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The legal framework of investment services provision This thesis deals with the issue of legal framework of investment services provision. The aim of the thesis is to theoretically define and analyse the issue of selected investment services and rules governing their provision. The first two chapters of the thesis are devoted to general theoretical issues related to the topic, among others to the reasons of regulation of investment services provision and impact of the EU law on the present topic. The third chapter deals with the characteristics and structuring of investment services. The chapter four characterises the investment services and activities and analyses the investment service reception and transmission of orders in relation to financial instruments. The chapter five is devoted to investment advice. The chapter six analyses the legal instruments of protection of the client as an investment services addressee. Finally, the draft of measures designed to increase the level of client protection is proposed. Within the whole thesis, the author presents his interpretation of the disputable questions of the present topic.

1 Thesis Summary Private Enforcement of EU Competition Law Zuzana Šimeková 1. Starting points and goals of the thesis The main goal of my thesis is the application of the ever-evolving contemporary issues of private enforcement of the EU competition law, its developments in the legislative area and the decision- making practice of the European Commission and the Court of Justice of the European Union (the ECJ) to the pharmaceutical sector area. As regards the functioning of competition rules, the pharmaceutical sector found itself in the cross-hairs of the European Commission fairly recently. Its efforts resulted in the Pharmaceutical Sector Inquiry Final Report of 8 July 2009 (the Final Report). The primary subject-matter of my thesis is the assessment of the competition relationship dynamic between the originator and generic pharmaceutical companies, especially the degree by which the conduct by the originator pharmaceutical companies can delay market entry by the generic pharmaceutical companies and thereby negatively affect the consumers by (among other things) limiting availability of cheaper drugs. Despite the expectations of legal practitioners and academia, the European Commission did not rule in the Final Report whether the discovered conducts constitute violations of the EU competition law. The...

The doctoral thesis focuses on the part of criminal proceedings in which the court adjudicates the injured person's private claims which arose in connection with a criminal act (so-called collateral proceedings). The importance of collateral proceedings lies in the fact that by using it the injured party may avoid time-consuming, financially as well as procedurally demanding civil proceedings. However, the institute of collateral proceedings comprises a number of specific issues since a criminal court adjudicates the private claims of the injured party in compliance with substantive law rules being outside of the scope of criminal law (mainly civil law and labour law regulations) but, still, within the framework of criminal proceedings. The basic source of the submitted thesis is the Czech legal order. However, it is not the only one taken into consideration. The doctoral thesis also contains comparative analysis of legal regulation of collateral proceedings from the point of view of the German and Swiss legal orders. Following the analysis of collateral proceedings de lege lata, as well as the comparison with foreign models I am submitting proposals for the improvement of legislation that could be used in connection with the planned recodification of the Czech Criminal Procedure.

Die Arbeit soll zeigen, dass es zu einer breiteren Durchsetzung von Schadensersatzansprüchen wegen kartellrechtswidrigem Verhalten eines eigenständigen Informationsanspruchs des Rechtsanwalts als Organ der Rechtspflege gegenüber der EU-Kommission und den deutschen Kartellbehörden bedarf, und zwar sowohl aus tatsächlicher Notwendigkeit, als auch auf Grund europarechtlicher und grundgesetzlicher Vorgaben. Anhand des europarechtlichen Effektivitätsgrundsatzes aus Art. 4 Abs. 3 EUV und des Rechts auf effektiven Rechtsschutz aus Art. 47 der EU-Grundrechtecharta bzw. des Justizgewährungsanspruchs als Ausfluss des Rechtsstaatsprinzips, Art. 20 Abs. 3 GG, wird erörtert, wie ein solcher Anspruch mindestens beschaffen sein muss. Die Untersuchung bestehender, sekundärrechtlicher und einfachgesetzlicher Dokumentenzugangs-, Auskunfts- und Akteneinsichtsansprüche ergibt, dass bereits nach geltender Rechtslage dem Rechtsanwalt ein Informationsanspruch gegenüber der Europäischen Kommission und den deutschen Kartellbehörden zusteht. Die Interpretation der betreffenden Tatbestände nimmt hierbei die europarechtlichen und grundgesetzlichen Vorgaben auf und bewegt sich im Rahmen zulässiger Auslegung. Daneben wird ein Vorschlag unterbreitet, wie der Informationsanspruch über die Mindestvorgaben hinaus ausgestaltet werden könnte. / The work reveals that a for a better private enforcement of competition law in the form of damages claims an independent right of information vis-à-vis the EU-Commission and the German Cartel Authorities for an attorney without a client and a mandate is needed. This need not only derives from the factual necessity but also from European primary law and the German Grundgesetz. In light of the European principle of effectiveness, Article 4 para. 3 TEU, and the right to effective judicial protection, Article 47 EU Charter of Fundamental Rights and Article 20 para. 3 German Grundgesetz respectively, the author develops the right and its boundaries. The examination of information rights and rights to access documents in EU secondary law and German law then shows that an independent right of information and access to documents for an attorney without a client and a mandate already exists if the law is interpreted in accordance with the EU primary law and the German Grundgesetz. The author further develops a recommendation as to how such an information right could be extended beyond its core that is determined by EU primary law and the German Grundgesetz.

