京都大学 / 0048 / 新制・課程博士 / 博士(文学) / 甲第18724号 / 文博第682号 / 新制||文||617(附属図書館) / 31675 / 京都大学大学院文学研究科現代文化学専攻 / (主査)准教授 伊勢田 哲治, 教授 伊藤 和行, 准教授 出口 康夫 / 学位規則第4条第1項該当 / Doctor of Letters / Kyoto University / DGAM

近年來國內資本市場，因股票市場的熱絡交易而帶動公司及個人的理財風氣，投資標的種類不多及籌碼太少，一直是資本及股票市場正常發展的障礙之一，而證券主管機關亦深知，欲減少國內金融市場的投機色彩及暴漲暴跌的特性，唯有從增加供給面著手。因此，自民國七十八年起，主管機關即積極推介新的金融商品，首先推出的就是可轉換公司債(Conver-tible bond)，國內首宗正式發行可轉換公司債的公司是遠東紡織，之後有很多上市公司跟進，而推出後上市公司及投資人的反應均不錯，所以擬推出認股權證(Warrants)此一新產品。所謂認股權證是一種有價證券，其持有者有權在預定行使期間內，按認股契約所規定行使價格，向認股權證發行公司認購一定數量股票；而可轉換公司債是指在約定之一定期間內，以約定轉換條件，得轉換為可轉換公司債發行公司之普通股股票的一種公司債。認股權證如果與公司債搭配發行，與可轉換公司債同樣都賦予債權人轉變為股東之選擇權，兼具有公司債及股票性質。在國外的金融市場，可轉換公司債與認股權證是頗為流行且發展已臻成熟的產品，能提供更多公司籌措資金的管道及投資者的機會，但國內至今尚未推出認股權證，所以在我國發行可轉換公司債的熱潮正方興未艾之時，盼能參照國內外可轉換公司債及國外認股權證的法令規定，使國內認股權證能早日實施，況且此兩種新金融商品之投資性質很類似，相信此兩種商品在國內推出，對國內金融市場的發展有其正面的貢獻，因而引發本研究的動機。我國學術界近年來，亦有不少人士投入在認股權證及可轉換公司債的相關題材上進行研究，但這些研究多偏重在敘述與整理方面，而在評價模式及相關法律問題方面較為缺乏，因此本研究將著重此兩種產品在理論訂價模型與實務法律問題方面做深入探討。本人採用 Black & Scholes選擇權評價模式為基礎，再就其稀釋效果加以調整，則 Black & Scholes模型便可用來評價認股權證與可轉換公司債。國內發行可轉換公司債的相關法令規章則見諸於公司法、證券交易法、上市發行公司申請募集與發行轉換公司債處理準則內，本研究將詳細分析之。至於發行認股權證之相關法律問題是我們探討的重點，目前雖然證交法有認股權證的修正草案，但對於發行公司、投資人的權益尚未臻全，因而為了順利推動此類商品，宜更深入訂定管理辦法，並與可轉換公司債的法令關係比較，使兩種產品的市場受到保護並能欣欣向榮。

The European Arrest Warrant (EAW) is the first and most important measure in the field of European criminal law for the purpose of implementation of the principle of mutual recognition of judicial decisions. The Framework Decision which introduced it was adopted on 13 June 2002 following point 35 of the Conclusions of the Tampere European Council of 15-16 October 1999 (aiming at abolishing the formal extradition procedure among the Member States of the European Union). The Warrant is a judicial decision issued by a Member State, which requires the arrest and surrender of a person by another Member State, for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order. It is issued when the person whose return is sought is accused of an offence for which the law establishes a maximum of at least one year in prison, or when the person has already been sentenced to a prison term of at least four months. The research aims at exploring the context in which the EAW was adopted, as part of the mutual recognition agenda. This will be done through an analysis of the substantive and procedural legal aspects of its implementation. Is mutual recognition correctly implemented? While some authors hail it as a giant leap towards a new system of inter-state judicial cooperation, others view it as a danger for the traditional principles of criminal law as developed in Europe in the last centuries. The thesis will look at the functioning of the EAW in the EU criminal law area and at its implications for national sovereignty as well as individual rights, with particular reference to the radical modification of the principles of classical extradition law. An evaluation of its effectiveness and its real importance will be carried out from both an international and a European law point of view.

