A presente dissertação tem por objeto a análise do poder normativo da Comissão de Valores Mobiliários, que pautar-se-á pelo estudo da Teoria Geral do Direito. Para isso, contribuições de diversos campos do conhecimento serão utilizadas, tais como a teoria analítica da norma, a lógica deôntica, a teoria da linguagem, bem como aportes advindos de outras áreas do conhecimento, como da ciência econômica. Ao longo do trabalho, procuraremos responder a três perguntas chaves que, para o que aqui nos propusemos, serão de grande valia na fixação dos limites a serem observados pela Comissão de Valores Mobiliários no exercício de seu poder normativo. A primeira pergunta que responderemos refere-se à finalidade da regulação no mercado de capitais. Para isso, perquiriremos os motivos que ensejaram a concepção da Comissão, bem como o que se buscava por meio de sua criação. Com isso, demonstraremos que a Comissão de Valores Mobiliários nasce em um ambiente de crise, no qual se buscava restaurar a credibilidade e a segurança do mercado de capitais, por meio da criação de um órgão disciplinador especializado. A segunda pergunta que nos propusemos a responder, nos remete à natureza jurídica da Comissão de Valores Mobiliários. Abordaremos, para isso, o tratamento dado pela doutrina aos órgãos reguladores para, ao final, justificar que sua natureza de autarquia sob regime especial a ela conferiu status de agência reguladora. Por fim, a última questão busca tratar dos limites legais e constitucionais a serem observados pela Comissão de Valores Mobiliários no exercício de seu poder normativo. Para isso, verificaremos as competências, atribuições e deveres que foram por lei conferidos à Comissão, de forma a concluir que se está diante de um órgão de competência híbrida. Explica-se. Nas situações expressamente previstas nas Leis n.o 6.385/1976 e n.o 6.404/1976, caberá à Comissão fazer uso de seu poder regulamentar, a fim de, por meio da operacionalização dos comandos legais, dar o fiel cumprimento às regras ali contidas, nos termos do espírito de sua criação, veiculado nos incisos do artigo 4o, da Lei n.o 6.385/1976, bem como no quanto disposto na Constituição Federal. De outra banda, nos casos que não aqueles expressamente previstos nas Leis n.o 6.385/1976 e n.o 6.404/1976, mas ainda assim intrínseca e legalmente ligados ao mercado de capitais, poderá a Comissão de Valores Mobiliário, no uso de sua competência suplementar reguladora, inovar no sistema, de forma a integrar lacunas na ausência de norma específica legal, a fim de conferir ao mercado eficiência, e a seus agentes segurança jurídica. O exercício desta competência suplementar, a exemplo da competência regulamentar, será também pautado pelos mesmos limites do artigo 4o, da Lei n.o 6.385/1976 e da Constituição Federal. / The present dissertation aims to analyze the normative power of the Brazilian Securities and Exchange Commission (\"Comissão de Valores Mobiliários\") from a Jurisprudential point of view, which means an application of several epistemic tools such as the analytical theory of the norm, deontic logic, philosophy of language and economics in order to accomplish this academic enterprise. There are three key issues to define the threshold of CVMs normative power. The first one is what are capital market regulation main goals and the reasons that lead to the creation of CVM and its mission. The second one is the actual legal status of CVM as a special autarquia and regulatory agency. Finally the statutory and constitutional limits to the normative powers of CVM are analyzed to realize it has a hybrid normative power: partly creating norms to give effectiveness to some sections of Laws n.o 6.385/1976 and n.o 6.404/1976, according to specific statutory and constitutional dispositions; and partly acting as a typical regulatory agency to create independent norms to ensure market efficiency and legal certainty.

In early December 2006, the Fijian military seized power in a coup led by the Armed Forces commander Commodore Frank Bainimarama. It was a coup long expected, and Fiji’s fourth since 1987. Internationally, the response was swift imposing sanctions and removing or delaying international aid programmes. This has a potentially significant impact on Fiji because it is one of the largest per capita recipients of developmental aid funding in the world. However, it may also have little impact because, despite such assistance, the Fijian GDP has stagnated with an average growth of under 1% for the last 20 years. Other developmental indicators are also bleak. This thesis thus examines the dichotomy between Fiji’s ODA and its apparent inability to arrest the decline of the Fijian lifestyle and economy. However, to review all international developmental programmes across all sectors of Fijian society, while maintaining contemporary relevance and coherency, is untenable. Therefore, the thesis will focus on the European Union and its external relations with Fiji. The EU is one of the most influential partners for Fiji and is often overlooked by scholars, allowing this thesis to make a valuable contribution to developmental studies in the pacific region. The thesis has selected and examines four sectors of Fijian society, that of the Economy, Governance, Sugar, and Education sectors. This is because they are the sectors that the European Union is presently devoting most attention. Therefore, these areas best illustrate Fijian reaction to the importance and effectiveness of EU involvement. Overall, the thesis intends to demonstrate both the efficacy and the attitudes of local representatives to foreign aid programmes, and ultimately provide a unique ‘inside looking out' perspective not typical of publications about Fiji.

