Esta tese analisa as normas processuais aplicáveis à arbitragem. O reconhecimento da prevalência da autonomia da vontade das partes e, subsidiariamente, dos árbitros para estabelecer regras para condução do procedimento arbitral, afastou a aplicação das regras processuais do local da realização da arbitragem. A ausência de uma lei processual de regência ou da aplicação mandatória das regras processuais da lex fori possibilitou, por um lado, a harmonização da prática processual arbitral e, por outro lado, embates recorrentes sobre a forma adequada para a condução do procedimento. A ausência de uma lei de regência não significa que o processo arbitral possa ser discricionário. Existe uma pluralidade de fontes normativas que influenciam a tomada de decisão processual nas arbitragens. Propõe-se a análise destas fontes normativas à luz do direito transnacional. O método transnacional adotado inclui normas nacionais e internacionais, bem como outras fontes normativas que não se enquadram tipicamente em uma categoria tradicional, admitindo que o quadro regulatório do processo arbitral seja formado por uma confluência de fontes que operam em ordens jurídicas e planos normativos diversos. Diante dessa pluralidade de fontes normativas, defende-se a necessidade de maior normatização in concreto, incentivando que as partes e os árbitros realizem uma conferência preliminar para definir a melhor forma de conduzir o procedimento em cada arbitragem. / This thesis analyzes the procedural rules that apply to arbitration. The recognition that the parties and, subsidiarily, the arbitrators are free to establish the rules for conducting the arbitral proceedings has prevented the procedural rules of the place where the arbitration is held from being applied. The absence of a governing procedural law or the mandatory application of the procedural rules of the lex fori has, on the one hand, made the harmonization of arbitration procedure possible and, on the other, led to recurrent conflicts regarding the appropriate way to conduct an arbitration. The absence of a governing law does not mean that the arbitration procedure could be discretionary. The existence of a plurality of normative sources that influence procedural decision-making in arbitration is verified. The analysis of these normative sources in light of transnational law is proposed. The transnational method adopted includes domestic and international rules, as well as other normative sources that do not typically fit in a traditional category, allowing the regulatory framework of an arbitration proceeding to be formed by a confluence of sources that operate in different legal systems and on various normative planes. In light of this plurality of normative sources, the need for more active case management and rule-making is defended, encouraging the parties and the arbitrators to hold a preliminary conference to determine the best method for conducting the arbitration in each arbitration proceeding.

Submitted by Silvana Teresinha Dornelles Studzinski (sstudzinski) on 2016-08-16T12:52:34Z No. of bitstreams: 1 Aírton Guilherme Berger Filho_.pdf: 3649057 bytes, checksum: d1a3ef84e969f34fdf417f3831891952 (MD5) / Made available in DSpace on 2016-08-16T12:52:34Z (GMT). No. of bitstreams: 1 Aírton Guilherme Berger Filho_.pdf: 3649057 bytes, checksum: d1a3ef84e969f34fdf417f3831891952 (MD5) Previous issue date: 2016-02-29 / Nenhuma / O presente estudo tem como objeto a análise das interações plurais na regulação e governança dos riscos das nanotecnologias, a partir da perspectiva dialética do Direito em rede, com foco na compreensão dos aspectos multidimensionais que envolvem o princípio da precaução. Como problema de pesquisa, questionamos: Qual o alcance e a pertinência da aplicação do princípio da precaução, no cenário dinâmico e descentralizado de regulação e governança dos riscos nanotecnológicos? A resposta parte de duas premissas: a) o desenvolvimento das nanotecnologias opera em “redes sociotécnicas”, o que impõe a necessidade de pensar mais em termos de coordenação de interesses, do que em controle por um Direito centralizado e hierárquico; b) as particularidades das nanotecnologias são um tema complexo demais para serem abordadas satisfatoriamente por perspectivas reducionistas do Direito e de outras Ciências. Neste contexto, defendemos como hipótese a aplicação do princípio da precaução no desenvolvimento das nanotecnologias: a) por ser compatível e estar presente em múltiplas estratégias de regulação, com diferentes forças normativas (hard law e soft law), comunicando distintas normatividades (legais e não-legais), em diversos níveis (do local ao global); b) por servir como fundamento à formação de políticas e à tomada de decisões, enquanto princípio de ação antecipada frente às incertezas científicas, no sentido da prudência e da democratização da tecnociência. Em que pesem as dificuldades na aplicação do princípio da precaução às tecnologias emergentes e afastada a visão equivocada de que este se trataria de um princípio de abstenção, entendemos ser um importante mecanismo para comunicar o dever de prudência na rede de governança tecnológica, enquanto “ação comedida”, em um duplo sentido, tanto para impor processos mais democráticos de avaliação dos riscos, como para nortear a tomada de decisão no sentido político. / The object of this academic research is the analysis of plural interactions in the governance of the risks and uncertainties of nanotechnology, from the perspective of dialectic of the law as a network, developed by Ost and Kerchove, focusing on comprehension of multi-dimensional aspects involving the precautionary principle. As a research problem, it is questioned: what is the scope and relevance of applying the precautionary principle, in the dynamic and decentralized scene, in the regulation and governance of (nano)technological risks? The answer comes from two premises: a) the development of nanotechnology operates in “socio-technical networks”, which imposes the need of thinking more in terms of coordination of interests than in control by a centralized and hierarchical right; b) the particularities of nanotechnology are a very complex topic to be approached satisfactorily by reductionist perspectives of Law and Sciences, and it may take very serious risks so that the power of decision is restricted to scientists, politicians, and economic agents. In this context, we support the hypothesis in applying the precautionary principle: a) for being compatible and being present in multiple regulatory strategies, with different normative forces (hard law and soft law), communicating distinct normativity (legal and non-legal), at several levels (from local to global); b) for serving as a foundation to the formation of policies and to decision making, as an action principle anticipated in relation to the scientific uncertainty, in the sense of prudence and democratization of Technoscience. Regardless of the difficulties in applying this principle to emerging technologies, and moved the mistaken view away whereof it is about an abstention principle, we see it as an important mechanism for communicating the duty of care to all the technological governance network, as a “measured action”, in a double sense, both to impose more democratic processes of risks assessment and to guide the decision making in the political sense.

