《公司法》公司社会责任条款实施的应对路径

2023年我国《公司法》修订后出台了“升级版”的公司社会责任条款,其第二十条立法规定用了“应当”“充分考虑”等用语,带来了理解上的歧义与实施上的难题。但这个条款不是强制公司主动追求利益相关者利益和社会公共利益,而是为了防止公司在逐利过程中损害利益相关者利益、社会公共利益,立法目的是保障公司承担法律责任、引导公司承担道德责任。董事等经营层要对公司利益负责,但维护利益相关者利益和社会公共利益才能促进公司长期营利,这是对董事等经营层合理决策的要求,属于董事等经营层勤勉义务的一部分。判断董事等经营层在治理公司过程中是否尽到了合理考虑利益相关者利益、社会公共利益的勤勉义务,应适用商业判断规则。在公司股东会、董事会决议违法侵害利益相关者利益或公共利益时,要赋予权益受损害的主体提起确认决议无效诉讼的权利,将法律层面的社会责任纳入司法审查。

公司董事对第三人信义义务研究

董事对第三人承担责任是基于董事对第三人的信义义务,公司运营状态、董事身份和第三人类型,均对董事所需要承担的义务程度产生影响。司法实践中董事实施不当行为之后的归责原则和举证责任分配等方面有不同的学说理论。通过线上案例库下载的十余份关于董事义务的案例进行研究,分析董事违反信义义务后的相关责任承担,讨论公司董事应当在何种情形下承担董事信义义务,以及对信义义务的构成要件、责任类型和追责机制进行探析,提出了商业判断规则、公司决议和董事责任保险三种方式对公司治理进行优化。

A Study of International Arbitrators' Substantive Ethical Obligations and Chinese Strategies

The increased complexity and scales of international arbitration cases require a larger roster of righteous and experienced international arbitrators. The difficulty to define ethics or ethical obligation in the area of international arbitration has caused increased discussion and confusion. As a result,the tendency towards codification of ethical obligations would provide a more precise and practical mean to regulate arbitrators' behavior. The legal sources of ethical obligations of international arbitrators contain international conventions,national laws,arbitral institutions' rules as well as institutional codes of ethics. The main substantive ethical obligations include disclosing,investigating,conducting the arbitration in accordance with the arbitration agreement,maintaining confidentiality,being competent and diligent. Chinese authorities and foreign-related arbitral institutions should enhance the codification and uniformity of the international arbitrators' ethical obligations. The relevant strategies for revising the Arbitration Lawand arbitrators' ethical codes,unifying the foreign-related arbitration institution ethical rules and joining the harmonious progress of international arbitration should be considered correspondingly.

Structural jump-diffusion model for pricing collateralized debt obligations tranches

This paper considers the pricing problem of collateralized debt obligations tranches under a structural jump-diffusion model, where the asset value of each reference entity is generated by a geometric Brownian motion and jump with an asymmetric double exponential distribution. Conditioned on the common factor of individual entity, this paper gets the conditional distribution, and further obtains the loss distribution of the whole reference portfolio. Based on the semi-analytic approach, the fair spreads of collateralized debt obligations tranches, i.e., the prices of collateralized debt obligations tranches, are derived.

UNIVERSAL CRIMINAL JURISDICTION:An option or a legal obligation for States?

I Universal criminal jurisdiction,which is exercised by domestic courts of States,is considered today by some scholars as a panacea for fighting against impunity of perpetrators of the most heinous international crimes worldwide.

Extraterritorial Application of International Human Rights Conventions——From the Perspective of States Regulating the Extraterritorial Human Rights Obligations of Transnational Corporations

The extraterritorial application of international human rights conventions is the legal basis for states to regulate the extraterritorial human rights obligations of transnational corporations.In recent years,it has been increasingly challenged by the new trend of the United Nations governing the human rights responsibilities of transnational corporations.A study of existing international rules and practices shows that the extraterritorial application of international human rights conventions depends on the extraterritorial jurisdiction of the States Parties,which mainly includes the actual control over extraterritorial territories and individuals as well as the execution of authority outside the territories.In view of the above,if human rights violations by individuals or transnational corporations occur in areas outside their home territories or are authorized and orchestrated by the home state,the home state shall bear the corresponding human rights responsibilities.Given the restrictive scope of the abovementioned extraterritorial application of international human rights conventions,the international cooperation obligation and the"do no harm"principle may become a new legal basis for states to fulfill their extraterritorial human rights obligations in the future,thereby expanding the basis for the extraterritorial application of international human rights conventions to deal with more serious issues of human rights violations by transnational corporations.However,on the whole,the current identification and codification of states regulating the extraterritorial human rights obligations of transnational corporations should respect the existing rules of international human rights law and should not add any new human rights obligations on states.

