《环球法律评论》2010年第6期中英文提要

高全喜

内容提要：本文以当代法理学基本问题为切入点，具体分析了中国当代法理学的两难处境及其基本问题。中国当代法理学不同于西方当代法理学，其基本问题乃是建设现代法治秩序和接续新旧传统。只有夯实自己的法治根基，才有能力应对当代风险社会的新挑战。

关键词：当代法理学法治秩序法律传统风险社会

高全喜，北京航空航天大学法学院教授。

［Abstract］Proceeding from basic issues of contemporary jurisprudence, the author analyses the predicament of contemporary Chinese jurisprudence and basic issues it faced in a detailed way. The author holds that basic issues faced by contemporary Chinese jurisprudence are the building up of modern system of rule of law and following both new and old traditions, as contemporary Chinese jurisprudence is different from contemporary Western jurisprudence. Only by laying a solid foundation for rule of law, can China be able to tackle new challenges posed by contemporary risk society.

（责任编辑：支振锋）15

宪法实践样态的一个解析--以全国人民代表大会常务委员会2007-2010年四个工作报告为例

熊建明

内容提要：全国人民代表大会常务委员会要向全国人民代表大会提交工作报告供代表审决，代表们依据什么来评判该报告则是宪法实践中必需解答的问题。如果认定代表的评判标准与工作报告起草依据同根同源，那么显然不能将常委会上一年度工作报告作为基准；因为计划做什么是对象而不是依据。判断常委会一年工作的标准只有一个，就是《宪法》第67等条文意旨。按照这些规范来论断常委会四个报告，结论是它实际所做的与宪法规定职责有差异。需要改正工作目标对宪法的偏移，使报告尽可能符合宪法要求。

关键词：常委会工作报告宪法实践样态《宪法》条文

熊建明，南昌大学法学院讲师，华东政法大学08级博士生。

［Abstract］What criteria that deputies of the NPC relied upon to review and approve the work report which the NPC Standing Committee submits to the National People's Congress is a question calling for answer in the course of constitutional practice. If the criterion of reviewing the report is the same one as drafting it, it is obvious that the previous annual report of the NPC Standing Committee should not be taken as the criterion, because what has been planned to do serves as a target but not the basis. The only criterion used to review the performance of the Standing Committee lies in Article 67 of the Constitution. In accordance with Article 67, and on the basis of the four work reports submitted by the Standing Committee, the author concludes that the Standing Committee has failed to fulfill its duties set forth by the Constitution. Efforts are needed to correct such deviation so to enable the work report to meet Constitutional requirements.

（责任编辑：韩豫）

法律不确定性命题--一个问题史的考察

周国兴

内容提要：法律不确定性命题是在各流派的相互批判与辩驳的过程中不断演化和推进的。法律现实主义在对法律形式主义的反动中确立其法律不确定性命题；其理论面向上的承继者批判法律研究运动在与哈特、德沃金提供的旨在克服法律不确定性问题的两种不同方案的辩驳中论证其不确定性命题；而其经验面向上的承继者新法律现实主义则在批评批判法律研究运动理念化倾向的基础上论证其经验性研究进路。法律不确定性命题体现出来的实际上是一种"建设性的怀疑主义"，是一种对现实的确定性的寻求。

关键词：法律现实主义法律不确定性确定性

周国兴，吉林大学法学院博士研究生。

［Abstract］Under criticisms and debates among various legal schools, the thesis of indeterminacy of law has constantly evolved and developed. Legal realism has established its thesis of indeterminacy of law in the cause of counteracting legal formalism. Theoretically, the CLS, successor of legal realism, has demonstrated its thesis of indeterminacy of law through the debate over the two solutions put forward by Hart and Dworkin in order to overcome the indeterminacy of law. On the other hand, empirically, the new legal realism, also successor of legal realism, has shown its empirical approach by the affirmation that the CLS was too idealistic. What the thesis of indeterminacy of law has embodied is actually a kind of constructive skepticism. Moreover, it is a quest for determinacy of reality.

