Massive MIMO communication systems have been highlighted as the main technology for physical layer of next generation communication standards, like 5G. While conventional communication between BS and its covered users is performed in orthogonal time-frequency resources, the improved interuser interference mitigation capability provided by the large number of BS antennas enables the BS to communicate with several users in the same time-frequency resource. This better usage of available but scarce spectrum elevates the spectral efficiency to very appreciable levels, and has a similar effect on energy efficiency, since the transmit power is not increased. On the other hand, if the objective is to provide a target performance for the users, the required transmit power in both direct and reverse links can be made inversely proportional to the number of BS antennas employed. In this Doctoral Thesis, several important aspects of massive MIMO systems are systematically investigated aiming to improve their energy and spectral efficiencies. We can enumerate our main contributions as follows. Considering a cellular massive MIMO network, we proposed an optimized assignment policy of training sequences to the users, which is then combined with suitable power control algorithms. We have also investigated the adoption of alternative waveforms in this scenario, such as single-carrier transmission, in order to overcome the issues of conventional OFDM. Our contributions in this topic are to derive analytical performance expressions for a time-domain single-carrier equalizer taking advantage of the large number of BS antennas, and to evaluate and compare the total energy efficiency of OFDM versus single-carrier massive MIMO systems. Finally, considering crowded massive MIMO networks, composed by both human users as well as machine-type communication devices, we proposed an improved random access protocol aiming to decrease the average number of access attempts for the users and decreasing the probability of failed access attempts. / Sistemas de comunicação de múltiplas antenas (multiple-input multiple-output - MIMO) têm se destacado como a principal tecnologia para a camada física dos padrões de comunicação da próxima geração, como o 5G. Enquanto a comunicação convencional entre a estação base (base station - BS) e seus usuários atendidos é realizada em recursos ortogonais de tempo-frequência, a grande capacidade de redução da interferência interusuários possibilitada pelo grande número de antenas da BS habilita a BS a se comunicar com diversos usuários no mesmo recurso tempo-frequência. Este melhor uso do escasso espectro disponível eleva a eficiência espectral a níveis muito apreciáveis, e tem um efeito similar na eficiência energética, pois a potência de transmissão não é aumentada. Por outro lado, se o objetivo é fornecer um desempenho desejado para os usuários, a potência de transmissão necessária em ambos os enlaces direto e reverso pode ser feita inversamente proporcional ao número de antenas na BS. Nesta Tese de Doutorado, diversos aspectos importantes de sistemas MIMO massivo são sistematicamente investigados com o objetivo de melhorar suas eficiências energética e espectral. Pode-se enumerar as principais contribuições alcançadas como se segue. Considerando uma rede celular MIMO massivo, propõe-se uma política de atribuição de sequências de treinamento aos usuários otimizada, a qual é depois combinada com apropriados algoritmos de controle de potência. Também investiga-se a adoção neste cenário de formas de onda alternativas, tal como a transmissão de portadora única, visando superar as deficiências da convencional multiplexagem por divisão de portadoras ortogonais (orthogonal frequency-division multiplexing - OFDM). As principais contribuições obtidas neste tema são derivar expressões de desempenho analíticas para um equalizador de portadora única no domínio do tempo que aproveita o grande número de antenas na BS, e avaliar e comparar a eficiência energética total de sistemas MIMO massivo OFDM versus portadora única. Finalmente, considerando redes MIMO massivo sobrecarregadas, compostas por usuários humanos bem como dispositivos de comunicação do tipo máquina, propõe-se um protocolo de acesso aleatório melhorado visando diminuir o número médio de tentativas de acesso para os usuários e diminuir a probabilidade de falhas de tentativa de acesso.