A Review of Shipowner＇s ＆ Charterer＇s Obligations in Various Types of Charter

The charterparty is a legal contract of employing a vessel. In shipping matters, it is a highly important document since it allocates obligations, rights, duties, liabilities, risks, earnings, costs and profits between the contracted parties, namely, the shipowner and the charterer. The interpretation of the above mentioned matters, as well as the understanding of charterparty terms, is considered of critical importance in chartering practice. Therefore, this paper constitutes a review of the most important aspects arising from charterparties in the main types of charter. The present study is based on shipping practices followed in accordance with the English Common Law throughout the chartering process （pre-fixture, fixture, execution of the charter, post fixture）. This is a synopsis about the distribution of the liabilities and expenses between the shipowner and the charterer in the most representative types of charter. The analysis is seen from a commercial stand point. Therefore, it is mostly addressed to the shipping practitioners, maritime economists, academics, students and researchers who seek to form a comprehensive view on the subject. It may also form a basis for further study on chartering aspects （legal, economic, managerial and practical）.

Commonwealth by Institution and Political Obligation in Hobbes＇s Leviathan

The principal thesis of this paper is that one must grasp the importance, or even the centrality, of Hobbes＇s idea of commonwealth by institution in Leviathan in order to fully understand and appreciate his arguments concerning the political obligation of obedience. Until recently, this idea has not been given its due significance in the literature. It has been commonly held that Hobbes＇s theorizing about the foundation of the state was based upon his concept of covenant. This paper argues that crucial aspects of political obligation generated by Hobbes＇s concept of covenant could not be understood without a clear understanding of the relationship among the three elements embodied in his idea of commonwealth by institution-covenant, authorization and right-transfer. While several attempts have been made on this topic, the pictures that have been drawn by Hobbesian scholars are more or less inadequate. In particular, the significant roles which authorization and right-transfer play in Hobbes＇s account of political obligation have yet been made clear. By shifting focus upon the idea of commonwealth by institution and taking it as Hobbes＇s mechanism of explaining the nature and origins of political obligation of obedience, this paper examines in detail the specific questions which Hobbes was addressing by coining this term and elicits what exactly he may have meant to convey to his audiences.

Is Anarchism Inevitable？ A Critique of Simmons＇ Treatment of Natural Duty Accounts of Political Obligation

Are citizens morally obligated to obey and support their states？ ＂Political Obligations and Authority＂ is perhaps A. John Simmons＇ most comprehensive summary of his mature views on this enduring philosophical problem. In this essay, Simmons critically engages Plato＇s dialogue Crito and culls from it three types of strategies for justifying political obligations： natural duty, associative, and transactional. Simmons argues that natural duty accounts are inherently incapable of providing moral grounding for political obligations, disqualifies both associative and transactional accounts on empirical grounds, and settles for a form of anarchism. I argue, assuming as Simmons does in this essay that natural duties imply obligations of support and obedience to political institutions, that the natural duty strategy promises to provide an escape route out of anarchism.

Obligation-based Theory vs.Right-based Theory:Confrontation of Ideas Between Warrender and Strauss

There is a transition from the objective laws or moral orders that precede human will in classical natural law to the subjective demands or rights emanating from human will in modern natural law,and it represents a historical debate on the shift from an obligation-based theory to a right-based theory.Strauss,within the context of this transition across time,assesses Thomas Hobbes's philosophy of law and recognizes him as the founder of modern natural rights theory.Using Wesley Newcomb Hohfeld's analysis of jurisprudence,Howard Warrender assesses the privilege nature of Hobbes's concept of natural rights and concludes that,since Hohfeld's privilege is the opposite of obligation and related to no-right,obligations cannot be derived from natural rights.Therefore,Warrender argues that Strauss's assertion requires correction.However,Warrender places excessive emphasis on Hohfeld's static separation of the concept of privilege within his theoretical system,overlooking the dynamic transformation from privilege to claim rights.In this regard,Hobbesian scholar Carlan's criticism of Warrender is valid.Meanwhile,Warrender's research holds theoretical significance in that he,under the premise of being a part of Hobbes'natural law tradition,transforms Hohfeld's flat,two-party legal rights relationships into a three-party legal rights structure,which could represent a potential innovation in the 20^(th)century legal philosophy.

