《环球法律评论》09年第4期中英文目录及提要

法律实证研究方法及其地点选择 郭云忠

反恐背景下美国司法审查之新理论 戚建刚

对美国联邦最高法院有关外国人人身保护令的判例研究 任 越

"指导性案例"名称之辨正 刘风景

介绍与评论

瑞士不动产担保权制度研究 陈华彬

问题专利与专利权的重构

---拟议中的"美国专利改革法案"思想评述 陈 武

美国环境侵权民事司法中利益衡量的适用及对我国的启示 王彬辉 唐宇红

美国冲突法中的最密切联系原则新探 许庆坤

日本起诉书一本主义的利与弊 章礼明

美国私募基金规范的发展及其启示 郭 雳

论英美法违反"告知后同意"过失侵权的构成要件 王占明

匈牙利公民社会组织考察 蒋小红

国际法问题研究

国际货币基金组织投票权分配制度及其改革：发展中国家的视角 余 锋

论欧盟所得税协调机制---兼论对我国的借鉴意义 张智勇

反恐与国际刑事司法准则的底限 谢佑平 宋远升

书 评

我们究竟需要什么样的比较法

---评马克西尼斯的《比较法：法院与书院》 石茂生 张 伟

外国立法选译

俄罗斯联邦关于被害人、证人及其他刑事诉讼程序参加人国家保护法

潘效国 译 刘洪岩 校

"主题研讨"征稿启事

GLOBAL LAW REVIEW

（Bimonthly）

Vol. 31 July 2009 Number 4

CONTENTS

THEORETICAL FRONTS

Empirical Research Method of Law and Its Location Selection……………………………… Guo Yunzhong 5

New Theory on Judicial Review in the U.S. against the Background of Anti-Terrorist

Campaign………………………………………………………………………………………Qi Jiangang 17

Study on the Case Law of the U.S. Supreme Court on Aliens' Right to heas corpus……………… Ren Yue 26

Rectification of the Term "Guiding Case" …………………………………………………… Liu Fengjing 35

INTRODUCTION AND COMMENTS

On the Real Estate Guarantee System in Switzerland……………………………………………Chen Huabin 42

Questionable Patents and Reconstruction of Patent Right in the U.S. ………………………………Chen Wu 53

Balance of Interests in U.S. Judicial Practice Relating to Environmental Torts

……………………………………………………………………………Wang Binhui and Tang Yuhong 61

The Doctrine of the Most Significant Relationship in American Conflict of Laws……………… Xu Qingkun 69

The Advantages and Disadvantages of the Principle of Only Indictment in Japan…………… Zhang Liming 81

American Regulations on Private Equity Fund: Development and Reflections……………………… Guo Li 90

Constitutive Elements of Tort of Negligence for Violation of "Informed Consent"

in Anglo-American Law…………………………………………………………………Wang Zhanming 99

Civil Society Organizations in Hungary………………………………………………………Jiang Xiaohong 109

INTERNATIONAL LAW ISSUES

The Vote Distribution System of IMF and Its Reform：From the Perspective of

Developing Countries……………………………………………………………………………Yu Feng 115

The EU Income Tax Coordination Mechanism and Its Implication for China ……………… Zhang Zhiyong 124

Anti-terrorist Campaign and Minimum Standards of International Criminal Justice

……………………………………………………………………… Xie Youping and Song Yuansheng 134

BOOK REVIEW

What Kind of Comparative Law do We Need?-A Review of Basil Markesinis' Comparative

Law：in the Courtroom and in the Classroom……………………………Shi Maosheng and Zhang Wei 147

SELECTED TRANSLATION OF FOREIGN LEGISLATION

Law of the Russian Federation on the State Protection of Crime

Victims, Witnesses, and Other Parties of Criminal Proceedings…………………………………………… 153

Notice Soliciting Contributions for Theme Discussion …………………………………………………… 16

法律实证研究方法及其地点选择

内容提要：法律实证研究区别于思辨研究，从形式上而言是"走出书斋，奔向田野"；从价值上而言是贵在发现问题。加之法律具有"地方性知识"的特点，因此实证研究的地点选择既重要又复杂。经典的观察个案由于当时较大程度地受到资讯、交通、经费等因素的制约，在地点选择上偶然性很大，需要综合考虑自然、经济、文化、人员、案件等诸多因素。