（责任编辑：支振锋）

再论法律解释的目标--德国主/客观说之争的剖析与整合

本文为司法部项目《司法公正的技术标准及方法保障》（课题编号：09SFB3004）的阶段性成果。

雷磊

内容提要：对法律解释目标的不同理解导致了德国方法论学说中的主观说与客观说之争。这场争议的实践意义在于，两者通过排定不同的方法次序在个案中产生不同的解释结果。主观说与客观说各自存在许多支持与反对的理由，在这些理由背后隐藏着相对立的立场。在法哲学的层面上，它反映为权威与正确性的价值之争；在法政治学的层面上，它反映为立法权与司法权之争。一种恰当的整合性理论主张主观说对于客观说初步的优先性，它体现了温和的宪政主义立场。

关键词：主观说客观说权威正确性初步优先性

雷磊，法学博士，中国政法大学法学院讲师。

［Abstract］Different understandings of the objective of legal interpretation have led to the dispute between subjective doctrine and objective doctrine in legal methodology in Germany. The practical significance of the debate lies in the fact that, by assuming different priorities of legal methods, the two doctrines have produced different results of interpretation in individual cases. For subjective and objective doctrines, both have supporters on the basis of various arguments. As a result, two sharply contrasting standpoints exist behind them. On the dimension of legal philosophy, this opposition represents itself as a valuedispute between authority and correctness; and on the dimension of legal politics, as a competencedispute between legislature and judicature. A proper theory of integration claims a primafacie priority of subjective doctrine over objective doctrine, which reflects the standpoint of a moderate constitutionalism.

（责任编辑：支振锋）

论保荐机构的担保责任

陈洁

内容提要：保荐机构基于保荐行为而向证券投资者承担的民事责任具有担保属性，故可以称之为保荐担保责任。我国保荐机制的功能设定以及据以建构的法律关系决定了保荐担保责任具有诸多与合同担保责任不同的制度属性。对保荐担保责任的法律关系、构成要件以及责任的实现等进行学理与实践的互动探讨，甚为必要。

关键词：保荐机构担保责任

陈洁，中国社会科学院法学研究所副研究员，法学博士。

［Abstract］The warranty liability of sponsors is a joint compensation liability imposed on sponsors when the listed company's information disclosure acts violate laws and regulations and cause losses to investors. It is an independent liability defined by Securities Law of our country. This article first analyzes the mechanism of sponsors, and then explores some issues such as the nature and the constitution of the warranty liability of sponsors. Finally, the article puts forward some suggestions in relation to the division of civil responsibilities among the sponsor, issuer and sponsor representative.

（责任编辑：黄列）

证券推荐的适合性义务——从职业道德到法律责任

王敏

内容提要：适合性义务最早由美国证券自律组织制定的行业守则确立，其基本要求是证券商只应推荐其有合理依据相信是适合客户的证券。对证券商的证券推荐施加适合性责任要求是为了有效保护客户对证券推荐的合理信赖，属于证券商对客户承担的一种信义义务。在证券实践的推动下，美国证券监管立法、司法尤其是仲裁活动逐渐重视和强化适合性义务的效力，适合性义务由此从原有的执业道德向法律义务进化。适合性义务法律进化的表现之一，就是投资者可以追究不适合推荐的民事责任，此种民事责任的承担需符合相应要件。

关键词：适合性义务自律组织受信义务民事责任

王敏，清华大学法学院博士研究生。

［Abstract］Suitability obligation，holding that brokerdealers and investment advisors should recommend only the securities which they reasonably believe are suitable for customers, was established in the professional rules and regulations set forth by sorts of selfregulatory securities organizations in the United States of America. It is a kind of fiduciary duty devised to protect effectively the trust and confidence customers invest on the brokerdealers and investment advisors as professionals in securities market. With the development of securities market, suitability obligation has been increasingly emphasized and enhanced through activities of administrative rulemaking, the judiciary and particularly, arbitration relating to securities recommendations. As a result, suitability obligation has developed from an original professional ethics to a legal obligation. One of the features of legalization of suitability obligation is that investor can pursue civil liability for the loss resulted from unsuitable recommendation. Provided some requirements are satisfied, the brokerdealers and investment advisors should be liable for unsuitable securities recommendations.

