição, além do Poder Judiciário, os Poderes Executivo e Legislativo, e a sociedade como um todo. / This master’s dissertation aims do present tools that provide the implementation of a kind of dialogic judicial review in the Brazilian legal framework, so as to mitigate the judicial supremacy displayed by the Supremo Tribunal Federal. In order to do that, it was organized in three chapters. The first two chapters carry out a comparative approach, through a short historical description e and jurisprudential analyses, between the American, the Colombian, the Costa Rican and the Brazilian constitutional systems and its respective Courts that perform judicial review. In that manner, it is the objective to demonstrate the settlement of judicial supremacy in a broad vision, and also in a Latin American reality. The third chapter, by its turn, aims to explore the different aspects of the constitutional dialogue theory, elaborate a concept of substantial dialogue and, in conclusion, elaborate propositions of dialogical instruments not yet existent in the native legal order, and also suggest a reformulation of others that already exist. The paramount intention of dissertation’s final part is the promotion of a resignification of judicial review, so as to democratize it, mitigating judicial supremacy, incorporating in the debate about the significance of the Constitution, other than the Judicial power, the Executive and the Legislative powers, and the society as a hole.

O presente trabalho investiga a necessidade de tipificação do delito de corrupção no setor privado, no ordenamento jurídico brasileiro. Para tanto, necessário aprofundar o estudo do fenômeno da corrupção, bem como a moderna interpretação de seu conteúdo pela comunidade jurídica internacional. Partindo de uma perspectiva de Direito Comparado, é possível verificar a evolução no controle da corrupção transnacional, fruto de diferentes compromissos assumidos por diversos Estados, em verdadeiro esforço conjunto para erradicação das práticas corruptivas e seus nefastos efeitos ao mundo globalizado. Nesse cenário, exsurge a relevância do debate acerca da ampliação do conceito de corrupção para além da esfera pública, abarcando também condutas estritamente relacionadas ao setor privado, de modo que alguns países hodiernamente já tipificam essa nova modalidade delitiva em seus ordenamentos. Indispensável acurado exame da forma como o delito de corrupção entre particulares ganhou contornos na legislação e doutrina estrangeiras para desenvolver o modelo pátrio de incriminação da conduta, uma vez que tal tema é hoje objeto de proposta legislativa específica. Assim, verificase a atualidade e importância da pesquisa aqui proposta, cujo escopo é auxiliar no desenvolvimento de um tipo penal adequado ao bem jurídico protegido, levando-se em conta, principalmente, os documentos internacionais que impulsionam sua criação. / This paper intends to investigate the need for private-sector corruption crime classification in the Brazilian legal system. Therefore, it is necessary to deepen the studies about corruption’s historical roots, as well as the modern interpretation of its content by the international legal community. Through the mechanisms of Comparative Law it is possible to verify corruption’s combat evolution in a supranational level, consequence of various commitments assumed by various States, in true combined efforts to eradicate corruption acts and their disastrous effects in the globalized world. In this scenery, the relevance in debating the widening of corruption’s concept to beyond the public spheres arises, embracing also the conducts strictly related to the private sector, in a way that some countries already class the new crime form in their systems. Necessary rightful exam of the way corruption crime between individuals has outlined both international legislation and doctrine to develop the native method of the behavior incrimination, here is that said theme is nowadays subject of specific legislation proposal. Thus, it is verified the timeliness and importance of the research here proposed, which scope is to help the development of a crime class adequate to the protected juridical asset, taking into account, mainly, the international documents that impel its creation.