关键词：实证研究 观察 调查 文献分析 实验

［Abstract］ Empirical research differs from analytical research in that it takes "going out of the ivory tower and into the fields" as its form and problem discovery as its main value. Moreover, as law has the characteristic of "local knowledge", the selection of locations for empirical research becomes both important and complex. The classic observation of individual cases had a great degree of randomness in the selection of survey location in the past because of restrictions in information, transportation and fund. The key to the selection of survey location is the determination of appropriate samples based on the identification of the object of survey as a whole. Since document in broad sense includes all valuable materials, location selection of document analysis depends on concrete types of documents. Compared with other methods, on-site experimentation is faced with many difficulties, especially those resulting from human interference. Therefore, in the determination of location of experimentation, various factors, such as nature, economy, culture, personnel, cases and so on should all be taken into consideration.

反恐背景下美国司法审查之新理论

内容提要： 9·11事件以后，如何认识由恐怖事件引发的紧急状态的司法审查，美国学术界存在着激烈的争议。以艾利克·波斯纳为代表的学者提出了"顺从"理论。该理论基于自由和安全的权衡理论以及制度绩效之比较理论，认为只要行政机关的行为具有一定的理性基础，法院和国会就应当顺从行政机关，以增加社会的整体福利。

关键词： "顺从"理论 "恐慌"理论 紧急状态 司法审查

［Abstract］After the terrorist attacks of September 11, 2001, there has been heated debate in the U.S. academic circle on judicial review under the state of emergency triggered by terrorist incidents. Eric A. Posner and some other scholars put forward the "deference theory", which differs not only greatly from the civil libertarian doctrine of "the supremacy of rights", but also from the mainstream "compromise theory". Based on the theory of tradeoff between freedom and security and the theory of comparative institutional performance, the proponents of the "deference theory" hold that courts and the Congress should show deference to the administrative bodies as long as the acts of the latter are based on rational grounds, so as to promote the overall welfare of society. They have also aggressively rebutted criticisms raised by the proponents of the "panic theory" and the "democratic failure theory". Generally speaking, the "deference theory" has offered a new cognitive mode to explain judicial review under the state of emergency triggered by terrorist incidents.

对美国联邦最高法院有关外国人人身保护令的判例研究

内容提要：对外国人来说，可否向居留国法院申请人身保护令是他们能否享有基本人权的重要标志之一。这是因为外国人对被关押国的法律、政治、经济、社会、文化等各方面了解有限，更难运用法律手段保护自己的正当利益，而美国联邦最高法院在保护这个群体方面有着不可替代的作用。在外国人人身保护令这一问题上，美国联邦最高法院的判例体现了对宪法的尊重，维护了司法独立，该法院在案件审理过程中所表现出的严格的推理和缜密逻辑有着很重要的借鉴意义。

关键词：外国人权利 人身保护令 美国联邦最高法院

［Abstract］This article discusses the attitude changes of the U.S. Supreme Court on applications of habeas corpus by aliens, with a focus on the most recent cases concerning the alien detainees in the U.S. Naval Base in Guantanamo Bay. It argues that whether aliens can apply for a writ of habeas corpus in the United States is an indication of whether they may enjoy basic human rights there. This is mainly because aliens are vulnerable in the United States with limited knowledge about the legal, political, economic, social and cultural conditions of the country. The study demonstrates that the U.S. Supreme Court plays a crucial role in safeguarding aliens' right to [WTBX]habeas corpus.

"指导性案例"名称之辨正

内容提要：关于判决先例，最常用的名称有三个：判例法、判例和指导性案例。近年来，"指导性案例"一词已成为我国法律界的最常用术语。在研究指导性案例的名称时，需要对指导性案例以及判例、判例法的实际用法与语境进行实然性考察。

关键词：指导性案例 判例 判例法 名称

［Abstract］ There are three terms in common use to express the notion of judicial precedents: case law, precedent and guiding case. In recent years, the Supreme People's Court has defined the task of building and improving the system of guiding case. Against such a background, the term of "guiding case" has become the most commonly used term in law circle in China. Therefore, it is necessary to conduct a practical study on the usage and context of the terms of "guiding case", "precedent" and "case law". Compared with "precedent", the term "guiding case" has the following problems: redundant in the form of expression, deviated in the definition of functions, and difficult in scholarly communication. In the rectification of the term "guiding case", the follow principles should be adhered to: distinguishing the differences and similarities, reflecting the true nature of the terms, following the common practice, and being reasonable and acceptable. At the same time, feasible and concrete measures should be taken to ensure the success of the rectification.

