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Magister Legum - LLM

The 17 July 1863 saw a British military force led by Major General Cameron, with Crimean War experience, invade the Waikato of Aotearoa New Zealand, and essentially ending for Waikato Maori on 2 April 1864 at Orakau when Cameron with 1,200 troops, defeated a group of 300 Maori that included representatives of at least nine iwi, and women and children, led by Rewi Maniapoto.In December 1863, well before the events of Orakau, the New Zealand Settlements Act of 1863 (NZSA) was passed into law. This Act’s only purpose was to confiscate 1,408,400 hectares of land from Maori; 486,500 hectares from Waikato Maori, of whom Ngati Maniapoto are an important part. The Act deprived Maori of their traditional lands and the means to participate in the economy, with serious social and economic consequences for them well into the 20th century.In 1993, tertiary educational status was granted to what was essentially an initiative of the people of Ngati Maniapoto that began in 1983 to provide educational alternatives to young people, predominately Maori. This initiative became Te Wananga o Aotearoa (TWOA). Over a period of six years from 1998, TWOA moved from being an insignificant tertiary educational institution to the largest in the country in terms of student and equivalent full time student numbers. By mid 2005, TWOA was under the control of the State, the first time such a situation had occurred in this country, and completely contrary to the independence provisions that the Education Act 1989 bestows on tertiary educational institutions.This thesis is an examination of the State’s battle for control of TWOA, to consider likely reasons why the State sought this control, and the tactics used by the State to achieve this outcome.The thesis examines the part that knowledge and access to education plays in global economics in the late 20th and early 21st century, and will consider whether knowledge and access to education was as economically important to individuals in these times, as land was in 1863.The fact that TWOA’s success was achieved completely within the parameters of the tertiary education policies of both successive Governments since 1998 was irrelevant to the NZ Labour Party led Government of 2005. They appeared to set out on a predetermined path to gain control, in order to neutralise TWOA’s growth and to then reshape the sector to ensure that such success did not happen again. The conclusion is that what was seen as a just a small ‘window’ to get some leverage, was thrown open, and very powerful levers then used, to achieve this end.

The 17 July 1863 saw a British military force led by Major General Cameron, with Crimean War experience, invade the Waikato of Aotearoa New Zealand, and essentially ending for Waikato Maori on 2 April 1864 at Orakau when Cameron with 1,200 troops, defeated a group of 300 Maori that included representatives of at least nine iwi, and women and children, led by Rewi Maniapoto.In December 1863, well before the events of Orakau, the New Zealand Settlements Act of 1863 (NZSA) was passed into law. This Act’s only purpose was to confiscate 1,408,400 hectares of land from Maori; 486,500 hectares from Waikato Maori, of whom Ngati Maniapoto are an important part. The Act deprived Maori of their traditional lands and the means to participate in the economy, with serious social and economic consequences for them well into the 20th century.In 1993, tertiary educational status was granted to what was essentially an initiative of the people of Ngati Maniapoto that began in 1983 to provide educational alternatives to young people, predominately Maori. This initiative became Te Wananga o Aotearoa (TWOA). Over a period of six years from 1998, TWOA moved from being an insignificant tertiary educational institution to the largest in the country in terms of student and equivalent full time student numbers. By mid 2005, TWOA was under the control of the State, the first time such a situation had occurred in this country, and completely contrary to the independence provisions that the Education Act 1989 bestows on tertiary educational institutions.This thesis is an examination of the State’s battle for control of TWOA, to consider likely reasons why the State sought this control, and the tactics used by the State to achieve this outcome.The thesis examines the part that knowledge and access to education plays in global economics in the late 20th and early 21st century, and will consider whether knowledge and access to education was as economically important to individuals in these times, as land was in 1863.The fact that TWOA’s success was achieved completely within the parameters of the tertiary education policies of both successive Governments since 1998 was irrelevant to the NZ Labour Party led Government of 2005. They appeared to set out on a predetermined path to gain control, in order to neutralise TWOA’s growth and to then reshape the sector to ensure that such success did not happen again. The conclusion is that what was seen as a just a small ‘window’ to get some leverage, was thrown open, and very powerful levers then used, to achieve this end.