Les acheteurs des droits sociaux sont plus vulnérables que les acheteurs des autres objets, dans la mesure où ils sont plus susceptibles à payer un prix plus élevé que la valeur réelle et que les vendeurs possèdent une aptitude à abuser les actifs immatériels de la société cible après l’achat, principalement par une concurrence avec ladite société cible. La vulnérabilité des acheteurs des droits sociaux doit et peut être résolue par le biais de recourir à des mécanismes conventionnels librement développés par les acheteurs des droits sociaux, avec l’aide de la part de leurs avocats. Cependant, en droit français, la liberté contractuelle nécessaire pour la mise en œuvre des mécanismes conventionnels est limitée par l’intervention légale omniprésente, qui se manifestent principalement de deux façons : d’une part, un acheteur des droits sociaux insatisfaisant est capable d’accéder à la protection de plein droit, et ce même sans aucune clause conventionnelle destinée à ce sujet ; d’autre part, ils sont prohibés ou restreints à stipuler certains types de clauses conventionnelles pour cet objectif. Ainsi, le cœur des discussions entre les auteurs français concernant l’achat des droits sociaux est comment contourner les restrictions légales de la liberté contractuelle et comment tirer pleinement partie de la protection légale de plein droit des acheteurs des droits sociaux. Une comparaison entre le droit français et le droit chinois sur l’achat des droits sociaux montrerait que la préoccupation du droit français sur l’intervention légale ne serait peut-être pas nécessaire sur ce sujet, dans le fait que l’intervention légale est intrinsèquement incompatible avec les caractéristiques des droits sociaux est de lega ferenda doit être supprimée. Au lieu de cela, sur le sujet d’achat des droits sociaux, ce qu’il fallait discuter sont les multiples techniques conventionnelles développées dans l’objectif de résoudre la vulnérabilité inhérente des acheteurs des droits sociaux. De ce fait, une comparaison entre les techniques conventionnelles des deux pays serait donc effectuée. / Buyers of shares are more vulnerable than buyers of other objects to the extent that they are more prone to pay a price much higher than the “real” value; and that the sellers have an aptitude to usurp the intangible assets of the target company after the purchase, mainly through a competition with the said target company. The vulnerability of the buyers of shares should and is able to be solved by resorting to conventional mechanisms freely developed by the buyers and shares, with the help of their attorneys. However, under French law, the contractual liberty necessary for an effective implementation of the conventional mechanisms, is restricted by omnipresent legal interventions, mainly manifested in two ways: for one thing, an unsatisfactory buyer of shares is able to get protected de plein droit, even without any conventional clauses to this end. For another, they are prohibited or restricted to stipulate certain kinds of conventional clauses for the very purpose. Accordingly, the focus of French discussions when it comes to purchase of shares is on how to bypass the legal restrictions on the contractual liberty and how to make a full use of the legal protections of the buyers of shares de plein droit. A comparison of the French law with Chinese law concerning purchase of shares will show that the French concerns of the legal interventions when it comes to purchase of shares, might to some extent be unnecessary, in that the legal interventions are inherently incompatible with the originalities of shares and de lega ferenda should be abandoned. Instead, under the topic of purchase of shares, what should be discussed is the multiple conventional techniques developed aiming at solving the inherent vulnerability of the buyers of shares; and a comparison of the conventional techniques in the two countries will be accordingly conducted.

This thesis explores the imagery of underworld justice, and its associated beliefs and practices, as they developed throughout Chinese imperial history. Certain elements of the Chinese imperial legal system, including judges and trials, and laws and codes, were borrowed by the Daoists and applied to their construct of the afterlife. Underworld justice beliefs and practices flourished throughout China's imperial past, and are still influential to some devotees in today's Hong Kong. Among the various questions that are explored, this thesis examines the place of underworld justice in the legal consciousness, or everyday law, of the devotees in contemporary Hong Kong. There are two dimensions to this thesis: historical and empirical. In the historical part, I trace the development of underworld justice beliefs and practices in imperial China. I analyse some of the characteristics and rituals of underworld justice, and relate them to the imperial laws and procedures upon which they were modelled. Such tracing allows us to discern the considerable overlap between the imperial legal system and underworld justice beliefs and practices. In the empirical part, I present data gathered at mainly three City God temples in Hong Kong. Such data involve conversations with Daoist and Buddhist priests, temple keepers and devotees. The data gathered not only shed light on the general state of City God veneration in contemporary Hong Kong, but also the influence of underworld justice on the devotees' understanding of law. The data reveal that the studied devotees regard underworld justice, which administers the law of karma, as superior to the state legal system. Hence, underworld justice is not considered as an informal dispute resolution process alternative to that of the state, but as a mechanism that can intervene in court cases, due to its being more authoritative.