Obligation, Endemic Survival & the Complexity of Moral Judgement

This is a bioethical investigation into the nature of the endemic crisis,its survival,and the social construction of moral obligation during the Ebola crisis in Liberia,West Africa.The 2014 outbreak in West Africa was the most considerable,most severe,and most complex Ebola epidemic thus far.At the close of the crisis in Liberia,six thousand infected persons survived unexpectedly.The ethics of Ebola and survival is exceptionally complicated and requires a complex theoretical explanation.While a categorical analysis of ethical theory cannot cover the full scope of this moral dilemma,a single concept carried over a range of models does;and,that concept is known as moral obligation.Exploring the obligation of others toward Ebola survivors helps locate,justify,and analyze the fear-based system of morality that arose from the world’s most severe endemic crisis.Examining the obligations of government,community,individuals,and foreign research initiatives toward the survivors of the West African Ebola endemic in Monrovia,this article explores the varying moralities of endemic crisis culture as it examines the complexity of judgment related to social obligation.

On the Principle of Consistency of Rights and Obligations in the Constitution of PRC

“The Fundamental Rights and obligations of Citizens”, the title of Chapter II of the current Constitution of PRC, and the stipulation that citizens must fulfill certain obligations while enjoying rights have triggered many debates. Considering the historical origin, constitutional philosophy, and the text and structure of the Constitution, the special provisions of the current Constitution are influenced by the principle of consistency of rights and obligations. The principle of consistency of rights and obligations in the Constitution is of complex connotation. Therefore, although the principle of consistency of rights and obligations effectively connects the public and private spheres, it ignores the diversity and differences of the interests and elements contained in the Constitution, the asymmetry of the normative status of fundamental rights and fundamental obligations,and the right of citizens to self-determination of personal interests.The principle of consistency of rights and obligations should be purposefully narrowed and concretized: In the context of public-private integration and risk society prevention, the principle of consistency of rights and obligations can be used as a supplement to the functional system of the Constitution;in the field of fundamental political obligations, the principle of consistency of rights and obligations should be in line with the requirements of the state to respect and protect human rights;in the field of fundamental social obligations, the exercise of fundamental rights by individuals is protected by the Constitution as long as they comply with the law and do not infringe upon the interests of the social community. The principle of the consistency of rights and obligations is only used as the negative constituents of the determination of rights and the basis for the effect against a third party of fundamental rights.

民法债物关系的再认知:基于债的财产化和并立化的内在视角

债物二分体例是民法自古典走向近现代之际所确立的财产法基础性结构,意涵丰富。长期以来受形式民法认识论视线遮蔽,学界过多地关注二者区分的特点,从而忽视现代民法债物二分是以债的财产化以及并立化作为前提的实质意义。仅仅立足债物区分视角,对债物二分体例所具有的实际机理和价值功能的理解难免偏颇。债的财产化以及由此而起的债物并立,是近代以后民法财产权制度的一次突变,是对于历史上此前以债的工具化为特点的物权中心体系的重要超越和创制,具有支持和保障当时出现的渐近发达的市场经济的重要意义。现代民法通过债的财产化、债物并立化,使债的交易形式的开放设计与物权类型的定限设计成为同等重要的对应设计,甚至逐渐重心偏移向前者,形成一种具有奇特双向作用的整体协同关系。一方面通过物权,从特定资源配置观的角度设定自身基本经济体制;另一方面,又通过债的设计,支持发达市场经济的运行需求,保障其中体现复杂性、多样性交易的现代经济关系的有效开展。立足这一角度的债物关系认识观,能够弥补限于区分论视角的重大缺漏。中国《民法典》的财产权体系,一方面继受了现代民法的债物二分,但另一方面又并不是简单地继受上述结构,而是在坚持中国社会主义市场经济目标理念下,从中国国情实际和时代性需求出发,在以债物结构为重点的基础上,做出了重要的创新和发展,展示出一种立足于中国特色政经体制、追求经济快速发展的财产权体系再现代化的模式趋势。

论注册商标使用义务规范的体系化构建——兼评商标法修订草案征求意见稿相关条款

2023年1月13日,国家知识产权局公布《中华人民共和国商标法修订草案(征求意见稿)》,强调“强化商标使用义务,引导商标注册回归制度本源”是本次修法主要内容之一。目前,我国注册商标使用义务制度存在概念模糊、注册审查程序中使用意图与承诺使用的取舍不定、核准注册后权利人违背使用义务的法律责任不明等问题。在明晰注册商标专用权人商标使用概念的基础上,以“注册审查—权利维持—权利处分—权利救济”为轴,全过程设定注册商标使用义务,可以有效提高商标使用的法律地位,引导商标注册制回归“商标的生命在于使用”的制度本源。