（责任编辑：姚佳）

中国交易所回购市场法律问题分析

王旸

内容提要：中国债券回购市场诞生于1991年，在近20年的发展历程中，它为各类市场主体构建了重要的短期融资平台，对推进中国金融体制改革和金融市场创新做出了积极贡献。但市场的发展道路并不平坦，其间长期充斥着各类违规违法现象，造成了巨额交易损失，对中国金融秩序和安全构成严重威胁，且虽经数次整顿仍反复发生。中国回购市场的问题主要成因于现行金融体制与金融发展客观需求间存在的体制性冲突，成立于体现浓郁"中国特色"的法律制度构造，爆发于市场主体利用制度缺陷、铤而走险式的不当交易行为。问题的彻底解决应当从完善法律制度和改革金融体制两个方面共同努力，既要建立与回购交易本质属性和经济功能相适应的恰当的法律规则体系，又要遵循金融发展的客观规律，结束不恰当的金融市场分割局面，解除不必要的各种金融限制，建立统一、开放、顺畅流动的稳定、高效的金融系统，从而剥离回购市场承载的过多与其交易性质不相符合的额外功能，使其恢复应有面貌。

关键词：回购市场银券对付（货银对付）三方回购交易中央交收对手代理和隐名经纪

王旸，中国政法大学民商经济法学院。

［Abstract］Established in 1991 and in the past 20 years, China's repo market has shaped an important shortterm debtcredit platform and offered an effective management tool for financial assets and financial allocation for various kinds of participants in market, thus making a positive contribution to the promotion of reform of financial system and of an innovative financial market in China. However, the growth of financial market has not been smooth, being full of all kinds of violation of law and regulations. This situation has resulted in enormous business losses and posed serious threat to China's financial order and security. It is necessary for us to explore the root causes leading to these problems, and find out effective approaches to solve them thoroughly. This article analyzes the deviation of functional place of repos and defects in institutional design of China's onexchanges repo market from perspectives of both financial and legal systems. The author believes that problems faced by repo market are resulted from the systematic conflict between current financial system and objective needs of financial development, caused by framework of legal system carrying strong "Chinese characteristics", and stimulated by improper and reckless business conducts by market participants making use of the institutional defects. On the basis of this, the author points out that the establishment of a healthy repo market should depend on the following two efforts-the improvement of legal system and the reform of Chinese financial system. Only in this way, can we realize a sound and safe growth of China's repo market and promote its prosperity in a lasting way.

（责任编辑：姚佳）

美国对质权条款与传闻证据规则关系之考察

史立梅

内容提要：作为美国联邦宪法基本条款的对质权，与作为英美证据法基石的传闻证据规则，虽然在要求证人亲自出庭提供证言并接受质证方面具有一致性，但由于纷繁复杂的传闻例外规定的存在，二者在适用中又常常发生矛盾，折现出刑事司法过程中个人利益与公共利益之间的冲突。多年来，美国联邦最高法院一直着力寻求解决二者关系的最佳方案：从蕴含多种可能性的含混期开始，到将对质权条款与传闻规则进行联姻的一致期，再到将二者截然分开的分离期，在这一过程中，美国联邦最高法院完成了一次重大转身。尽管目前的联邦最高法院认为，对质权条款与传闻规则关系的界定符合历史事实和立法者的本意，但其内部仍然存在的重大分歧依然能够体现出来，这并不是一个追求事实真相的过程，而只不过是不同时期、不同立场下的价值权衡和选择。

关键词：对质权传闻证据规则传闻例外根深蒂固的例外证言性陈述

史立梅， 北京师范大学法学院副教授。

［Abstract］Though the Confrontation Clause, being a basic clause of the U.S. Constitution, and the Hearsay Rule, as the cornerstone of AngloAmerican evidence Law, are identical in requiring the witness testify in trial and be confronted by the defendant, yet they often contradict each other in application because of numerous and complicated hearsay exceptions, which reflects the conflict between individual right and public interest in the course of criminal justice. The U.S. Supreme Court has worked on the best solution of this relationship for many years-from the ambiguous period with many possibilities existed, to the unanimous period in which the Confrontation Clause and the Hearsay Rule are related in marriage, to the divorce period when the two of them have been separated sharply. At present, though the Supreme Court holds that the relationship between the Confrontation Clause and the Hearsay Rule it defined conforms to historical facts and the intent of the legislators, great differences still exist within the Court. This reveals that it is not a course seeking for the truth, but one reflecting a value balance and choice in different periods and from different positions.