Made available in DSpace on 2016-04-26T20:27:36Z (GMT). No. of bitstreams: 1 Renzo Gama Soares.pdf: 711346 bytes, checksum: facf3483b7543905f15fd5e5726fd4db (MD5) Previous issue date: 2008-06-24 / Strict liability, the one that doesn t need a negligent act to impose the damage doer the obligation to pay the victim for the damages caused, is getting more and more important in the judiciary system, since the end of he 19th century. Especially after the Civil Code of 2002, the analysis of this kind of torts became even more relevant for the Brazilian Law system because of the several cases in which it is applied, including especially the adoption of this system as a general clause statement. Because of this necessity, the present work intends to study the strict liability, especially concerning its axiological foundations, that for long are beyond the original idea of risk, and some microsystems where this kind of liability is applied. To accomplish this result, the paper was divided in two parts: the first one is used to study the fundaments of torts, since the private vengeance until the strict liability as we know nowadays; the second part is about some of the Microsystems that are not based on a negligent act to impose the damage doer the obligation to pay the victim for the damages caused in the Brazilian legal system. The study is done, as much as possible, in a comparative form with other foreign legislation. Some of them influenced the Brazilian legislator on the text of the 2002 Civil Code, but others just have a similar regulation on the matter, even if there is not any influence on Brazilian Civil Code. These comparative studies are done, as much as possible, based on foreign books that study local statutes, so we tried to avoid an interpretation of foreign legislation out of the country s cultural and social context / A responsabilidade civil objetiva, aquela que prescinde da culpa para sua análise e conseqüente imputação de obrigação de indenizar ao causador do dano, vem ganhando cada vez mais espaço no mundo jurídico, desde o final do século XIX. Especialmente com o advento do Código Civil de 2002, a análise desta espécie de responsabilidade passou a ser ainda mais relevante para o Direito brasileiro, em razão das inúmeras previsões deste tipo de responsabilização neste corpo legislativo, inclusive e especialmente com a adoção deste sistema por meio de uma cláusula geral. Em razão desta necessidade, o presente trabalho tem por objetivo analisar a responsabilidade civil objetiva, especialmente no tocante aos seus fundamentos axiológicos, que ultrapassam a originária hipótese de risco, e alguns microssistemas jurídicos em que tal espécie de responsabilidade é aplicada. Para tanto o trabalho foi dividido em duas partes: a primeira cuida da análise dos fundamentos da responsabilidade civil, desde a vingança privada até a responsabilidade objetiva dos tempos atuais; a segunda parte diz respeito especificamente a alguns microssistemas jurídicos que dispensam a culpa para a imputação civil dos danos no ordenamento jurídico brasileiro. A análise, sempre que possível, é feita de forma comparativa com outros ordenamentos jurídicos que influenciaram o legislador de 2002, ou apenas possuem regramento parecido, mesmo que não haja uma relação de influência na legislação brasileira. Tais análises comparadas são feitas, sempre que possível, com base em doutrinas estrangeiras que analisam os textos legais dos respectivos países, de forma a se evitar interpretação do texto legal estrangeiro fora do contexto cultural e social daquele país