瑞士不动产担保权制度研究

内容提要： 1907年《瑞士民法典》制定公布以前，瑞士各地存在着60多种不动产担保权形态。但经《瑞士民法典》的起草者欧根·胡贝尔的"统一"，最后颁布的《瑞士民法典》仅规定了地租证券、抵押债务证券和登记担保权（土地抵押证券）三种不动产担保权形态。它们实行公示原则、特定原则、顺位确定原则、独立原则及流通性之确保原则。《瑞士民法典》规定的这三种不动产担保权类型及所采行的原则，对于完善我国不动产担保物权制度具有重要的意义。

关键词：《瑞士民法典》 地租证券 抵押债务证券 登记担保权（土地抵押证券）

［Abstract］Before the enactment and promulgation of the Swiss Civil Code in 1907, there existed over 60 kinds of real estate guarantee systems in various places within the country. However, through efforts made by Eugen Huber, the drafter of the Swiss Civil Code, to unify the system, the Swiss Civil Code finally provided for three forms of real estate guarantee systems-land rent securities, mortgage obligation securities, and right to registration guarantee (land mortgage securities). Several basic principles were established under these systems, including principles of public summon, concrete object and order, independence and guarantee of marketability. These three forms of real estate guarantee systems and relevant principles adopted by the Swiss Civil Code serve as important reference for the improvement of real estate guarantee system in China.

问题专利与专利权的重构

内容提要：问题专利的大量存在不仅导致专利质量低下，也给创新体系制造了巨大的私人和社会成本，这是美国2007年《专利改革法案》出台的根本动因。专利制度的有效运行依赖于审查授权体系和权利执行体系两个渠道，而问题专利折射出来的诸多弊端则反映了专利制度的整体失灵。在三种改革思路争论之后，人们选择了重构专利权，而改革的支点是改变专利权的有效性推定。这是近50年来美国专利政策的一次重要转折。

关键词：问题专利 专利改革 有效性推定 授权后复审

［Abstract］The existence of a large amount of questionable patents leads not only to poor quality of patents, but also to huge private and social costs to the innovation system-which became main motive force behind the adoption of the Patent Reform Act of 2007 in the U.S.. The effective functioning of patent system depends on the system of acquisition of patent right and the system of enforcement of patent right. The many shortcomings resulted from questionable patents indicate the failure of the patent system as a whole. After an extensive debate on the three patent reform proposals, the approach of reconstruction of patent right was chosen, and the strongpoint of reform is to change the presumption of validity of patent right. This is an important change of the U.S. patent policy in 50 years.

美国环境侵权民事司法中利益衡量的适用及对我国的启示

内容提要：布默诉大西洋水泥公司案的判决说明美国环境侵权民事司法中利益衡量具有独特性：广泛运用富含经济效率分析思维的利益衡量来协调个人、环境、社会和经济等多元利益；利益衡量要素趋于完善和清晰；环境侵权民事司法救济的责任形式包括完全排除侵害、部分排除侵害、代替性赔偿、损害赔偿等等。我国在处理环境污染型案件时存在法官应用利益衡量的宏观思维定位不佳、忽视经济效率分析思维的运用等问题。

关键词：环境侵权民事司法 利益衡量 经济效率分析思维

［Abstract］This article, through the analysis of the case of Boomer v. Atlantic Cement Co., introduces the unique characteristics of the balancing of interests in U.S. judicial practice relating to environmental torts. The U.S. courts, by coordinating individual, environmental, social and economic interests through extensive application of economic efficiency analysis, have gradually clarified the main elements in the balancing of interests and thereby improved the relevant case law. In comparison, Chinese judges, in balancing interests in cases involving environment pollution, have exhibited many shortcomings, such as inadequate orientation of macroscopic-thinking and ignoring the application of economic efficiency analysis, etc. In view of the above problems and based on the U.S. experience, the author puts forward some suggestions on improvement in this area.