Para satisfazer o explosivo aumento na demanda de tráfego de voz e dados, as redes ópticas baseadas em WDM e GMPLS estão sendo desenvolvidas. A suíte de protocolos GMPLS é atualmente considerada como um plano de controle para as redes ópticas e é composta por protocolos de sinalização e de roteamento, como também do protocolo de gerenciamento de enlace (LMP). O LMP é um importante protocolo que interfere na atribuição de rótulos (comprimentos de onda) e é necessário fazer sua análise lógica para verificar se o mesmo está livre de erros de progresso. Para esta finalidade, o método denominado alcançabilidade justa foi utilizado. Verificada a corretude do LMP, o estudo foca o subproblema de atribuição de comprimento de onda do RWA nas redes GMPLS-WDM por ser um dos principais problemas que causam o baixo desempenho destas redes. O cenário estudado é das redes GMPLS-WDM que operam em um ambiente RWA dinâmico com restrição de continuidade de comprimento de onda. O problema RWA é examinado bem como as várias heurísticas de atribuição de comprimento de onda apresentadas na literatura. Com o objetivo de melhorar o desempenho das redes GMPLS-WDM com restrição de continuidade de comprimento de onda, propõe-se um algoritmo de atribuição de rótulos que utiliza os conceitos conjunto de rótulos e SRLG já implementados pelo GMPLS. O algoritmo proposto melhora a eficiência no uso de recursos nas redes em questão. O desempenho é verificado através da métricas de probabilidade de bloqueio de conexão, desempenho este próximo do ótimo e demonstrado através de simulações. / To satisfy the explosive increasing demands of voice and data traffic, optical networks based on WDM and GMPLS are being developed. The GMPLS´ suite of protocols is currently being considered as the control plane for optical networks and it is compounded of signaling and routing protocols, and also the link management protocol (LMP). The LMP is an important protocol that interferes with label (wavelength) assignment and it is necessary to logically analyse this protocol in order to verify if it is free from progress errors. For this purpose, the method called fair reachability has been used. Verified the LMP is correctable, the study focuses on the RWA wavelength assignment problem in GMPLS-WDM networks because it is one of the main problems which causes the low performance of these networks. The studied scene is GMPLS-WDM networks operating under a dynamic RWA environment with wavelength continuity constraint. The RWA problem is examined and also the various wavelength-assignment heuristics proposed in the literature. With the goal to improve the performance of the GMPLS-WDM networks with wavelength continuity constraint, it is proposed a label assignment algorithm, which uses the concepts of label set and SRLG, already implemented by GMPLS. The proposed algorithm provides an improvement in efficiency of resource use. The performance is verified by using the blocking probability metric, and it is very close to the optimum and demonstrated through simulations.

Ce travail porte sur la quantification d'incertitude dans la modélisation des émissions de polluants atmosphériques dues au trafic routier d'une aire urbaine. Une chaîne de modélisations des émissions de polluants atmosphériques est construite, en couplant un modèle d’affectation dynamique du trafic (ADT) avec un modèle de facteurs d’émission. Cette chaîne est appliquée à l’agglomération de Clermont-Ferrand (France) à la résolution de la rue. Un métamodèle de l’ADT est construit pour réduire le temps d’évaluation du modèle. Une analyse de sensibilité globale est ensuite effectuée sur cette chaîne, afin d’identifier les entrées les plus influentes sur les sorties. Enfin, pour la quantification d’incertitude, deux ensembles sont construits avec l’approche de Monte Carlo, l’un pour l’ADT et l’autre pour les émissions. L’ensemble d’ADT est évalué et amélioré grâce à la comparaison avec les débits du trafic observés, afin de mieux échantillonner les incertitudes / This work focuses on the uncertainty quantification in the modeling of road traffic emissions in a metropolitan area. The first step is to estimate the time-dependent traffic flow at street-resolution for a full agglomeration area, using a dynamic traffic assignment (DTA) model. Then, a metamodel is built for the DTA model set up for the agglomeration, in order to reduce the computational cost of the DTA simulation. Then the road traffic emissions of atmospheric pollutants are estimated at street resolution, based on a modeling chain that couples the DTA metamodel with an emission factor model. This modeling chain is then used to conduct a global sensitivity analysis to identify the most influential inputs in computed traffic flows, speeds and emissions. At last, the uncertainty quantification is carried out based on ensemble simulations using Monte Carlo approach. The ensemble is evaluated with observations in order to check and optimize its reliability