This dissertation endeavours to address an identified gap in literature concerning the relationship between New Zealand and the European Union (EU) in the field of research, science and technology (RS&T). Examination of the partnership begins with the creation of the Science and Technological Cooperation (STC) Arrangement in 1991 and comes to a close in 2008, following the Arrangement’s ‘upgrade’ to an STC Agreement on 16 July. During this time, the intensification of the EU’s activities in RS&T is evident. The Seventh Framework Programme (FP7) currently constitutes the most internationalised Programme to date. Identifying the complementary nature of New Zealand and EU research priorities thus suggests that now, more than ever, the New Zealand research community stands to gain from participation within such an inclusive venture. Aiming to assess the current status of New Zealand-EU research collaboration, the research identifies a number of recurring themes, both positive and negative, that influence the nature of the RS&T relationship. These themes focus on problems concerning visibility within the EU, geographical isolation from this important market, an absence of targeted domestic funding for New Zealand-EU RS&T collaboration and the unwieldy bureaucratic process of the Framework Programme. The research also determines the importance of both ‘official’ and ‘informal’ mechanisms’ in combating the outlined collaborative bottlenecks. Taking these themes into account, the thesis ultimately looks to provide recommendations concerning the future of New Zealand-EU engagement in this field.

La politique de coopération au développement représente une part très importante de l'action extérieure de l'Union européenne, ne serait-ce qu'en termes budgétaires. Cette thèse s'interroge sur la manière dont les valeurs inscrites dans les traités européens (démocratie, droits de l'homme et Etat de droit) sont promues par le biais de la coopération au développement. Pour ce faire, le concept de « puissance normative » (Manners, 2002) a été mobilisé comme idéaltype afin d'analyser la façon dont l'Union conduit sa politique de coopération au développement. La politique de coopération au développement est étudiée dans sa dimension globale, à travers l'analyse des méthodes européennes, et dans sa dimension concrète, c'est-à-dire par l'étude des projets de terrain financés par l'UE dans ses pays partenaires. Le cas des projets de soutien à la réforme pénitentiaire a été choisi, afin de comprendre comment se déroule la diffusion des normes sur le terrain, dans un domaine régalien, et dans lequel l'UE ne dispose pas d'une compétence interne. En définitive, l'UE ne dispose pas d'une spécificité normative permettant de la distinguer des autres acteurs du système international en tant que puissance normative. La coopération au développement apparaît subordonnée à la politique extérieure, les préoccupations stratégiques l'emportant alors sur l'objectif de diffusion des normes. Sur le terrain, les projets financés par l'UE répondent à des considérations bureaucratiques portées par les délégations de l'UE. Plus qu'un moyen de diffusion des normes, les projets sont considérés par les agents européens comme un moyen de faire vivre la coopération, quels que soient, au final, leurs résultats. Reste alors l'espace d'échange qu'auront ouvert de tels projets, permettant aux experts étrangers et aux fonctionnaires de l'Etat bénéficiaire de confronter leurs pratiques administratives, et d'envisager, éventuellement, de nouvelles « solutions » d'action publique. / The European Union's development cooperation policy represents an important part of its external action, not least in budgetary terms. This thesis deals with the way soft norms (democracy, human rights and the rule of law) are promoted through development cooperation. The concept of « normative power » (Manners, 2002) is used as an idealtype to analyze the way the Union handles its development cooperation policy. The development cooperation policy is studied in its general dimension, through the analysis of European methods, and in its concrete dimension, i.e. through the field study of projects funded by the EU in partner countries. The case of projects supporting penitentiary reform was selected, as it allowed us to study the diffusion of norms on the ground in an area of sovereignty. Ultimately, the EU doesn't reveal much normative uniqueness compared to the other actors of international relations. The qualification of « normative power » doesn't seem appropriate for the EU as an international actor. The development cooperation policy is dependent on the external policy, and strategic concerns prevail over the diffusion of norms. On the ground, the EU delegations consider the development projects as a bureaucratic exercise, aimed at embodying the relation of cooperation, whatever the final results of the projects. Still, these projects create a forum where foreign experts and civil servants from the beneficiary state can exchange on their administrative practices and potentially imagine new public policy « solutions ».