美国冲突法中的最密切联系原则新探

内容提要：美国判例法中的最密切联系原则源自法院冲破传统冲突法樊篱和实现个案公平的需要。基于分割方法分析相关法域的"政府利益"，是界定"最密切"与否的通常做法，晚近的涉外侵权判例法逐渐将该原则具体化为规则。最密切联系原则在《冲突法重述（第二次）》和里斯教授的冲突法思想中只是一种过渡性方案，其实里斯更侧重于政策分析和规则细化。美国权威学者大多对最密切联系原则持批评态度。

关键词：最密切联系原则 冲突法 连结点分组理论

［Abstract］The establishment of the doctrine of "the most significant relationship" in the U.S. cases law is the result of breaking the barriers of traditional conflict of laws and of achieving justice in individual cases. It is the common practice to determine "the most significant relationship" by evaluating "governmental interests" in relevant jurisdictions on the base of dépecge. The doctrine has evolved into rules in recent tort cases with foreign elements. It is just a transitional approach in the Second Restatement of Conflict of Laws and in Professor Reese's theory on conflict of laws. In fact, Reese lays more emphasis on policy analysis and development of detailed rules. The doctrine has drawn criticisms from the majority of authoritative scholars in the U.S.

日本起诉书一本主义的利与弊

内容提要：在近代刑事诉讼发展史上，日本从卷证移送主义转向了起诉书一本主义。在排除预断、防止偏见和构造庭审当事人主义两大预定目标上，日本起诉书一本主义的确发挥了作用，但作用有限。其作用的有限性体现在这种转向以损害实体真实和诉讼效率为代价，而为此进行的改革仍然存在两难境遇方面。由此，日本在移植起诉书一本主义中的经验和教训对我国公诉方式改革是有启发意义的。

关键词：起诉书一本主义 卷证移送主义 实体真实 程序公平

［Abstract］In modern history of the development of criminal prosecution, Japan has adopted the principle of only indictment while abolishing the principle of removal of evidence. In achieving the expected objectives, such as elimination of prejudgment, prevention of bias and the establishment of adversary system, the principle of only indictment does play a positive role. However, it has its limitations. For example, the cost of encroachment on substantive truth and lack of lawsuit efficiency. The reform carried out in this respect is still facing dilemma in Japan. The Japanese experience and lessons learned in transplanting the principle of only indictment is of reference value to China in our reform of criminal prosecution mode.

美国私募基金规范的发展及其启示

内容提要：私募基金在美国证券法下历来享受品种、载体、管理人等三重注册豁免。近年来，回应其规模扩张、风险凸显以及零售化趋势，美国证监会（SEC）实施或拟议了注册规则、反欺诈规则、投资者资格规则等欲加强对其监管，但成效和评价参差。当前金融危机很可能促使私募基金以某种形式被纳入注册监管。

关键词：私募基金 非公开发行 豁免交易 证券监管 投资者保护

［Abstract］Private equity funds have long been largely exempted from registration under the U.S. securities law framework in terms of issuance, vehicle and adviser. In recent years, in response to their enormous expansion in scale, risk exposure and retailization tendency, SEC has strengthened its supervision on PEFs by implementing or proposing new rules on adviser registration, anti-fraud, and investor qualifications. Such tightening on exemption brought in different results and hassles. Shadowed in the ongoing severe financial crisis, the newly proposed Congressional legislation may regulate the private equity funds into a new registration regime.

论英美法违反"告知后同意"过失侵权的构成要件

内容提要：违反"告知后同意"的专业过失侵权包括三个要件：医生负有告知义务而未告知，患者受有损害，以及医生未告知与患者受损害之间存在因果关系。医生得因患者已知、紧急情况、医疗特权等事由而免除告知义务；损害应仅限于患者的具体人身法益的损害，而不包括患者自主决定权；在因果关系判断上宜采"合理患者"标准而非"患者本人"标准，因为"患者本人"标准消解了过失侵权作为医疗纠纷诉因的适当性。

关键词：告知义务 损害 因果关系 合理患者

［Abstract］Professional malpractice in violation of "informed consent", in situation of physician and patient, has three constitutive elements: physician's failure to inform, injury suffered by patient, and causation between the failure and injury. A physician is exempted from the duty to inform under three circumstances: the patient's in-the-known fact, emergency, and therapeutic privilege. Injury refers to specific injury of personal legal interests, rather than patient's right to independent determination. Causation should be determined by reasonable patient doctrine, rather than particular patient doctrine, because the latter weakens the necessity of tort of negligence in medical disputes.