Premier arrivé, premier servi. Que cela s’appelle un privilège ou un droit de préférence particulier, il reste inacceptable au regard des règles substantielles du droit positif français.Cette répartition des sommes saisies sacrifie, pour des raisons procédurales, une règle importante à savoir l’égalité entre les créanciers.Cette étude propose une solution intermédiaire entre le droit civil et le droit des voies d’exécution. La proposition consiste à donner à tous les créanciers, qui ont obtenu par leur vigilance des titres exécutoires avant le premier acte de saisie, la possibilité d’associer le premier saisissant dans la répartition des sommes saisies dans le cadre d’une saisie attribution.La combinaison de l’effet attributif immédiat de la saisie avec une durée de quinze jours,pendant laquelle les créanciers titulaires des titres exécutoires viennent en concours sous réserve des causes légitimes de préférences et des privilèges, aboutit à un double résultat. Le recouvrement des créances reste rapide et simple et l’égalité entre les créanciers sera respectée / Whether it is called a privilege or a private preference right, the ‘first come first served rule’remains debatable given the substantive rules of the French positive law. Primarily for procedural reasons, the norm of seizures distribution undermines a crucial principle, namely equality among creditors.This study proposes an intermediary solution between civil law and law of enforcement procedures. It advocates granting all creditors, who have obtained their enforcement orders before the first act of seizure, the possibility of associating with the first executioner the distribution of the seized money.The combined effect of immediate attribution of the seizure with duration of fifteen days,during which all creditors holding enforceable securities are subject to competition, and taking into account other legitimate preferences and privileges, leads to a double result: a simple and fast method of debt recovery without undermining the principle of equality between creditors.

Le lion de mer Australien a un cycle de reproduction non-annuel et asynchrone entre les colonies.Contrairement aux autres pinnipèdes, ce système unique offre l’opportunité aux mâles de se reproduiredans plusieurs sites lors d’une saison de reproduction. L’accès des mâles à plusieurs sites dereproduction pourrait contrecarrer le fort degré de structure génétique de population chez les femellesdûe à une fidélité extrême au site de reproduction. J'ai utilisé deux méthodes indépendantes maiscomplémentaires, moléculaire et acoustique, afin d’étudier la structure de la population et le systèmede reproduction. Pour l'analyse moléculaire, j'ai développé une banque de microsatellites spécifiques àl'espèce. Ces marqueurs ont été utilisés pour examiner le flux génétique des mâles dans les différentescolonies de reproduction, le succès reproducteur, et les taux de paternité inter- et intra-colonies. Deplus, j'ai mesuré la variation géographique dans les cris des mâles, ce qui représente une approchealternative pour mesurer les convergences/divergences entre colonies. J'ai montré que si les mâlesprésentent une certaine dispersion entre colonies, elle est limitée à une courte échelle en dépit del’opportunité des mâles de se reproduire dans différents sites. Les analyses acoustiques des cris demâles ont révélé des variations géographiques significatives entre colonies, qui ne reflètent pas lastructure génétique. Les analyses de paternité indiquent un faible taux de polygynie, la majorité desmâles ne produisant qu’un ou deux jeunes par saison. Des stratégies alternatives de reproduction(nomade ou sédentaire) sont présentes dans cette espèce, certains mâles se déplaçant activement entredifférentes colonies proches. Le système de reproduction unique du lion de mer Australien semblefortement influer à la fois les modalités de dispersion, mais aussi la structure de population et lesystème de reproduction. / The Australian sea lion has a non-annual and asynchronous breeding cycle across geographically closecolonies. In contrast to other pinnipeds, this unique reproductive system provides the opportunity formales to breed in different colonies during one breeding cycle. Male mating success across differentcolonies could counteract the high degree of structure driven by extreme site fidelity in females. I usedtwo, independent but complementary methods, molecular and acoustic to investigate their populationstructure and mating system. For molecular analysis I developed a species-specific microsatellitelibrary. These markers were used to examine the extent and rate of male mediated gene-flow acrossbreeding colonies but also to determine the breeding success and paternity both within and acrossspatially close colonies. Also, I investigated the geographical variation in male barking call. Thisrepresents an alternative approach to measure boundaries and relationships between colonies. Malesexhibit dispersal; however, this is limited to remarkably small scale in regards to the high potential fordispersal and opportunity to breed in different colonies. Acoustic analyses of the male barking callsrevealed significant geographical variation across sites; however this observed acoustic variation didnot reflect the genetic structure. Paternity analyses revealed that males display relatively modest ratesof polygyny with the majority of successful males siring only one or two pups per breeding cycle. Thepresence of alternative mating strategies (roaming vs staying) is apparent in this species with somemales actively moving and breeding between close colonies. It appears that the unique breedingbiology of Australian sea lion influences dispersal patterns, population structure and mating system.