European arrest warrant represents an innovative criminal procedure instrument at the European level that has significantly helped the Member states of the European Union to effectively prosecute cross-border crime. The aim of my diploma thesis is to describe and analyze the European arrest warrant as a legal basis of surrender procedure among the Member states of EU. The description of this institute is not the only thing to be presented to the reader, the thesis also proposes a critical view on using it. The thesis is divided into five chapters. The introductory chapter is an analysis of the traditional international judicial cooperation in criminal matters and its particular types, mainly the extradition, which is important for a consecutive explanation of surrender procedure. After a brief theoretical part, in the second chapter author focuses on the evolution and the process of the European judicial cooperation in criminal matters, starting with the opening of the external borders of the EU regarding the Schengen Agreement in 1985, mentioning the important Maastricht and Amsterdam Treaties and the last important change of the Treaties of the European Union brought by the Lisbon Treaty. Corpus Iuris, a prototype of a criminal law code of the EU, will be as well mentioned. Whereas the third...

Resumé The European Arrest Warrant The aim of my diploma thesis is to analyze the Framework Decision of 13 of June on the European Arrest Warrant and the surrender procedures between Member States (2002/584/JHA), next as "FWD", and how it has contributed to the creation of new simplified and more effective system of extradition of criminals among the Member States of the European Union. The historical development of international judicial cooperation in criminal matters and the extradition procedure will be discussed first in order to understand the need for a new solution for handling with the new forms of organised cross boarder crime in the European Union that were brought by the introduction of the principle of free movement of persons and the abolition of boarder checks after the Schengen Agreement. This will lead us to the critical analysis of fundamental principles on which the European Arrest warrant is based, its practical application by the judicial authorities in different Member States and core problematic issues that the daily practise of surrender procedure is nowadays facing. The possible solutions for such questions will be presented, not only on the state but also on the Union level. A part of my research is also devoted to the transposition of the FWD into the Czech legal order and...

Criminal warrant represents a decision in criminal matters which is also special manner of criminal procedure. A single judge is empowered to issue a criminal warrant without trying the matter in the main trial if the facts are reliably proved by evidences. It is regulated by the section 314e and following of the Criminal Procedure Code. It diverse from regular criminal proceeding, because it is in fact a way of simplified and written procedure. These characteristics are also the reasons why criminal warrant is criticized by professionals. Such a diversion from regular criminal proceeding is being called as a violation of right to a fair trial by many authors. Considering such institute from the point of view of basic principles of criminal proceeding, including right to fair trial, emerge in each of six chapters of this thesis, while it forms a crucial and final part of this thesis. At the beginning is a criminal warrant introduced as a decision in a criminal matters, a special manner in criminal proceeding and diversion of criminal procedure. In order to understand applicable legal regulation of criminal warrant which is described in chapter three, the second chapter is designated to historical review. In the fourth chapter of this thesis I deal with rights of appeal, including a statement of...