Si les administrativistes admettent que le prisme contentieux est déformant, il est toutefois remarquable de constater que la définition doctrinale de l'acte administratif unilatéral est généralement réduite à une équation entre un tel acte juridique et le recours pour excès de pouvoir.Partant d'un tel constat, il s'agissait de déconstruire les différentes versions du discours doctrinal qui se fondent exclusivement ou accessoirement sur le statut contentieux de l'acte, c'est-à-dire sur les éléments de légalité examinés à l'occasion du recours pour excès de pouvoir. En effet, le paradigme de la définition contentieuse a pour conséquence de n'envisager l'acte administratif unilatéral que comme une notion fonctionnelle, qui plus est contentieuse. Outre l'aspect technique de l'analyse, lareconstruction de la définition du concept d'acte administratif unilatéral passe par l'examen renouvelé de ses caractéristiques contemporaines. Par hypothèse, l'acte administratif unilatéral, concept au service de l'action de la puissance publique, peut être examiné à partir de son unilatéralité. Il s'agit dans ce cas de l'appréhender par opposition au contrat ce qui induiraitl'absence de consentement de son destinataire, en tant qu'acte de commandement de la puissancepublique au service de la mise en oeuvre de l'intérêt général, comme un acte contraignant etjusticiable à ce titre. La reconstruction de la définition part du postulat que les différentescomposantes de l'unilatéralité sont aujourd'hui affectées par les changements en cours en droitadministratif. Le concept évolutif d'acte administratif unilatéral peut recevoir une définitionrenouvelée, contemporaine et non strictement contentieuse grâce au double niveau d'analyseproposé un aspect plus technique et la recherche corrélative de la justification du recours auprocédé unilatéral en droit contemporain.Ainsi, l'acte administratif unilatéral peut être considéré comme l'acte juridique édicté par unepersonne habilitée son auteur juridique qui dispose de la faculté de le faire entrer en vigueur et enendosse la responsabilité juridique. Le processus de formation de l'acte est devenu pluraliste et placele destinataire de l'acte au centre de la théorie dès lors que l'on parvient à établir que sa participationet son consentement sont recueillis au moment de l'élaboration. Un tel acte juridique ne se borne pasà modifier l'ordonnancement juridique. Plus largement, il crée ou affecte la situation juridique (lesdroits et les obligations) et matérielle de ses destinataires, de ses auteurs et dans certaineshypothèses des tiers. En outre, il est la manifestation privilégiée de la puissance publique au servicede l'intérêt général. Le plus fréquemment, il est possible d'en contester la légalité à l'appui d'unrecours juridictionnel devant les juges de la légalité administrative. / Summary not transmitted

Corruption from a criminological perspective forms the basis of this dissertation. The crime component of corruption the 'what', 'why' and 'how' is the dominant theme throughout the study and includes corruption in the South African public sector, highlighting police corruption in the Western Cape. Although this study is exploratory, certain qualitative interviewing techniques, including an interview guide, were used to maximise the information obtained from knowledgeable interviewees. Corruption was further elucidated by the employment of criminological theories to explain pertinent findings in the research, by highlighting risk factors that lead to corruption, by giving examples of corruption and by discussing anti-corruption agencies and the effectiveness of existing legislation. Corruption in the public sector has always been around and will be ad infinitum. The severity of the consequences of this phenomenon can be curtailed by the will of politicians, the involvement of civil society and an operational criminal justice system. / Criminology / MA (Criminology)

La relation individuelle de travail a pour particularité de reposer traditionnellement sur une inégalité des parties. Ce sentiment d'inégalité des forces est perçue dans la relation individuelle de travail toute entière. Ainsi, la supériorité de l'employeur est ressentie au travers de la subordination juridique qui lie inéluctablement le salarié à son employeur. De même, cette supériorité est perceptible lors de l'élaboration de la relation individuelle de travail qui repose théoriquement sur la sujétion de la partie faible. Aussi, se fondant sur les évolutions proposées par le droit commun, nous souhaitons démontrer que le développement de l'information contribue à réduire la domination subie par le salarié. Ainsi, la première partie de ce travail tente d'apporter la démonstration selon laquelle le salarié, partie faible lors de la création de la relation de travail, peut se libérer de celle-ci au moyen de l'information. Cette dernière offre, tantôt par son effet obligatoire, tantôt par son effet libérateur une solidité certaine à l'acte d'engagement du salarié. Une fois la relation de travail établie, le salarié estlogiquement soumis aux pouvoirs reconnus à l'employeur. La deuxième partie de ce travail se propose donc d'entrevoir la manière avec laquelle l'information permet de contourner la force d'attraction de ces pouvoirs qui, s'ils ne sont pas mis en oeuvre de façon transparente, font perdre à l'employeur sa légitimité à agir. / The individual employment relationship has the particularity to rely on traditionally unequal parties. This feeling of inequality is perceived strengths in the individual employment relationship as a whole. Thus, the superiority of the employer is felt through the legal subordination that inevitably binds the employee to the employer. Similarly, this superiority is evident in the development of the individual employment relationship based theoretically on the subjection of the weaker party. Also, based on the changes proposed by the law, we want to demonstrate that the development of information helps to reduce the domination suffered by the employee. Thus, the first part of this work attempts to provide proof that the employee weakest part in the creation of the employment relationship, can get rid of it using the information. This latest offering, sometimes by its binding effect, sometimes by liberating some solidity to the act of engagement of the employee. Once the working relationship, the employee is logically subject to the powers granted to the employer. The second part of this work proposes a glimpse of the way in which the information is used to bypass the pull of those powers which, if they are not implemented in a transparent manner, are lost to the employer legitimacy to act.