This thesis applies classical optimization problems such as assignment or set-covering problem on logical puzzles or brainteasers. Listed in the first part are mathematical model, description and typical example of each optimization problem used in this thesis. The second part contains these models applied to the particular brainteasers for example Sudoku or Einstein's Puzzle. Exercises are divided into simpler and more complex ones. There is specification, source and a described method of solution stated for each of them. The calculation examples use Lingo or MS Excel or both. The aim is to show the possibility to address logical puzzles and brainteasers with the use of optimization problems, and thus confirm the wide possibilities of using these models. These examples can clarify and diversify the curriculum.

Les avancées des nouvelles techniques de séquençage (NGS) ont permis dans le cadre des études en écologie microbienne de passer de l'analyse de quelques centaines de séquences par étude à des centaines de millions de séquences. Cette différence quantitative des données produites a induit des différences qualitatives quant aux études réalisées. En effet, avec le changement du type de données, les approches classiques d'analyse ne peuvent être appliquées et il est devenu nécessaire de définir de nouvelles stratégies en tenant compte des contraintes que posent ces données. Alors qu'il était possible d'insérer classiquement quelques dizaines de séquences issues des techniques de première génération dans des phylogénies expertisées, le nombre de séquences généré aujourd'hui par les NGS à chaque expérience rend cette tâche irréalisable et nécessite la mise en place de nouvelles stratégies et l'utilisation d'outils adaptés. Par ailleurs, les outils disponibles d'analyse de la diversité microbienne adaptés aux amplicons de nouvelle génération, implémentent des approches probabilistes et/ou de recherche de similitude pour l'identification des séquences environnementales. L'approche phylogénétique quant à elle, bien qu'elle soit la plus robuste, n'est pas utilisée pour l'annotation taxonomique de ce type de données du fait de ses besoins en temps et en ressources de calcul. Au-delà de l'approche d'annotation taxonomique, les nouvelles techniques de séquençage posent également le problème de la qualité des séquences produites et son impact sur l'estimation de la diversité. Ainsi, ce travail de thèse avait pour objectif la définition d'une stratégie d'analyse bioinformatique de données de séquençage massif dans le contexte de l'étude de la diversité microbienne, en tenant compte des limitations imposées par les ressources informatiques actuelles (matérielles et logicielles) d'un côté, et de l'avantage des méthodes phylogénétiques par rapport aux autres approches d'annotation taxonomique. Ce travail a donné lieu au développement d'une chaîne de traitement proposant une série d'analyses allant des séquences brutes jusqu'à la visualisation des résultats, tout en replaçant les séquences environnementales dans un contexte évolutif. L'approche développée a été optimisée pour la gestion de gros volumes de données, et a été comparée en terme de précision d'affiliation aux autres approches communément utilisées en écologie microbienne. Les tests et simulations ont montré qu'à partir d'une taille d'amplicons de 400 pb, l'affiliation phylogénétique avait les meilleurs résultats mais aussi, que la qualité de cette affiliation différait selon la région hypervariable ciblée. La chaîne de traitements mise en place a ensuite été par implémentée dans un contexte de calcul à haute performance, notamment sur un cluster de calcul, pour proposer un service web dédié à l'analyse de la diversité microbienne. / The characterization of microbial community structure via SSU rRNA gene profiling has been greatly advanced in recent years by the introduction of NGS amplicons, leading to a better representation of sample diversity at a lower cost. This progress in method development has provided a new window into the composition of microbial communities and sparked interest in the members of the rare biosphere. Concurrently, the processing of such amount of data has become an important bottleneck for the effectiveness of microbial ecology studies, and a multitude of analysis platforms have been developed for the handling of these data. As implemented, these tools have a steep learning curve for the biologist who is not computationally inclined, as they require extensive user intervention and consume many CPU hours due to dataset analysis and complexity, which can present a significant barrier to researchers. Moreover, although phylogenetic