Through the use of political conditionality, the EU has exercised what many have chosen to call an international normative power. The fast democratisation process of the central European countries that joined the EU in 2004 has often been attributed to the force of EU’s normative power. Here, the core of the political conditionality was found in a promised future membership – acting as a reward in exchange for democratic reforms. The new European Neighbourhood Policy however, initiated briefly after the 2004 enlargement, gave rise to new prerequisites to the Unions new neighbours and this time enlargement fatigue prevailed in the EU policy. This case study examines and assesses the ability of the EU to exercise its normative power on Ukraine through the new conditions set up by the European Neighbourhood Policy, were a membership perspective neither is promised nor ruled out. The result show that the effective conditions for the conditionality are favourable and that a good progress on the areas of democracy, rule of law and human rights has been achieved. Although difficult to prove, I argue that this progress most probably is partly due to EU’s normative power on Ukraine.

A presente dissertação tem por objeto a análise do poder normativo da Comissão de Valores Mobiliários, que pautar-se-á pelo estudo da Teoria Geral do Direito. Para isso, contribuições de diversos campos do conhecimento serão utilizadas, tais como a teoria analítica da norma, a lógica deôntica, a teoria da linguagem, bem como aportes advindos de outras áreas do conhecimento, como da ciência econômica. Ao longo do trabalho, procuraremos responder a três perguntas chaves que, para o que aqui nos propusemos, serão de grande valia na fixação dos limites a serem observados pela Comissão de Valores Mobiliários no exercício de seu poder normativo. A primeira pergunta que responderemos refere-se à finalidade da regulação no mercado de capitais. Para isso, perquiriremos os motivos que ensejaram a concepção da Comissão, bem como o que se buscava por meio de sua criação. Com isso, demonstraremos que a Comissão de Valores Mobiliários nasce em um ambiente de crise, no qual se buscava restaurar a credibilidade e a segurança do mercado de capitais, por meio da criação de um órgão disciplinador especializado. A segunda pergunta que nos propusemos a responder, nos remete à natureza jurídica da Comissão de Valores Mobiliários. Abordaremos, para isso, o tratamento dado pela doutrina aos órgãos reguladores para, ao final, justificar que sua natureza de autarquia sob regime especial a ela conferiu status de agência reguladora. Por fim, a última questão busca tratar dos limites legais e constitucionais a serem observados pela Comissão de Valores Mobiliários no exercício de seu poder normativo. Para isso, verificaremos as competências, atribuições e deveres que foram por lei conferidos à Comissão, de forma a concluir que se está diante de um órgão de competência híbrida. Explica-se. Nas situações expressamente previstas nas Leis n.o 6.385/1976 e n.o 6.404/1976, caberá à Comissão fazer uso de seu poder regulamentar, a fim de, por meio da operacionalização dos comandos legais, dar o fiel cumprimento às regras ali contidas, nos termos do espírito de sua criação, veiculado nos incisos do artigo 4o, da Lei n.o 6.385/1976, bem como no quanto disposto na Constituição Federal. De outra banda, nos casos que não aqueles expressamente previstos nas Leis n.o 6.385/1976 e n.o 6.404/1976, mas ainda assim intrínseca e legalmente ligados ao mercado de capitais, poderá a Comissão de Valores Mobiliário, no uso de sua competência suplementar reguladora, inovar no sistema, de forma a integrar lacunas na ausência de norma específica legal, a fim de conferir ao mercado eficiência, e a seus agentes segurança jurídica. O exercício desta competência suplementar, a exemplo da competência regulamentar, será também pautado pelos mesmos limites do artigo 4o, da Lei n.o 6.385/1976 e da Constituição Federal. / The present dissertation aims to analyze the normative power of the Brazilian Securities and Exchange Commission (\"Comissão de Valores Mobiliários\") from a Jurisprudential point of view, which means an application of several epistemic tools such as the analytical theory of the norm, deontic logic, philosophy of language and economics in order to accomplish this academic enterprise. There are three key issues to define the threshold of CVMs normative power. The first one is what are capital market regulation main goals and the reasons that lead to the creation of CVM and its mission. The second one is the actual legal status of CVM as a special autarquia and regulatory agency. Finally the statutory and constitutional limits to the normative powers of CVM are analyzed to realize it has a hybrid normative power: partly creating norms to give effectiveness to some sections of Laws n.o 6.385/1976 and n.o 6.404/1976, according to specific statutory and constitutional dispositions; and partly acting as a typical regulatory agency to create independent norms to ensure market efficiency and legal certainty.