优先权之反思与重述

优先权的概念范畴有狭义和广义之分。源自法国民法的狭义优先权长期游离于我国债物二分体系之中,已造成权利性质难辨、公示机制阙如和其他衍生的学理弊端。广义优先权谱系的创设存在语境虚假、效果无益、集合异类等显著缺陷。在狭义优先权中,一般优先权实为债权,特别优先权实为法定抵押权。此种法定抵押权与受其担保的主债权相区分,具有债法和物法的双重面相。其他所谓的“优先权”子项主要包括竞争中享有优待地位的资格和对因顺位判定原则或规则所生结果的描述。

ChatGPT类生成式人工智能产品提供者之刑事责任

ChatGPT类生成式人工智能产品数据处理不可控,提供者刑事责任不明确,将会引发刑事治理难题。在产品投入流通时,如果ChatGPT类生成式人工智能产品符合国家标准、行业标准,并不存在当前科学技术水平能够发现的缺陷,一般不宜追究产品提供者的刑事责任;在产品投入流通后,产品提供者应承担适度的安全管理义务。违反安全管理义务,有可能承担刑事责任。有限度追究产品提供者的刑事责任,既符合网络领域积极主义刑法观的趋势,也有利于实现鼓励科技创新和防范产品风险之间的平衡,还符合社会公众的期待。提倡“全面性考察”方案,用以限制产品提供者成立帮助信息网络犯罪活动罪的范围。在具体贯彻“全面性考察”方案时,可以“超过半数规则”作为产品提供者主观“明知”的认定标准。

作为反垄断救济措施的数字平台互操作义务

作为反垄断救济措施的数字平台互操作义务,是解决当前数字平台封禁行为的重要方式,既能维持现有符合市场特征的市场结构,又能将数字平台内部的网络效应外部化,允许市场竞争者公平共享网络效应产生的效率。通过降低市场进入壁垒恢复市场的有效竞争,避免用户、数据等价值要素聚集于少数数字平台。不论是作为反垄断事前监管措施,还是作为反垄断事后救济措施,数字平台互操作义务都有较好的适用基础和空间。结合我国目前肯定性调整方法规定不足的现实情况,数字平台互操作义务可能适用的情形也比较清晰,主要是针对数字平台既有反竞争性的互操作安排。实施时应当明确以基线标准作为实施的限度,严格秉持依法、审慎、积极和协同的理念。以公平原则、比例原则为义务设计的基本原则,对互操作义务的范围、标准以及监管等各方面内容予以科学设定。

生成式人工智能防沉迷立法问题研究

既有防沉迷规范的适用范围有限并且没有指出相关主体的具体义务,其难以应对生成式人工智能令人沉迷的风险。从原因视角分析,生成式人工智能令人沉迷的原因在于其生成的虚拟世界更具有吸引力、精准推送产生舒适性、虚拟人物使人产生情感依赖。从后果视角分析,人们对生成式人工智能的沉迷容易造成创新能力退化、道德标准僵化与价值导向机械化、审美形式化等问题。基于此,生成式人工智能提供者和开发者首先需要履行审批和披露义务。其次应设置防沉迷层面的算法,包括根据用户的年龄等因素设置相应的防沉迷策略,设置用户偏好推送的限度,履行适当的披露义务并拒绝提供情感慰藉;应当对生成式人工智能在思维认知领域“作为思想生成、创新工具”加以限制;设置道德过滤机制;在特定情形中限制“直接提供成品”的使用频次。再次,定期进行算法检查。最后,生成式人工智能提供者和开发者违反防沉迷、防止依赖义务应当承担行政责任。

批准生效合同责任承担的体系构造——《民法典合同编通则解释》第12条评释

《民法典合同编通则解释》第12条仅涉及法律、行政法规这一层级法源设立的直接影响债权合同生效的报批手续,属于法律规定的特别生效要件。合同已成立未生效时产生形式拘束力,包括不得擅自变更或解除的消极义务以及履行报批义务等积极义务。法定报批义务以及围绕报批义务的约定独立生效,属于依据诚实信用原则产生的附随义务,相对方有权采取请求继续履行报批义务的救济方式。第12条第1款在第一阶段新创设了一种法定解除权,“违反报批义务的赔偿责任”应仅限于固有利益的直接损失,而不应参照违反预约合同的赔偿范围。第2款在第二阶段的解除权符合《民法典》第563条要件,赔偿范围参照违约责任时需考察通过批准的难易度、报批义务人拒不报批的主观恶性程度以及整个交易的完成度和成熟度。第4款在第三阶段批准机关决定不予批准时无须规定解除权,报批义务人承担过错责任,依据《民法典》第157条考虑适用财产返还和折价补偿制度的替代效果。