Tax evasion has been happening for decades, but after the highly publicized cases with two foreign banks, LGT and UBS, the United States (US) is cracking down on tax evaders. The latest addition to the Internal Revenue Service (IRS)’s repertoire of enforcement tools is the Foreign Account Tax Compliance Act, otherwise known as FATCA. The Act was enacted to incentivize tax information release by foreign financial institutions (FFIs) who would otherwise face a 30% withholding tax on any US source income. The question was whether or not the design of the Act and its implementation successfully met this goal. This paper explores the history leading up to FATCA’s creation, beginning from the basic data underlying tax evasion. With the US losing approximately $100 billion a year of tax revenue, the IRS is keen on reducing the money flow out of the US. It will dig deeper into the facts of the LGT and UBS cases which led to Congress’s realization that their other enforcement mechanisms were not sufficient and describe FATCA’s unintended impact. Through researching articles on the predicted impact of FATCA, surveys of FFIs, testimonials from US citizens, this paper will explain how FATCA has unfortunately detrimentally impacted FFIs and US citizens living abroad.

Esta tese analisa as normas processuais aplicáveis à arbitragem. O reconhecimento da prevalência da autonomia da vontade das partes e, subsidiariamente, dos árbitros para estabelecer regras para condução do procedimento arbitral, afastou a aplicação das regras processuais do local da realização da arbitragem. A ausência de uma lei processual de regência ou da aplicação mandatória das regras processuais da lex fori possibilitou, por um lado, a harmonização da prática processual arbitral e, por outro lado, embates recorrentes sobre a forma adequada para a condução do procedimento. A ausência de uma lei de regência não significa que o processo arbitral possa ser discricionário. Existe uma pluralidade de fontes normativas que influenciam a tomada de decisão processual nas arbitragens. Propõe-se a análise destas fontes normativas à luz do direito transnacional. O método transnacional adotado inclui normas nacionais e internacionais, bem como outras fontes normativas que não se enquadram tipicamente em uma categoria tradicional, admitindo que o quadro regulatório do processo arbitral seja formado por uma confluência de fontes que operam em ordens jurídicas e planos normativos diversos. Diante dessa pluralidade de fontes normativas, defende-se a necessidade de maior normatização in concreto, incentivando que as partes e os árbitros realizem uma conferência preliminar para definir a melhor forma de conduzir o procedimento em cada arbitragem. / This thesis analyzes the procedural rules that apply to arbitration. The recognition that the parties and, subsidiarily, the arbitrators are free to establish the rules for conducting the arbitral proceedings has prevented the procedural rules of the place where the arbitration is held from being applied. The absence of a governing procedural law or the mandatory application of the procedural rules of the lex fori has, on the one hand, made the harmonization of arbitration procedure possible and, on the other, led to recurrent conflicts regarding the appropriate way to conduct an arbitration. The absence of a governing law does not mean that the arbitration procedure could be discretionary. The existence of a plurality of normative sources that influence procedural decision-making in arbitration is verified. The analysis of these normative sources in light of transnational law is proposed. The transnational method adopted includes domestic and international rules, as well as other normative sources that do not typically fit in a traditional category, allowing the regulatory framework of an arbitration proceeding to be formed by a confluence of sources that operate in different legal systems and on various normative planes. In light of this plurality of normative sources, the need for more active case management and rule-making is defended, encouraging the parties and the arbitrators to hold a preliminary conference to determine the best method for conducting the arbitration in each arbitration proceeding.