匈牙利公民社会组织考察

内容提要：苏东剧变之后，经过近20年的发展，匈牙利逐步建立了保障结社权和促进公民社会组织健康发展的制度规范，依靠政策和法律机制及其有效运作来推动公民社会的多元化发展。本文从数量和组织形式、 活动类型、 地区分布、 收入来源和人力资源等各个角度详细论述了匈牙利公民社会组织发展的情况，并分析了其存在和发展的政策、法律环境，从中试图探求对中国公民社会组织发展有益的经验。

关键词：匈牙利 公民社会组织 政策 法律

［Abstract］In the past two decades, Hungary has developed legal and institutional mechanisms to safeguard the rights to association and to promote the sound development of civil society organizations. This article introduces the development of civil society organizations (CSOs) in Hungary from the perspectives of the number, the type of organization, the field of activities, geographical allocation, revenue resource and human resources. The emphasis is put on the analyses of the regulatory environment of CSOs in Hungary. The author thereby explores the helpful experience for the development of CSOs in China.

国际货币基金组织投票权分配制度及其改革：发展中国家的视角

内容提要：投票权的分配直接关系到成员国在IMF中发言权的大小。IMF的投票权分配制度，没有跟上不断变化的国际经济现实，亦未能给发展中国家参与决策提供有效保障。从发展中国家的视角对IMF投票权分配制度进行历史性梳理，评析相关改革意见和举措，为建构稳定与和谐的国际货币金融秩序奠定"群策群力"的社会基础，具有现实的参考意义。

关键词：IMF 投票权分配制度 基本投票权 份额

［Abstract］The way votes are distributed at IMF is directly related to the voice of IMF members. The vote distribution system of IMF has not kept up with the changing international economic realities, and has not provided an effective safeguard for developing countries to participate in decision making. From the perspective of developing countries, analyzing the vote distribution system of IMF by historical method, and reviewing the relevant reform suggestions made by both developed and developing countries, have great significance to laying a social foundation of cooperation for the construction of a stable and harmonious international monetary and financial order.

论欧盟所得税协调机制

内容提要：欧盟成员国所得税法所导致的双重征税和税收歧视阻碍了内部市场的自由流动。欧盟进行了协调成员国所得税制的尝试，拓展了税收非歧视待遇的适用范围。但是，在成员国享有税收主权的前提下，欧盟现行协调机制仍无法彻底解决双重征税和税收歧视。欧盟的实践也能够为我国消除区域经济合作中的所得税壁垒提供借鉴。

关键词：欧盟 所得税协调 自由流动 自由贸易区

［Abstract］Double taxation and tax discrimination caused by income tax systems of Member States of the EU have resulted in the barriers on the free movement in the internal market. Consequently, EU has coordinated the income tax systems of its Member States and extended the scope of application of non-discrimination principle in the field of taxation. However, the current coordination mechanism still can not thoroughly solve the problems of double taxation and tax discrimination because of tax sovereignty enjoyed by Member States. Nevertheless, the practice of EU may be of reference value to China in eliminating income tax barriers in regional economic cooperation.

反恐与国际刑事司法准则的底限

内容提要：恐怖主义是人类生存面临的难题，它通过暴力和残忍的手段，对世界和平、经济发展、社会生活乃至人类文明造成严重威胁。恐怖主义是当代人类之间展开的另一种形式的自相残杀。但是，即使其在法律上是严重违法的，在道德上是难以立足的，然而，毕竟有其存在的深层根源。因此，应当明晰恐怖主义与反恐的性质，正确认识反恐与国际刑事司法准则的价值与效力之间的冲突，并从世界其他一些国家的反恐立法及司法实践中寻找经验和借鉴，从而正确协调恐怖主义与反恐以及反恐与国际刑事司法准则的关系，为解决这一死结提供一条可行路线。 关键词：恐怖主义 反恐 国际刑事司法准则 底限 第三条路线

［Abstract］Terrorism is a difficult problem faced by mankind today. It poses, by violent or cruel means, serious threat to the world peace, economic development, social life, even to the human civilization as a whole. It is a serious violation of law and does not have any moral basis. Nevertheless, it has deep-rooted causes. Consequently, China should clarify the nature of terrorism and anti-terrorism, correctly understand the conflict between anti-terrorist campaign and the value and effect of the principles of international criminal justice, draw experience from the counter-terrorist legislation and judicial practice of other countries, so as to correctly handle the relationships between terrorism and anti-terrorism and between anti-terrorism and principles of international criminal justice, thereby finding a practicable way to resolve the difficult problem of terrorism.