A presente dissertação tem por objetivo apresentar ferramentas que fomentem a implementação de uma espécie de controle de constitucionalidade dialógico no ordenamento jurídico brasileiro, de forma a mitigar a supremacia judicial ostentada pelo Supremo Tribunal Federal. Para isso, foi organizado em três capítulos. Os dois primeiros dirigem-se a realizar uma abordagem comparada, por meio de um breve apanhado histórico e análise jurisprudencial, entre os sistemas constitucionais dos Estados Unidos, da Colômbia, da Costa Rica e do Brasil e entre os seus respetivos Tribunais imbuídos da função da realização do controle de constitucionalidade. Com isto, busca-se demonstrar o assentamento da supremacia judicial em uma visão mais ampla, bem como em uma realidade latino-americana. O terceiro capítulo, por sua vez, tem o escopo de explorar as diversas vertentes da teoria dos diálogos constitucionais, elaborar um conceito de diálogo substancial e, por fim, elaborar proposições de instrumentos dialógicos ainda não existentes no ordenamento jurídico pátrio, bem como sugerir a reformulação de alguns já existentes. O intuito primordial da parte final da dissertação é a busca da promoção de uma ressignificação do controle de constitucionalidade, de forma a democratiza-lo, mitigando a supremacia judicial, incluindo no debate sobre o significado da Constituição, além do Poder Judiciário, os Poderes Executivo e Legislativo, e a sociedade como um todo. / This master’s dissertation aims do present tools that provide the implementation of a kind of dialogic judicial review in the Brazilian legal framework, so as to mitigate the judicial supremacy displayed by the Supremo Tribunal Federal. In order to do that, it was organized in three chapters. The first two chapters carry out a comparative approach, through a short historical description e and jurisprudential analyses, between the American, the Colombian, the Costa Rican and the Brazilian constitutional systems and its respective Courts that perform judicial review. In that manner, it is the objective to demonstrate the settlement of judicial supremacy in a broad vision, and also in a Latin American reality. The third chapter, by its turn, aims to explore the different aspects of the constitutional dialogue theory, elaborate a concept of substantial dialogue and, in conclusion, elaborate propositions of dialogical instruments not yet existent in the native legal order, and also suggest a reformulation of others that already exist. The paramount intention of dissertation’s final part is the promotion of a resignification of judicial review, so as to democratize it, mitigating judicial supremacy, incorporating in the debate about the significance of the Constitution, other than the Judicial power, the Executive and the Legislative powers, and the society as a hole.

Este trabalho analisa a disciplina da remuneração dos administradores de sociedades por ações no direito brasileiro em cotejo com aquela do Reino Unido, sob a perspectiva da estrutura de propriedade do capital predominante em cada um desses países. Após um escorço histórico que ilustra o papel da sociedade por ações em mobilizar poupança popular, exploram-se os fatores que levaram à fragmentação da propriedade acionária no Reino Unido e analisa-se a ocorrência de tal fatores no Brasil. A seguir destacam-se as relações entre distribuição do capital (se concentrada ou dispersa) e administração societária, com especial ênfase a seus reflexos sobre a remuneração. Por fim investiga-se a disciplina da remuneração dos administradores de companhias no direito britânico e brasileiro, atentando-se para a adequação deste a um cenário em que sociedades de capital disperso passam a disputar espaço no mercado com sociedades de capital concentrado. Conclui-se que as mudanças pelas quais vem passando o mercado de capitais brasileiro nos últimos anos podem vir a exigir alterações no direito. / This thesis analyses the discipline of executive remuneration in Brazilian law as compared to that of British law and under the perspective of the prevailing capital ownership structure in each of these countries. After a brief historical illustration of the role of corporations in the mobilisation of public savings, the factors that produced the dispersion of shareholding in the United Kingdom are review and their occurrence in Brazil is analysed. The relationships between share ownership distribution (if concentrated or dispersed) and corporate governance are reviewed, with an emphasis on its effects over remuneration. Finally the discipline of executive remuneration in British and Brazilian law is investigated, considering the adequacy of the latter to a scenario in which dispersed capital companies share an space in market with concentrated capital companies. Conclusion is that the changes observed in the brazilian capital market in the last years may come to demand modifications in law.