Treaties and international organizations work together to create a global environment that protects the rights of a person and actively promotes the well-being of society. However, they do not necessarily guarantee the rights of everyone. Since women are not explicitly named in human rights documents, they are often not granted equal human rights. Therefore, it takes more than just international legal instruments to guarantee women's rights as human rights. A combination of civil society (NGOs), International organizations (IOs), and domestic government creates a perfect coalition to beat the barriers that must be overcome to fully protect women from violence.

Law in a transnational context loses the features with which it has been configured since modernity. Classic distinctions between national and international, public and private, substantive and procedural, legal and political, social and legal lose their rigidity in a context of norms, orders, institutions and agents that interact and overlap in diverse and changing ways. A legal theory capable of explaining and evaluating this overflowing legal reality is lacking. A theoretical reflection on international law is not enough. Transnationalism appeals to a plurality of legal actors and spaces that interact to create, interpret and enforce rules which they mutually identify with. Transnationalism does not only refer to the global or the supranational, but to the interdependence of both with the local and transit spaces. And this translates into a change of focus or perspective that is required of each legal agent: management of the interrelation between diverse orders aimed to create spaces for approach, contestation and innovation is a normative requirement and it must be weighed against other legal values. Concepts to which legal theory must focus its attention change their meaning. The work refers to four of those concepts that I consider essential: social group or community, relations between orders and interlegality, coercion and normative diversity. The last part of the paper addresses the way in which these necessary changes have a place in our theories elaborated from the perspective of the great traditions of legal philosophy. What legal positivism, socio-legal theory and legal realism have in common might be an appropriate approach to the review of our discipline. / El derecho, en un contexto transnacional, pierde los rasgos con los que lo hemos configurado desde la modernidad. Las clásicas distinciones entre lo nacional y lo internacional, lo público y lo privado, lo sustantivo y lo procedimental, lo jurídico y lo político, lo social y lo jurídico abandonan su rigidez en un entramado de normas, órdenes, instituciones y agentes que se entremezclan y superponen de modos diversos y cambiantes. Carecemos de una teoría del derecho capaz de explicar y evaluar esta realidad jurídica desbordante. No es suficiente una reflexión teórica sobre el derecho internacional. Lo transnacional apela a una pluralidad de actores y de espacios jurídicos que interaccionan para crear, interpretar y ejecutar normas con las que se identifican mutuamente. Lo transnacional no se refiere solo a lo global o a lo supranacional, sino a la interdependencia de ambos con lo local y los espacios de tránsito. Ello se traduce en un cambio de enfoque o de perspectiva que se exige a cada operador jurídico: la gestión de la interrelación entre órdenes diversos orientada a la creación de espacios para la aproximación, la contestación y la innovación es una exigencia normativa y debe ser ponderada con el resto de valores jurídicos. A partir de ahí cambia el significado de los conceptos a los que ha de orientar su atención la teoría jurídica. El trabajo se refiere a cuatro de dichos conceptos que considero esenciales: grupo social o comunidad, relaciones entre órdenes e interlegalidad, coerción y diversidad normativa. El modo en que los cambios necesarios tienen cabida en la teoría elaborada desde las grandes tradiciones de la iusfilosofía es abordado en la última parte del trabajo, considerando que lo que tienen en común el positivismo jurídico, la teoría socio-jurídica y el realismo jurídico puede ser una aproximación adecuada para la revisión de nuestra disciplina.