affiliation has been shown to be more accurate for the taxonomic assignment of NGS reads, the existing tools assign taxonomy by either a similarity search or a probabilistic approach, with the phylogenies being restricted to samples' comparison. Beyond the taxonomic assignment, the new sequencing technologies also arise the problem of the quality of the generated sequences and its impact on the richness estimation. In this work, we aimed to define a strategy for the bioinformatic analysis of high-throughput sequences in order to depict the microbial diversity, taking into account both the limitations imposed by current computer resources (hardware and software), and the advantage of the phylogenetic methods over the other taxonomic annotation approaches. This work has led to the development of a pipeline offering a set of analyzes ranging from raw sequences processing to the visualization of the results, while replacing the environmental sequences in an evolutionary framework. The developed approach was optimized for managing large volumes of data, and has been compared in term of the accuracy of taxonomic assignment to the approaches commonly used in the field of microbial ecology. This pipeline was then used to the developement of a dedicated web server for high-throughput sequencing analysis, that relies on a computing cluster and performs large-scale phylogeny-based analyses of rRNA genes with no need for specialized informatics expertise, and uses the phylogenies for both the taxonomy assessment and the delineation of monophyletic groups to highlight clades of interest.

Massive MIMO communication systems have been highlighted as the main technology for physical layer of next generation communication standards, like 5G. While conventional communication between BS and its covered users is performed in orthogonal time-frequency resources, the improved interuser interference mitigation capability provided by the large number of BS antennas enables the BS to communicate with several users in the same time-frequency resource. This better usage of available but scarce spectrum elevates the spectral efficiency to very appreciable levels, and has a similar effect on energy efficiency, since the transmit power is not increased. On the other hand, if the objective is to provide a target performance for the users, the required transmit power in both direct and reverse links can be made inversely proportional to the number of BS antennas employed. In this Doctoral Thesis, several important aspects of massive MIMO systems are systematically investigated aiming to improve their energy and spectral efficiencies. We can enumerate our main contributions as follows. Considering a cellular massive MIMO network, we proposed an optimized assignment policy of training sequences to the users, which is then combined with suitable power control algorithms. We have also investigated the adoption of alternative waveforms in this scenario, such as single-carrier transmission, in order to overcome the issues of conventional OFDM. Our contributions in this topic are to derive analytical performance expressions for a time-domain single-carrier equalizer taking advantage of the large number of BS antennas, and to evaluate and compare the total energy efficiency of OFDM versus single-carrier massive MIMO systems. Finally, considering crowded massive MIMO networks, composed by both human users as well as machine-type communication devices, we proposed an improved random access protocol aiming to decrease the average number of access attempts for the users and decreasing the probability of failed access attempts. / Sistemas de comunicação de múltiplas antenas (multiple-input multiple-output - MIMO) têm se destacado como a principal tecnologia para a camada física dos padrões de comunicação da próxima geração, como o 5G. Enquanto a comunicação convencional entre a estação base (base station - BS) e seus usuários atendidos é realizada em recursos ortogonais de tempo-frequência, a grande capacidade de redução da interferência interusuários possibilitada pelo grande número de antenas da BS habilita a BS a se comunicar com diversos usuários no mesmo recurso tempo-frequência. Este melhor uso do escasso espectro disponível eleva a eficiência espectral a níveis muito apreciáveis, e tem um efeito similar na eficiência energética, pois a potência de transmissão não é aumentada. Por outro lado, se o objetivo é fornecer um desempenho desejado para os usuários, a potência de transmissão necessária em ambos os enlaces direto e reverso pode ser feita inversamente proporcional ao número de antenas na BS. Nesta Tese de Doutorado, diversos aspectos importantes