（责任编辑：王雪梅）

病人自主权的伦理与法理

本文系国家社科基金项目《经济、社会和文化权利的法理学研究》（项目编号：08BFX005）的阶段性成果。

吕建高

内容提要：病人自主已经取代父权主义成为现代生命法伦理学的首要原则，其内在属性表现为行动自由、真实、有效商议和道德反思。尊重病人自主的正当性并非取决于任何哲学家哲学论证的力度，相反，道德多元主义才是人们几乎无限尊重病人自主的主要推动力。主张病人自主具有至上地位并排除任何形式的医疗行善不利于保护病人的最佳利益，只有实现两者的有机结合才能真正提升病人自主。病人自主首先是个人的，但也是关系的。

关键词：病人自主医疗行善父权主义关系自主

吕建高，南京大学法学院博士后研究人员，南京工业大学法学院副教授。

［Abstract］In modern biolegal ethics, patient autonomy has become the primary principle instead of paternalism. The internal properties of patient autonomy include such aspects as freedom of action, authenticity, effective consultation and moral reflection. The justification for respecting patient autonomy does not depend on the strength of philosophical arguments put forward by any philosophers. On the contrary, it is moral pluralism that has mainly promoted the infinite respect for patient autonomy. To claim the supremacy of patient autonomy and refuse the medical beneficence of any kind cannot effectively protect the patient's best interests. Only by combining them closely can we enhance patient autonomy. Therefore, patient autonomy is first of all individual, yet it is also relational.

（责任编辑：支振锋）

法典化制度下刑事判例的制度功能

本文为作者主持的国家社科基金西部项目"变动社会中刑法之适应性问题研究"之阶段性成果，项目批准号06XFX011。

周少华

内容提要：在法典化制度下，建立一种与自身法律制度相适应的刑事判例制度并不会与罪刑法定原则相冲突，相反，它反而可以保证刑法解释的客观性和法律适用的统一性，在增强刑法的社会适应性的同时，维护刑法的安定性价值。在法典化制度下，刑事判例虽然不具有等同于法律的拘束力，但作为刑法解释的一种规范化模式，刑事判例对司法活动具有导向性的说服力。通过该制度，刑法的确定性与灵活性有可能得到兼顾，司法知识获得自我积累和发展的机会，并为立法活动提供丰富的资源。

关键词：刑事判例刑法解释刑法的确定性

周少华，东南大学法学院教授。

［Abstract］Under the system of codification, the establishment of a regime of penal precedents corresponding with one's own legal system does not conflict with the principle of legally prescribed punishment for a specified crime. On the contrary, it can guarantee the objectivity of the interpretation of criminal law and a unified application of law, and maintain the certainty of criminal law while enhancing the social adaptability of criminal law. Under the system of codification, although penal precedent does not have the same binding force as compared with that of law, yet acting as a normalized mode of the interpretation of criminal law, it guides, to some extent, judicial activities persuasively. Through the regime of penal precedents, consideration may be given to both certainty and adaptability of criminal law, judicial knowledge can be accumulated and further enriched, and it in turn, can provide legislative activities with a wealth of resources.