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / A partir da última década do século passado, muito embora alguns ordenamentos jurídicos tenham reconhecido os relacionamentos entre pessoas do mesmo sexo, conferindo-lhes alguns efeitos jurídicos, até hoje o padrão de heteronormatividade impede que estes alcancem a plena equiparação com o paradigma heterossexual. Os organismos internacionais de proteção aos direitos humanos já reconhecem certos patamares inerentes ao direito de liberdade à orientação sexual, muito embora ainda não se tenha alcançado à etapa da consagração do direito à vida afetiva e familiar. No entanto, a crescente internacionalização da vida contemporânea aumentou a estraneidade jurídica dos relacionamentos homoafetivos, cujo reconhecimento fora do Estado da constituição é muitas vezes recusado por argumentos que podem ser superados pela ótica convergente do Direito Transnacional promovendo a legitimidade do pleno reconhecimento transfronteiriço de todos os casamentos e parcerias entre pessoas do mesmo sexo validamente realizadas, como forma de garantir o respeito à cidadania cosmopolita inerente à dignidade dos indivíduos pertencentes a estas famílias. / Since the last decade of the 20th century some States have recognized legal effects to same-sex relationships, which conferred some internal legitimacy to homosexual minorities, although different-sex paradigms imbued in the legislation are still encroaching full recognition of freedom to sexual orientation. International human rights courts have also established certain standards of this fundamental right, but have stopped shortly of recognizing the human right to affective and familiar life, regardless sexual orientation. Meanwhile, the increasing internationalization of private life has promoted more multi-connected same-sex relationships, and such cross border recognition is resisted by arguments which can be surpassed by convergent epistemology of Transnational Law, which promotes full recognition of same-sex marriages and partnerships validly celebrated through enforcing cosmopolitan citizenship inherent to dignity of all family members, regardless sexual orientation.

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / A partir da última década do século passado, muito embora alguns ordenamentos jurídicos tenham reconhecido os relacionamentos entre pessoas do mesmo sexo, conferindo-lhes alguns efeitos jurídicos, até hoje o padrão de heteronormatividade impede que estes alcancem a plena equiparação com o paradigma heterossexual. Os organismos internacionais de proteção aos direitos humanos já reconhecem certos patamares inerentes ao direito de liberdade à orientação sexual, muito embora ainda não se tenha alcançado à etapa da consagração do direito à vida afetiva e familiar. No entanto, a crescente internacionalização da vida contemporânea aumentou a estraneidade jurídica dos relacionamentos homoafetivos, cujo reconhecimento fora do Estado da constituição é muitas vezes recusado por argumentos que podem ser superados pela ótica convergente do Direito Transnacional promovendo a legitimidade do pleno reconhecimento transfronteiriço de todos os casamentos e parcerias entre pessoas do mesmo sexo validamente realizadas, como forma de garantir o respeito à cidadania cosmopolita inerente à dignidade dos indivíduos pertencentes a estas famílias. / Since the last decade of the 20th century some States have recognized legal effects to same-sex relationships, which conferred some internal legitimacy to homosexual minorities, although different-sex paradigms imbued in the legislation are still encroaching full recognition of freedom to sexual orientation. International human rights courts have also established certain standards of this fundamental right, but have stopped shortly of recognizing the human right to affective and familiar life, regardless sexual orientation. Meanwhile, the increasing internationalization of private life has promoted more multi-connected same-sex relationships, and such cross border recognition is resisted by arguments which can be surpassed by convergent epistemology of Transnational Law, which promotes full recognition of same-sex marriages and partnerships validly celebrated through enforcing cosmopolitan citizenship inherent to dignity of all family members, regardless sexual orientation.