Os estudos sobre a diversidade cultural na Organização do Conhecimento estão imbricados na temática do local/global. Em uma sociedade da informação globalizada, aspectos culturais e éticos adquirem grande relevância nas discussões sobre as implicações da utilização de sistemas de organização do conhecimento em escala global/local. Enquanto produtos culturais, os sistemas de organização do conhecimento expressam valores, que podem ser analisados do ponto de vista das garantias sobre as quais tais sistemas se constituem. As garantias estão sempre presentes em sistemas de organização o conhecimento, embora nem sempre sejam aplicadas de modo consciente e sistemático, ou mesmo apresentadas de modo transparente para os usuários dos sistemas. Desse modo, o objetivo desta pesquisa é analisar o conceito de garantias como ferramenta teórico-metodológica que, em suas diversas formas, pode contribuir para a incorporação da diversidade cultural às práticas da Organização do Conhecimento. Parte da hipótese de que formas de garantias estão sendo desenvolvidas e/ou reformuladas para permitir a elaboração de sistemas organização do conhecimento que incorporem a diversidade cultural como valor ético. Discute os conceitos de cultura, diversidade cultural, globalização e sociedade da informação como elementos-chave em estudos voltados para as dimensões cultural e ética da Organização do Conhecimento. Discute os pressupostos teóricos dos conceitos de garantia, garantia literária, garantia cultural e garantia ética. Identifica demais formas de garantias propostas na literatura da área para verificar o contexto de uso das garantias, a precisão conceitual dos termos e identificar suas possíveis inter-relações por meio da análise de artigos publicados em periódicos acadêmicos e da construção de um glossário com os termos identificados. Verifica que as discussões de conceitos já estabelecidos, como os de garantia cultural e garantia do usuário, e a formulação de outras garantias, tais como a garantia autopoiética ou a garantia do ponto de vista podem ser relacionadas à incorporação da diversidade cultural às práticas da Organização do Conhecimento. / Research about cultural diversity in Knowledge Organization is connected to the theme local/global. In a globalized information society, cultural and ethical aspects come to the fore in discussions about the implications of using knowledge organization systems in a global/local scale. As cultural products, knowledge organization systems embody values which can be analyzed from the standpoint of the warrants on which they are based. Warrants are always present in knowledge organization systems, even though they are not always applied consistently and systematically, or even made transparent to the users of such systems. Thus, the objective of this research is to analyze the concept of warrants as a theoretical and methodological tool which, in its various forms, may contribute to the integration of cultural diversity to knowledge organization practice. The research is based on the hypothesis that forms of warrant are being developed and/or reconceptualized to allow for the design of knowledge organization systems in which cultural diversity is integrated as an ethical value. It discusses the concepts of culture, cultural diversity, globalization and information society as key elements in research about the ethical and cultural dimensions of Knowledge Organization. It discusses the theoretical framework of the concepts of warrant, literary warrant, cultural warrant and ethical warrant. It identifies other forms of warrant in the literature to analyze their context of use, their conceptual accuracy and potential inter-relations through a survey of the terms in conceptual papers to write a glossary. It was noted that research about more established concepts, such as cultural warrant and user warrant, and the development of other warrants, such as autopoietic warrant or viewpoint warrant are related to the integration of cultural diversity in knowledge organization practice.

Made available in DSpace on 2016-04-26T20:22:19Z (GMT). No. of bitstreams: 1 Eric de Assis Santos.pdf: 744247 bytes, checksum: a267dc1862574c07e5204d1c0241648c (MD5) Previous issue date: 2013-11-07 / The present work being performed is based on the warrants of criminalization, the study of Military Criminal Code Article 205, and its relation to Federal Law No. 8072/90, exploring all the aspects necessary to ensure that changes aimed at the cataloguing of heinous crimes are carried out. The research has been divided into eight parts. In the first part, we made a brief statement about legislation, military justice in Brazil and within the world, inserting our research in the current reality of Military Law, which has been ignored by our representatives, specifically the Legislative Power. Following this contextualization, we cover general aspects concerning homicidal crimes, including its elements, jurisdictions, legal objectives and certain peculiarities related to Military Justice. The third part of our research has been devoted to the classification and differentiation of military crime in relation to common crime, dealing with the diversity of denominations used by the doctrine, addressing the conditions and concepts of proper/improper military crime. Chapters four, five and six adress the warrants of criminalization, the manner the subject is dealt in Brazil and on Compared Law. Equality Principle is the subject developed on the chapter seven. The final section of the paper discusses various issues arisen in our observation of the Heinous Crimes Law, including specific kinds of homicide, however, murder in the first degree of Military Criminal Code was not found, existing insufficient protection of a warrant criminalization / O presente trabalho possui como cerne os mandados de criminalização, o estudo do artigo 205 do Código Penal Militar e a sua relação com a Lei n°8072/90, explorando todos os aspectos necessários para que sejam realizadas mudanças objetivando a alteração do rol de crimes hediondos. A pesquisa foi dividida em oito partes. Primeiramente, fizemos um breve relato sobre a legislação e a justiça militar no Brasil e no mundo, inserindo a dissertação na realidade em que encontramos o Direito Militar, isto é, ignorado pelos nossos representantes, principalmente pelo Poder Legislativo. Após esta contextualização, cuidamos dos aspectos gerais do crime de homicídio, abrangendo seus elementos, competência, objeto jurídico e algumas peculiaridades referentes à Justiça Castrense. Na terceira parte, dedicamos grande atenção para classificação e diferenciação do crime militar em relação ao crime comum, para isto, tratamos das diversas denominações utilizadas pela doutrina, enfrentando os conceitos de crime militar próprio, impróprio etc. Os capítulos quatro, cinco e seis tratam dos mandados de criminalização, o modo como o tema é enfrentado no Brasil e no Direito Comparado. Princípio da Igualdade é o tema que o capítulo sétimo cuida. Na parte final do trabalho, discutimos várias questões que surgem ao observarmos que na Lei de Crimes Hediondos existe uma série de crimes graves, inclusive espécies de homicídios, mas não se encontra o homicídio doloso do Código Penal Militar, existindo uma proteção insuficiente do mandado de criminalização