O presente trabalho investiga a necessidade de tipificação do delito de corrupção no setor privado, no ordenamento jurídico brasileiro. Para tanto, necessário aprofundar o estudo do fenômeno da corrupção, bem como a moderna interpretação de seu conteúdo pela comunidade jurídica internacional. Partindo de uma perspectiva de Direito Comparado, é possível verificar a evolução no controle da corrupção transnacional, fruto de diferentes compromissos assumidos por diversos Estados, em verdadeiro esforço conjunto para erradicação das práticas corruptivas e seus nefastos efeitos ao mundo globalizado. Nesse cenário, exsurge a relevância do debate acerca da ampliação do conceito de corrupção para além da esfera pública, abarcando também condutas estritamente relacionadas ao setor privado, de modo que alguns países hodiernamente já tipificam essa nova modalidade delitiva em seus ordenamentos. Indispensável acurado exame da forma como o delito de corrupção entre particulares ganhou contornos na legislação e doutrina estrangeiras para desenvolver o modelo pátrio de incriminação da conduta, uma vez que tal tema é hoje objeto de proposta legislativa específica. Assim, verificase a atualidade e importância da pesquisa aqui proposta, cujo escopo é auxiliar no desenvolvimento de um tipo penal adequado ao bem jurídico protegido, levando-se em conta, principalmente, os documentos internacionais que impulsionam sua criação. / This paper intends to investigate the need for private-sector corruption crime classification in the Brazilian legal system. Therefore, it is necessary to deepen the studies about corruption’s historical roots, as well as the modern interpretation of its content by the international legal community. Through the mechanisms of Comparative Law it is possible to verify corruption’s combat evolution in a supranational level, consequence of various commitments assumed by various States, in true combined efforts to eradicate corruption acts and their disastrous effects in the globalized world. In this scenery, the relevance in debating the widening of corruption’s concept to beyond the public spheres arises, embracing also the conducts strictly related to the private sector, in a way that some countries already class the new crime form in their systems. Necessary rightful exam of the way corruption crime between individuals has outlined both international legislation and doctrine to develop the native method of the behavior incrimination, here is that said theme is nowadays subject of specific legislation proposal. Thus, it is verified the timeliness and importance of the research here proposed, which scope is to help the development of a crime class adequate to the protected juridical asset, taking into account, mainly, the international documents that impel its creation.

Si le secret bancaire helvétique fait régulièrement l'objet de virulentes critiques et attaques sur le plan de la scène politique internationale, à chaque crise, un constat s'impose : son étendue ne cesse de réduire. Accusé de favoriser le blanchiment de capitaux, l'évasion fiscale ainsi que le financement du terrorisme, les pressions internationales provenant à la fois de pays étrangers (Etats-Unis, France, etc.) et d’instances internationales (l’Organisation de Coopération et de Développement Économiques-O.C.D.E., le Groupe d’Action financière-G.A.F.I, etc.). ont mené les autorités helvétiques à encadrer le secret bancaire en multipliant les atteintes à ce secret. Ceci a pour effet d’affaiblir considérablement la portée du secret bancaire suisse. De fait, s’il y a encore quelques années, il était possible d’affirmer qu’il existe de réelles divergences entre les secrets bancaires français et suisse dans la mesure où le secret bancaire suisse était perçu comme un secret bancaire plus étendu que le secret bancaire français, cette situation semble désormais révolue. En effet, depuis la reconnaissance du secret bancaire suisse sur le plan législatif, les fondements juridiques sur lesquels reposent ce secret n’ont que très peu évolué, mais les nombreuses limites apportées au fil du temps à ce secret ont largement contribué à le vider de sa substance et à affaiblir sa portée, à tel point qu’il est désormais possible d’affirmer une réelle convergence entre les secrets bancaires français et suisse. / While Swiss banking secrecy is regularly the subject of virulent criticism and attacks on the international political scene, it is necessary to note the extent of each crisis. Accused of facilitating money laundering, tax evasion and financing of terrorism, international pressures from both foreign countries (the United States, France, etc.) and international bodies (the Cooperation Organization And Economic Development-OECD, the Financial Action Task Force-FATF, etc.). Led the Swiss authorities to frame banking secrecy by multiplying the attacks on this secrecy. This has the effect of considerably weakening the scope of Swiss banking secrecy. Indeed, even a few years ago it was possible to say that there are real differences between the French and Swiss banking secrets in that Swiss banking secrecy was perceived as a wider banking secrecy than Banking secrecy, this situation now seems to be over. Since the recognition of Swiss banking secrecy at the legislative level, the legal basis for this secrecy has changed very little, but the many limitations that have been brought to the secrecy over time have largely contributed to its Its substance and to weaken its scope, so much so that it is now possible to affirm a real convergence between French and Swiss banking secrets.