O presente trabalho destina-se a examinar as perspectivas ao uso de meios extrajudiciais de resolução de conflitos para a composição de conflitos coletivos no Brasil. Para tanto, serão analisadas as principais características da negociação, mediação, conciliação e arbitragem, identificados os requisitos de admissibilidade para o uso de tais técnicas e explicitados os elementos a serem considerados no exame de adequação do uso de meios extrajudiciais. Além disso, serão examinadas as principais características dos direitos difusos, coletivos stricto sensu e individuais homogêneos, assim como as regras processuais pertinentes à legitimação e coisa julgada no processo coletivo. Mais adiante, o presente trabalho tentará sistematizar hipóteses sobre o cabimento e sobre a adequação das técnicas extrajudiciais para a resolução de conflitos que envolvem direitos coletivos. Ao final, será possível concluir que tais direitos podem e devem ser resolvidos por meio de técnicas extrajudiciais, em especial por meio da negociação, da conciliação e da arbitragem. / The following work aims at examining prospects in the use of alternative dispute resolution techniques in Brazilian class actions. To this end, it will, at first, analyze negotiation, mediation, conciliation and arbitration main characteristics. Also, admission criteria for each of these dispute resolution techniques will be identified and the elements that should be considered for the adequacy exam will be outlined. Further on, the three kinds of Brazilian class action and the main characteristics of each class procedures will be examined, with special concern to procedure laws pertaining legitimacy and res judicata. Moreover, the paper will systematically study the hypothesis in which extrajudicial conflict resolution techniques may be applied and the adequacy of their use in cases encompassing collective rights. Finally, in its conclusion, it will be demonstrated that extrajudicial techniques can be used to solve conflicts involving collective rights, mainly through negotiation, conciliation and arbitration.

Esta tese tem como tema o inadimplemento antecipado do contrato no direito civil brasileiro. O ponto de partida para o estudo consiste na análise de jurisprudência que originariamente utilizou a figura, desprovida de consagração legal expressa. Posteriormente, é examinada a doutrina. Diante deste material, propõe-se um modelo teórico para o entendimento do inadimplemento antecipado do contrato, ajustando-o às categorias básicas do direito das obrigações brasileiro. São apresentados seus pressupostos, elementos constitutivos e efeitos. No decorrer do trabalho, são abordados aspectos do compromisso de compra e venda, a relação obrigacional complexa, deveres acessórios e laterais, fim contratual, inadimplemento, culpa e imputabilidade, impossibilidade, perda da função social, exceção de contrato não cumprido, resolução, indenização e demanda de cumprimento. / This work has as its theme the anticipatory breach of contract in the Brazilian civil law. The starting point for the study is the analysis of cases that originally used the figure, devoid of explicit legal recognition. Subsequently, the doctrine is examined. Faced with this material, we propose a theoretical model for understanding the anticipatory breach of contract, adjusting it to the basic categories of Brazilian law of obligations. Their assumptions, constitutive elements and effects are presented. Throughout his work, aspects of purchase and sale, the complex obligatory relationship, accessories and side duties, contractual order, breach of contract, non-performance, responsability, frustration, loss of social function, termination, rescission, and action for damages.