The purpose with this essay was to examine how the European Union is working to transfer norms to states they signed an agreement with and provide support for in frame of the Barcelona process and the Tacis programme. The theory which we used was Ian Manners (PhD in Political Science) theory of "the EU as a unique normative power". The aim was to examine whether the EU - which Manners mean - has had a normative power to influence states to change. We used a qualitative approach through the use of a multiple case study and qualitative text and content analysis. The States which formed the basis of our study were within the Barcelona Process; Morocco and Tunisia as well as Azerbaijan and Armenia funded by the Tacis programme. To this end, we were to answer the following questions: Can we identify transfer of norms in the written bilateral agreements with these states, and are there any normative demands? Can we on the basis of our study answer whether the EU holds a normative power to influence these countries to change, in accordance with the normative theory? The agreements that we studied was the bilateral agreements that the EU signed with these States. In order to make Manners five norms (peace, freedom, democracy, rule of law and human rights), which he argues that EU is based on measurable; we used the Freedom House freedom index, and also by a historical study the development of the country. The results we found were the following; in all the studied bilateral agreements we found clear - but to varying degrees - the transfer of norms. Although it differs in degree of regulatory requirements and also in the formulation of how the country is committed to abide by and comply with the normative requirements differ according to the agreements, we can find the so-called "carrot and stick relationship" that Manners believes that the EU use in the transfer of norms. Three of the states that we investigated under the Freedom House freedom index did not developed in a democratic way did, and the positive steps taken cannot be directly traced back to the EU's efforts. It may also be due to other States or other forces influence. We can’t, through our study confirm that Manners is right in these states but we can’t either rule out the possibility that the EU through the written agreements has changed the norms of the state in question, although progress seems to go very slowly.

ABSTRACT The EU as a normative power in Belarus – a critical case By Anna Johnsson University of Växjö School of Social Sciences Spring semester 2007 The European Union’s identity is a much debated topic. Some say it’s a unique actor in the international arena because of the different tools it has at its disposal. Ian Manners claims that the EU is what he calls a normative power. A normative power has the possibilities to influence other actors’ perceptions of what is normal and tries to affect actors’ behavior by diffusing values. Manners defines nine different values that the EU exports and also in what ways it is done. The purpose of this thesis is to examine if and how the EU acts as a normative power in Belarus. Belarus was chosen because it is said to be the last dictatorship left in Europe. It was also chosen as a critical case for the EU’s normative power. To be able to fulfill the purpose of the thesis I have worked with two main questions: • What are the normative values the EU is exporting through its contacts with Belarus? • In what ways are these values diffused? The questions were answered by examining the official EU strategy for Belarus and I found that the values the EU is exporting to Belarus mainly are democracy, human rights, rule of law and sustainable development. Main ways of diffusion were informational diffusion, procedural diffusion and the cultural filter. Keywords: Normative power, diffusion of values, the European Union, Belarus

This research aims to understand the nature and underlying motives of the EU’s relations with the Community of Latin American and Caribbean States (CELAC). The frequently claimed normative role of the EU will be examined in the context of the EU- CELAC summit relations, and the cases should be outlined that cause a switch to Realpolitik behavior. Thereby, the EU’s engagement in regional integration and interregional cooperation will be illustrated and EU-CELAC cooperation areas concerning the fight against poverty and social inequality, the consolidation of good governance and the promotion of peace, and lastly, the regional integration, trade, and economic cooperation are analyzed to reach an understanding of their normative or Realpolitik content. The research illustrates the ways of understanding the EU’s normative behavior and power, and the nature of the cooperation between the EU and the CELAC, whereby it should be shown that the EU acts according to normative consideration and only in few exceptions turns towards Realpolitik behavior.

This paper presents the role theory and the role conception power for peace which was created for the European Union on the basis of its values, norms and rules. Five criteria that define power for peace were applied to the peace mission EUFOR Althea in Bosnia and Herzegovina. After verification of all criteria it was proved that the EU has acted as power for peace in Bosnia and Herzegovina and it has therefore fulfilled its role conception.