（责任编辑：王雪梅）

英美法系国家量刑程序中的"被害人影响陈述"制度介评

康黎

内容提要：20世纪80年代末以来，英美法系国家为加强对被害人权利的保护，推出了"被害人影响陈述"制度，赋予被害人在量刑阶段陈述犯罪影响甚至量刑意见的权利。目前，该制度虽然在某些方面尚存在争议，但总体上它有利于法官的准确量刑，有利于被害人的权利保障，有利于犯罪人的改过自新，逐渐成为世界刑事司法发展的一种趋势。

关键词：被害人影响陈述被害人量刑

康黎，西南交通大学法学系讲师。

［Abstract］Since the late 1980', in order to promote protection of victim's right, countries of AngloAmerican law system have established system of victim impact statement, thus providing victims with right to state crime impact and even right to bring forward sentence opinion in sentencing phase. Currently, although there are some controversies in relation to certain aspects of this system, yet generally speaking, it is helpful for the judge to deliver accurate sentencing and conducive to criminals to mend their ways. The system of victim impact statement has gradually become the trend of development of criminal justice in the world.

（责任编辑：王雪梅）

香港立法会调查权限分析

王书成 顾敏康

内容提要：从各国的法治经验来看，立法机关可以基于行使自身职能的需要而通过其所属的委员会行使一定的调查权，通过要求当事人出席而获取相关的证据或材料。对于立法机关调查权的界限，由于制度差异而存在诸多争论。立法机关调查权界限的确定并没有可统一适用的标准，而要根据各国制度的不同特点区别对待。基于香港政制的特殊性，香港立法会调查权界限的确立，也应该在逻辑上与之相契合。通过比较英国、美国议会调查权的实践并参照其他国家的相关经验，可以认为，以香港独特的行政主导制为基础，依据香港《基本法》的具体规定，香港立法会调查权的行使应该遵循授权性、辅助性、谦抑性、可审查性等原则，从而达到香港政制中行政权、立法权与司法权的有机平衡。

关键词：香港立法会调查权界限一国两制行政主导制

王书成，北京大学政治学博士后，香港城市大学中国法与比较法研究中心研究人员。

顾敏康，香港城市大学法律学院副教授，博士生导师。

［Abstract］From the experience of rule of law adhered to in various countries, legislative body may exercise certain investigation power through its own committees in the light of needs to perform its function, and by requiring the party concerned be present, it can obtain relevant evidences or materials. However, owing to different systems, there are many controversies over the limits of investigation power of legislative body. There lacks a generally applicable standard as how to define the limits of investigation power; rather, the limits are set forth on the basis of diversified characteristics of various systems. Hong Kong now is following the system of executiveled government under the framework of "One Country, Two systems". Taking into consideration the particularity of the political structure of Hong Kong, the establishment of investigation power of Hong Kong Legislative Council should correspond to such system logically. By a comparative study on practices of legislative powers exercised by British Parliament and American Congress and in the light of relevant experiences of other countries, one can conclude that the exercise of investigation power by Hong Kong Legislative Council shall abide by principles of authorization, assistance, deference and availability of judicial review according to specific provisions of Hong Kong Basic Law and on the basis of the system of executiveled government, thus achieving a balance between administrative power, legislative power and judicial power.

（责任编辑：天支）

南部非洲混合法域的形成与发展

本文为国家社科基金项目《非洲法律文化史》（编号：06BFX009）的阶段性成果。

夏新华 刘星

内容提要：混合法域指的是为混合法律体系所支配的区域。殖民前的南部非洲普遍适用习惯法。殖民者的入侵首先在南非实现了罗马-荷兰法与英国法的并存，使其法律带上了混合的色彩。南非法的辐射又使其周边5个国家的法律体系均呈现出混合特性。南部非洲混合法域的形成是多种因素共同作用的结果，相比其他地区其法律体系具有许多独特之处。

关键词：南部非洲混合法律体系

夏新华，湘潭大学法学院教授。

刘星，湖南省法学研究基地助理研究员，湘潭市岳塘区人民检察院助理检察员。

［Abstract］Mixed jurisdiction refers to the area that is governed by a mixed legal system. Before colonial rule, customary law was applied generally in Southern Africa.Colonial invasions firstly brought about the coexistence of RomanDutch law and English law in South Africa, thus causing its law to have a mixed flavor. Being influenced by South Africa's law, the legal systems of its five neighbouring countries have all assumed mixed characteristics. The shaping of mixed jurisdiction in Southern Africa is the result of interaction of various factors. Compared with other regions, the legal system of Southern Africa carries unique features.

（责任编辑：天支）