Os estudos sobre a diversidade cultural na Organização do Conhecimento estão imbricados na temática do local/global. Em uma sociedade da informação globalizada, aspectos culturais e éticos adquirem grande relevância nas discussões sobre as implicações da utilização de sistemas de organização do conhecimento em escala global/local. Enquanto produtos culturais, os sistemas de organização do conhecimento expressam valores, que podem ser analisados do ponto de vista das garantias sobre as quais tais sistemas se constituem. As garantias estão sempre presentes em sistemas de organização o conhecimento, embora nem sempre sejam aplicadas de modo consciente e sistemático, ou mesmo apresentadas de modo transparente para os usuários dos sistemas. Desse modo, o objetivo desta pesquisa é analisar o conceito de garantias como ferramenta teórico-metodológica que, em suas diversas formas, pode contribuir para a incorporação da diversidade cultural às práticas da Organização do Conhecimento. Parte da hipótese de que formas de garantias estão sendo desenvolvidas e/ou reformuladas para permitir a elaboração de sistemas organização do conhecimento que incorporem a diversidade cultural como valor ético. Discute os conceitos de cultura, diversidade cultural, globalização e sociedade da informação como elementos-chave em estudos voltados para as dimensões cultural e ética da Organização do Conhecimento. Discute os pressupostos teóricos dos conceitos de garantia, garantia literária, garantia cultural e garantia ética. Identifica demais formas de garantias propostas na literatura da área para verificar o contexto de uso das garantias, a precisão conceitual dos termos e identificar suas possíveis inter-relações por meio da análise de artigos publicados em periódicos acadêmicos e da construção de um glossário com os termos identificados. Verifica que as discussões de conceitos já estabelecidos, como os de garantia cultural e garantia do usuário, e a formulação de outras garantias, tais como a garantia autopoiética ou a garantia do ponto de vista podem ser relacionadas à incorporação da diversidade cultural às práticas da Organização do Conhecimento. / Research about cultural diversity in Knowledge Organization is connected to the theme local/global. In a globalized information society, cultural and ethical aspects come to the fore in discussions about the implications of using knowledge organization systems in a global/local scale. As cultural products, knowledge organization systems embody values which can be analyzed from the standpoint of the warrants on which they are based. Warrants are always present in knowledge organization systems, even though they are not always applied consistently and systematically, or even made transparent to the users of such systems. Thus, the objective of this research is to analyze the concept of warrants as a theoretical and methodological tool which, in its various forms, may contribute to the integration of cultural diversity to knowledge organization practice. The research is based on the hypothesis that forms of warrant are being developed and/or reconceptualized to allow for the design of knowledge organization systems in which cultural diversity is integrated as an ethical value. It discusses the concepts of culture, cultural diversity, globalization and information society as key elements in research about the ethical and cultural dimensions of Knowledge Organization. It discusses the theoretical framework of the concepts of warrant, literary warrant, cultural warrant and ethical warrant. It identifies other forms of warrant in the literature to analyze their context of use, their conceptual accuracy and potential inter-relations through a survey of the terms in conceptual papers to write a glossary. It was noted that research about more established concepts, such as cultural warrant and user warrant, and the development of other warrants, such as autopoietic warrant or viewpoint warrant are related to the integration of cultural diversity in knowledge organization practice.

本研究為利用人工類神經網路探討台灣認購權証之評價模式，利用人工類神經網路學習台灣認購權証之市場價格與Black-Scholes Model 的理論價格間的差異(錯價)，而類神經網路在樣本內與外的表現均優於一般傳統的評價方式。此外，亦以敏感度分析來分析認購權証之市場價格與Black-Scholes Model 的理論價格間的差異可能的影響變數。 本研究的樣本期間為包括民國八十六年九月至民國八十八年二月，樣本資料包含每日權証價格及交易量，每日權証標的股價格及每日大盤指數。檢視目前的權証之價錯，經實証後確實發現以類神經網路可以建立一個較為有效評價模式。