This thesis addresses risks of multiple recovery, prejudice to legitimate interests of third parties, and inadequate consideration of the applicable law in shareholder claims in investment treaty arbitration. It challenges the application by investment tribunals of two basic premises: i) that shareholders are entitled to claim for damages vis-à-vis measures against the company in which they hold shares and ii) that ‘contract claims’ are to be distinguished from ‘treaty claims’. The central argument is that the failure to recognize substantive overlaps between shareholder treaty claims and contract claims risks more than one recovery, potentially prejudices third parties, and can lead to an incomplete application of the applicable law. The foundations of standing and the cause of action in shareholder treaty claims involve two complementary ideas of independence, i.e., independence of shareholder treaty rights vis-à-vis the local company’s contractual/national law rights and independence of treaty claims vis-à-vis contract claims. However, the substance of shareholder treaty claims, defined as the state measure and particularly the losses involved, is often identical to or at least overlaps considerably with related contract/national law claims. Prevailing ideas on shareholder standing and the cause of action in international investment law have provided useful conceptual tools for jurisdictional determinations. Yet they have not allowed tribunals and the literature to fully consider the implications of shareholder indirect claims. The thesis argues, first, that investment tribunals should acknowledge substantive overlaps between contract and treaty claims. Second, shareholder claims may be inadmissible when such overlap exists and there is a risk of double recovery or prejudice to third parties. Third, the substantive coincidence of treaty and contract claims calls for an integrated approach to the applicable law, where proper weight is given not only to IIA provisions but also to general international law and the national law governing the investment.

Made available in DSpace on 2016-04-26T20:19:26Z (GMT). No. of bitstreams: 1 Deborah Regina Lambach Ferreira da Costa.pdf: 721094 bytes, checksum: 08a6d037883f68580c4820a74a74bd27 (MD5) Previous issue date: 2010-09-23 / In a globalized world, owners of image rights are more vulnerable to damages for which compensation may be sought. New technologies, the web, TV, broadcasting channels and mechanical systems in general, which disseminate information in real time making it accessible to millions of people, increase this exposure to defamation. Both legal entities governed by private and public law that own rights of publicity consistent with their legal status run the risk of having their images damaged. Items V and X of article 5 of the Brazilian Constitution provide that these entities are entitle to compensation for libel and slander, or moral damages in a literal translation from Portuguese. Detaching the concept of libel and slander from pain and suffering , the Brazilian Superior Court of Justice published case law summary [ Súmula ] No. 227 which resulted in the application of article 10 of the European Convention on Human Rights to prevent abuse of the freedom of expression and ensure maximum protection to reputation. This study is an in-depth analysis of image rights based on the initial assumption that these are autonomous rights of publicity entitled to protection both at constitutional and infraconstitutional level. The compensation for image damages leaves formal positivism aside to follow the paradigm shift introduced by the Constitution of Brazil ratified in 1988 when social, ethical and operational principles -- even within the scope of civil liability -- where brought to light allowing the interpretation of the Civil Code to be consistent with the concepts of equity and justice in an attempt to foster ethics and compassion in society / Na era globalizada, o titular do direito à imagem está mais vulnerável a sofrer um dano ressarcível. O avanço da tecnologia, a Internet, a televisão, os meios de radiodifusão e o sistema mecanizado em geral, que propagam a informação em tempo real, acessível a milhões e milhões de outros sujeitos, expõe as pessoas cada vez mais ao vilipêndio. Tanto as pessoas jurídicas de direito privado, como as de direito público, podem ser vítimas de dano à imagem, porque titulares de direitos da personalidade compatíveis com a sua natureza jurídica. Ademais, lhes é assegurada a reparação do dano moral nos incisos V e X do artigo 5º da Constituição Federal. A jurisprudência, desapegando-se do conceito de dano moral como o dano da alma , editou a Súmula n. 227 do Superior Tribunal de Justiça. Passou-se a interpretar o artigo 10 da Convenção Europeia de Direitos Humanos de modo a coibir abusos do direito de livre expressão na proteção da reputação em toda a sua amplitude. De modo que o direito à imagem será analisado com profundidade, tomando-se como ponto de partida a afirmação de que é um direito da personalidade autônomo, recebendo proteção constitucional e infraconstitucional. A reparação do dano à imagem aparta-se do rigor formal do positivismo, acompanhando a mudança de paradigma trazida pela Constituição Federal de 1988, que aflorou, inclusive no âmbito da responsabilidade civil, princípios como da socialidade, da eticidade e da operabilidade, com vistas a dar interpretação e subsunção às normas do Código Civil consentâneas com a equidade e a justiça, em prol de uma sociedade mais ética e fraterna