Comme la justice est le principe sur lequel la société humaine doit être fondée, dans quelle mesure Montesquieu est-il le philosophe de la justice ? Telle a été la question fondamentale de cette thèse : envisager la place de l'auteur de l'Esprit des lois et son rôle dans l'élaboration de la conception de la justice. Nous avons essayé de mettre en exergue quelles ont été sa contribution et son incidence dans le développement de l'idée de la justice, à la fois vis-à-vis du droit naturel et du droit positif. D'une part, son oeuvre a permis de comprendre que la justice naturelle est universelle, antérieure et supérieure aux lois positives. Dès lors, parce que l'esclavage est contraire au droit naturel, c'est au nom de cette justice immuable que Montesquieu l'a condamné. D'autre part, en examinant le rapport entre la justice et la liberté, l'auteur a indiqué comment cette justice peut s'épanouir en droit positif. Ce rapport implique la condamnation du despotisme et la nécessité de disposer de mécanismes efficaces visant à garantir la justice et la liberté contre ce danger. / Given the fact that justice is the principle on which human society must be based on, we should ask out selves in how far should Montesquieu be considered as the philosopher of justice? This question is the fundamental idea developed in this thesis: to consider the place of the author of The Spirit of Laws and his role in developing the concept of justice. We tried to highlight what his impact and contribution in developing the idea of justice, both in natural law and positive law has been. On the one hand, his work helped to understand that natural justice is universal, anterior and superior to positive laws. Therefore, because slavery is opposed to natural law, Montesquieu condemned it in the name of this immutable justice. On the other hand, by examining the relationship between justice and liberty, the author pointed out how justice flourishes in positive law. This relationship involves the condemnation of despotism and the need for effective mechanisms to ensure justice and liberty against the risk of despotism.