de sistemas MIMO massivo são sistematicamente investigados com o objetivo de melhorar suas eficiências energética e espectral. Pode-se enumerar as principais contribuições alcançadas como se segue. Considerando uma rede celular MIMO massivo, propõe-se uma política de atribuição de sequências de treinamento aos usuários otimizada, a qual é depois combinada com apropriados algoritmos de controle de potência. Também investiga-se a adoção neste cenário de formas de onda alternativas, tal como a transmissão de portadora única, visando superar as deficiências da convencional multiplexagem por divisão de portadoras ortogonais (orthogonal frequency-division multiplexing - OFDM). As principais contribuições obtidas neste tema são derivar expressões de desempenho analíticas para um equalizador de portadora única no domínio do tempo que aproveita o grande número de antenas na BS, e avaliar e comparar a eficiência energética total de sistemas MIMO massivo OFDM versus portadora única. Finalmente, considerando redes MIMO massivo sobrecarregadas, compostas por usuários humanos bem como dispositivos de comunicação do tipo máquina, propõe-se um protocolo de acesso aleatório melhorado visando diminuir o número médio de tentativas de acesso para os usuários e diminuir a probabilidade de falhas de tentativa de acesso.

La gestion d’une plate-forme selon une stratégie de cross dock est un processus logistique efficace et dynamique qui vise à transférer directement les produits d'un fournisseur à un client. Cette thèse aborde les problèmes d'affectation aux portes et de gestion des ressources sous contraintes de fenêtres du temps dans un cross dock spécifique. Les problèmes sont formulés comme des modèles de programmation mathématique mixte (MIP). L’objectif est de minimiser la somme de la distance parcourue dans l’entrepôt et du coût qui contient les coûts liés aux ressources et un coût de pénalité. Une heuristique basée sur les algorithmes génétiques est proposée pour résoudre ce problème. Deux méthodes de réparation des gènes sont décrites pour rendre les solutions irréalisables réalisables. Les résultats montrent que l’algorithme génétique surpasse la résolution du modèle MIP à l’aide du solveur CPLEX en un temps donné, pour des instances de taille moyenne et de grande taille. Afin de décrire le comportement et de recueillir des informations pertinentes sur la gestion en cross docks, nous proposons un modèle basé sur réseau de Pétri. Un modèle par réseau de Pétri est construit et la simulation est réalisée avec le logiciel Tina. Par simulation, avec différents nombres de ressources, nous obtenons des temps pertinents pour améliorer les fenêtres de temps originales, le makespan de chacun des postes de travail, l'intervalle de temps libre dans le cross dock et la quantité de ressources disponible à chaque période de temps, ce qui peut fournir des conseils utiles à la gestion des ressources. A partir des résultats de la simulation, la formulation MIP est améliorée. / Cross docking is an efficient and dynamic logistic process that directly transfers goods from a supplier to a customer. This thesis addresses the door assignment and resource management problem with truck time windows constraints for a specific cross dock. The problems are formulated as mixed integer programming (MIP) models. The objective is to minimize the weighted sum of the total travel distance and cost which includes labor cost and penalty cost. A heuristic based on genetic algorithm (GA) is developed to solve the problems. Two gene repair methods are proposed to repair infeasible solutions. The computational results show that genetic algorithms outperforms the solution of MIP model with CPLEX in a given CPU time, for medium and large size instances, and that the second gene repair method outperforms the first one. In order to describe the behavior and gather information on the cross dock, a model based on Petri net is built to study the cross docks and simulations are carried out with Tina. The simulation results for different resource number lead us to obtain the relevant times to improve the original time windows, the makespan at each work station, the free time interval in the cross dock and the free resource number at each time period, which provide relevant information on the resource management. Besides, according to the simulation results, the original MIP formulations are improved. Then we propose a new MIP formulation, which determine not only door assignment, but also resources at each time period at each work station. Computational results reveal that the new MIP model control resources in cross dock more efficiently and outperforms the first model.