Le droit des investissements internationaux et l'Union européenne constituent deux systèmes juridiques qui sont désormais en interaction. La convergence de ces systèmes a été révélée lors de l'entrée en vigueur du Traité de Lisbonne, qui a initié un transfert de compétence en matière d'Investissement Direct Étranger et accorde donc la compétence à l'Union européenne pour conclure de nouveaux accords d'investissement. Dans le cadre d'un chapitre préliminaire, l'analyse tente tout d'abord d'expliquer pourquoi et en quoi le droit des investissements internationaux, tel que résultant de la pratique conventionnelle bilatérale des États membres, et l'Union européenne constituent deux systèmes juridiques en interaction. La méthodologie juridique nécessaire à l'étude des manifestations de la mondialisation juridique est quant à elle décrite. Par la suite, en distinguant les aspects matériels des aspects procéduraux du droit des investissements internationaux, cette thèse s'intéresse aux évolutions des rapports de ces deux systèmes et aux résultats des interactions normatives en cours. La première partie vise à démontrer que le droit matériel des investissements internationaux a fait l’objet d’une approche de la Commission européenne, mise en place dès les années 1990. Quant au droit procédural des investissements internationaux, il ressort que ses liens avec l'Union européenne ont été plus distendus et qu'il n'a fait l’objet que d'un volet qui a été attaché à l’approche européenne du droit matériel des investissements internationaux, à partir de l'entrée en vigueur du Traité de Lisbonne.Sur ces fondements, l'analyse met en exergue le processus d’européanisation en cours du droit des investissements internationaux, qui est relatif au mode de création de la norme internationale, à son contenu et à la participation de l’Union européenne à la procédure de règlement des différends, en vertu d’une procédure arbitrale devant être construite selon la configuration investisseur tiers-Union européenne. / International investment law and the European Union constitute two legal systems that are from now on in interaction. The convergence of these systems has been revealed by the entry into force of the Lisbon Treaty, which has initiated a transfer of competence in the field of Foreign Direct Investment and thus grants competence to the European Union for the conclusion of new investment treaties. Within the framework of a preliminary chapter, the analysis first attempts to explain why and how international investment law, as it results from the bilateral conventional practice of Member States, and the European Union constitute two interacting legal systems. The legal methodology that is necessary for the study of the manifestations of legal globalisation is described. Subsequently, by distinguishing between the substantive and the procedural aspects of International Investment Law, this thesis focuses on the evolutions of the relations between these two systems and on the results of the ongoing normative interactions. The first part aims to demonstrate that substantial international investment law has been the object of an approach from the European Commission, put in place as soon as the 1990s. As for procedural international investment law, it appears that its links with the European Union have been more tenuous and that it has only been the object of a component which has been attached to the European approach of material international investment law, as soon as the entry into force of the Lisbon Treaty. On these foundations, the analysis highlights the ongoing Europeanisation process of International Investment Law, which is related to the mode of creation of the international standard, its content and the participation of the European Union in the procedure of dispute resolution, by virtue of an arbitral procedure which should be constructed according to the foreign investor-European Union configuration.

Le droit international privé français des contrats est très avancé, la richesse de la jurisprudence et la doctrine font une bonne preuve de l’évolution du droit français en la matière. Ses conceptions sont répandues et admises par d’autres États, européens en premier lieu, puis dans le monde entier. Le système de droit français et celui de droit communautaire sont complémentaires l’un et l’autre. Pour cette raison l’étude de droit international privé français ne peut plus être restreinte uniquement dans le cadre de droit international commun. Dés lors le droit international privé communautaire devrait aussifaire l’objet de cette étude. Quant au droit international privé des contrats thaïlandais, il est en cours de développement et a besoin de grande réformation urgent pour la coopération juridique dans l’ASEAN. L’étude comparative en cette matière permettrait donc de trouver la bonne solution et d’apprendre l’application de règles conflictuelles ainsi que d’autres mécanismes du droit international privé pour régler les problèmes dans l’ordre juridique thaï. Donc les questions de la loi applicable et le règlement des différends font l’objet principal de cette étude. / The French system of Private International Law of Contract is highly developed, evidenced by a rich jurisprudence and doctrinal system. One of the leaders in the field, many of their legal concepts were widely accepted and adopted by other legal systems, first by European countries and then worldwide. However, because of their complementary and intertwined nature for each other, the French legal system cannot be studied apart from the European system. For this reason, this study covers not only an in depth examination of French Private International Law but also a general look at European Private International Law. The Thai system of Private International Law of Contracts, in comparison, is developing and needs significant legal reform, as soon as possible, in order to cooperate with other contracting States in ASEAN. Thus, this comparative study responds to the needs, and shows how to correctly apply the conflict of laws’ rules, including their exceptions, which could solve many problems occurring in the Thai legal system. Therefore questions on the applicable laws of contract and the settlement of disputes which derive from international contract law are objects of this study.