Submitted by Alexandre Ramos Coelho (alexandre.coelho@gvmail.br) on 2015-06-09T22:53:52Z No. of bitstreams: 1 Dissertação Mestrado_ARCoelho_ 09.06.15_FINAL.pdf: 1391202 bytes, checksum: e5aeec796f84194f76858aa85f8ad7b6 (MD5) / Approved for entry into archive by Suzinei Teles Garcia Garcia (suzinei.garcia@fgv.br) on 2015-06-10T11:39:33Z (GMT) No. of bitstreams: 1 Dissertação Mestrado_ARCoelho_ 09.06.15_FINAL.pdf: 1391202 bytes, checksum: e5aeec796f84194f76858aa85f8ad7b6 (MD5) / Made available in DSpace on 2015-06-10T12:43:44Z (GMT). No. of bitstreams: 1 Dissertação Mestrado_ARCoelho_ 09.06.15_FINAL.pdf: 1391202 bytes, checksum: e5aeec796f84194f76858aa85f8ad7b6 (MD5) Previous issue date: 2015 / According to data, from the Brazilian Association of Financial and Capital Market – ANBIMA, accumulated of 12 months, as of July 7, 2014, the sum of investments, redemptions and capital raised, the fund industry in Brazil transacted more than 11 billion Brazilian Reais. It is a considerable financial value, making the industry fund an important tool to channel savings and to invest in the most diverse projects of the economy. In addition, the collapse of some financial conglomerates in Brazil in recent years involving investment funds managed by companies belonging to such conglomerates has highlighted the importance of rules and studies addressing the relationship between the asset manager / fund administrator and the respective investors in those funds. In fact, the research conducted over the years 2013 and 2014 with regulators, academics and other participants in the securities market have demonstrated that there are few studies that can provide assistance in solving problems of this nature, including situations involving conflicts of interest between asset managers / fund administrator and investors. Thus, in face of the economic importance of the fund industry to Brazil and the relevance of the rights of investors / shareholders in the fund industry, and also due to the lack of studies, this work aims at conducting a theoretical and empirical research on the fiduciary relationship between the fund administrator, the asset manager and the respective shareholders of the investment funds. Along these lines, the goal will be to identify the origin, the essential characteristics of this relationship, the risks it can bring to the investor, and the duties it imposes on administrators and managers. We propose to evaluate the historical origin of the fiduciary relationship and understand the theoretical foundations that support its application to investment funds in the United States and Brazil. Based on this theoretical knowledge and under the focus of fiduciary duties applicable to administrators and managers, we develop an evaluation of the standards of conduct contained in the rulings of the Brazilian Securities Commission (CVM), to test the fiduciary relationship characteristics on the CVM rules. Finally, was conducted a study of cases where administrators and managers were convicted for breaking the fiduciary relationship and for failing to comply with specific duties embedded in the standards of conduct previously evaluated. On the basis of theoretical and empirical studies described, it is finally concluded that there are, indeed, essential characteristics in determining a fiduciary relationship between fund administrator / asset manager and the shareholder, and once this relationship is established, fund administrators and asset managers will have to observe the duty of diligence and loyalty to the shareholder. Also on the basis of theoretical and empirical studies, it is possible to say that the CVM standards establish the fiduciary relationship between the fund administrators / asset managers and the shareholder of investment funds, as well as fiduciary duties related to this relationship. / De acordo com dados de 07.10.2014 da Associação Brasileira das Entidades dos Mercados Financeiro e de Capitais – ANBIMA, no acumulado em 12 meses, entre aplicações, resgates e captações, a indústria de fundos movimentou mais de 11 bilhões de reais no Brasil. É um volume financeiro considerável, fazendo dos fundos de investimento importantes instrumentos de captação de poupança e de direcionamento de recursos para os mais diversos projetos de financiamento da economia. Além disso, as quebras de determinados conglomerados financeiros no Brasil nos últimos anos envolvendo fundos administrados e geridos por sociedades pertencentes a esses conglomerados colocou em evidência a importância de regras e estudos direcionados à relação entre o administrador-gestor e o cotista de fundos de investimento. De fato, pesquisa conduzida ao longo dos anos de 2013 e 2014 demonstrou que acadêmicos, reguladores e demais participantes do mercado de valores mobiliários possuem poucos estudos que possam assisti-los na solução de problemas relativos a essa relação, inclusive diante de situações envolvendo conflitos de interesses entre administradores-gestores e cotistas. Assim, diante da importância econômica dos fundos de investimento para o Brasil, da relevância dos direitos dos investidores dentro da indústria de fundos, e também em razão da escassez de estudos, este trabalho tem por finalidade realizar investigação teórica e empírica sobre a relação fiduciária entre o administrador, o gestor e os respectivos cotistas dos fundos de investimento. Dessa forma, o objetivo será identificar a origem, as características essenciais dessa relação, os riscos que ela pode trazer para o investidor e os deveres que ela impõe aos administradores e gestores. Para tanto, propõe-se avaliar a origem histórica da relação fiduciária e os fundamentos teóricos que a suportam aplicados aos fundos de investimento nos Estados Unidos e no Brasil. Com base nesse conhecimento teórico e sob o enfoque dos deveres fiduciários aplicáveis aos administradores e gestores, parte-se para a avaliação das normas de conduta contidas nas instruções da Comissão de Valores Mobiliários (CVM), visando testar as características da relação fiduciária diante das regras da CVM. Por fim, realiza-se estudo sobre casos em que administradores e gestores foram condenados por quebra na relação fiduciária e por inobservância de deveres específicos embutidos nas normas de conduta avaliadas anteriormente. Com fundamento nos estudos teóricos e empíricos descritos, conclui-se que existem características essenciais na configuração de uma relação fiduciária entre o administrador-gestor e o cotista de fundos de investimento e que, uma vez formada essa relação, administradores e gestores obrigam-se a observar o cumprimento de deveres de diligência e de lealdade perante o cotista. Igualmente, ainda é possível afirmar que as normas da CVM de fato instituem a relação fiduciária entre o administrador-gestor e o cotista de fundos de investimento, bem como os deveres fiduciários conexos a essa relação.

Corruption from a criminological perspective forms the basis of this dissertation. The crime component of corruption the 'what', 'why' and 'how' is the dominant theme throughout the study and includes corruption in the South African public sector, highlighting police corruption in the Western Cape. Although this study is exploratory, certain qualitative interviewing techniques, including an interview guide, were used to maximise the information obtained from knowledgeable interviewees. Corruption was further elucidated by the employment of criminological theories to explain pertinent findings in the research, by highlighting risk factors that lead to corruption, by giving examples of corruption and by discussing anti-corruption agencies and the effectiveness of existing legislation. Corruption in the public sector has always been around and will be ad infinitum. The severity of the consequences of this phenomenon can be curtailed by the will of politicians, the involvement of civil society and an operational criminal justice system. / Criminology and Security Science / MA (Criminology)