O objetivo primordial da presente dissertação é estudar o instituto da cessão fiduciária de créditos e de títulos de crédito, previsto no artigo 66-B da Lei nº 4.728, de 14 de julho de 1965, com a redação dada pela Lei nº 10.931, de 02 de agosto de.2004, e popularmente conhecida como trava bancária, com vistas a identificar as posições da doutrina e jurisprudência quanto ao seu tratamento nas hipóteses de recuperação judicial e falência do devedor-fiduciante. Isto porque, o parágrafo 3º do artigo 49 da Lei nº 11.101, de 09 de fevereiro de 2005 (Lei de Recuperação de Empresas LRE) exclui dos efeitos da recuperação judicial os proprietários fiduciários de bens móveis e imóveis. A maior parte da doutrina e da jurisprudência defende que os titulares de créditos cedidos fiduciariamente estão compreendidos na definição de proprietário fiduciário de bem móvel prevista no referido parágrafo 3º do artigo 49 da LRE e, portanto, estão excluídos dos efeitos da recuperação judicial do devedor-fiduciante. Por outro lado, parte minoritária da doutrina e da jurisprudência defende que o parágrafo 3º do artigo 49 da LRE não menciona expressamente os titulares de crédito cedidos fiduciariamente e, sendo o referido parágrafo exceção à regra de que todos os credores estão sujeitos à recuperação judicial do devedor, sua redação deveria ser interpretada restritivamente, razão pela qual os credores titulares de créditos cedidos fiduciariamente estão sujeitos à recuperação judicial do devedor-fiduciante. A divergência da doutrina e da jurisprudência sobre o tema acaba por acarretar insegurança jurídica quanto ao uso da cessão fiduciária como forma de garantia. De um lado, as instituições financeiras têm dúvidas sobre a real segurança de tal garantia, o que pode comprometer uma eficiente avaliação de risco de crédito, assim como a recuperação do crédito na hipótese de insolvência do devedor. Por outro lado, as empresas em crise têm dúvidas sobre a viabilidade de sua efetiva recuperação, principalmente quando seus maiores credores forem bancos. Por todos esses motivos, entendemos ser de suma importância um estudo aprofundado do referido instituto, bem como uma análise crítica da solução adotada pelo legislador em face dos princípios de preservação da empresa em crise trazidos pela LRE. / The main purpose of this dissertation is to examine the fiduciary assignment of rights on movable assets and of credit instruments, as contemplated in article 66-B of Law No. 4,728, of July 14, 1965, as amended by Law No. 10,931, of August 2, 2004 widely known as bank lock (trava bancária) with a view to identifying the standing of legal scholars and court precedents and their approach in the event of debtors judicial restructuring and/or bankruptcy. This is because the 3rd paragraph of article 49 of Law No. 11,101 of February 9, 2005 (Judicial Restructuring Law LRE) determines that the fiduciary owners of movable and immovable assets are no longer subject to the effects of their debtors judicial restructuring. Most legal scholars and court precedents sustain that holders of credits assigned on a fiduciary basis fall under the category of fiduciary owner of movable assets, as established by such 3rd paragraph of article 49 of LRE and, therefore, are not subject to the debtors judicial restructuring. On the other hand, a small number of legal scholars and court precedents sustain that the 3rd paragraph of article 49 of LRE contains no express reference to holders of credits assigned on a fiduciary basis and, given that such paragraph is an exception to the general rule that all creditors are subject to the debtors judicial restructuring, its wording ought to be construed restrictively, for which reason such holders of the credits assigned on a fiduciary basis would be subject to the debtors judicial restructuring. Diverging views among legal scholars and court precedents on the matter bring about legal uncertainty as to the use of the fiduciary assignment of credits as a form of security. Financial institutions, on the one hand, are skeptical about the actual effectiveness of such form of security and that alone might impair the efficient assessment of the credit risk and the recovery of credits in the event of the debtors insolvency. On the other hand, companies undergoing financial crisis question the feasibility of an effective restructuring, particularly if their major creditors are banks. For all those reasons, it is important to look into the fiduciary assignment of credits and critically analyze the solution adopted by the lawmakers vis-à-vis the principles of preserving companies in crises as introduced by the LRE.