CIMA C05 FUNDAMENTALS OF ETHICS, CORPORATE GOVERNANCE

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1 CIMA C05 FUNDAMENTALS OF ETHICS, CORPORATE GOVERNANCE
AND BUSINESS LAW

2 CHAPTER 1 Introduction to English Law
1.Criminal and civil liability 2 .Features and sources of English law 3 .Case law and judicial precedent 4 .Legislation 5.European Union law

3 Criminal and civil liability-1(p4)
The distinction between criminal liability and civil liability is central to the English legal system and to the way the court system is structured.

4 Criminal law-1 A crime is conduct prohibited by the law
In a criminal case the State is the prosecutor（公诉人） Persons guilty of crime may be punished by fines（罚金） payable to the State, imprisonment（监禁，徒刑）, or a community-based punishment.

5 Criminal law-2 In a criminal trial, the burden of proof（举证责任） to convict the accused（被告）rests with the prosecution（原告及其律师), which must prove its case beyond reasonable doubt.

6 Civil law-1(p4) Civil law exists to regulate disputes over the rights and obligations of persons dealing with each other and seeks to compensate injured parties. In civil proceedings, the case must be proved on the balance of probability（举证时采用） Compensation will be paid to the wronged person

7 Civil law-2 Balance of probabilities (standard for evidence in civil litigations) / 可能性的权衡 (民事诉讼之举证准则) Decision is made according to the probability of the existence of an event. A 100% certainty is not required. The claimant（民法中的原告） sues the defendant （民法中的被告）

8 Distinction between criminal and civil cases-1
Area of concern CIVIL Rights/duties of individuals CRIMINAL Offense against society Wrongful act CIVIL Harm to Person or property CRIMINAL Violation of statute prohibiting an activity

9 Distinction between criminal and civil cases-2
Party bringing suit CIVIL Person suffering harm CRIMINAL State Standard of Proof （证明标准） CIVIL Preponderance of evidence (51%) （优势证据原则） CRIMINAL Beyond reasonable doubt（超越合理怀疑）

10 Distinction between criminal and civil cases-3
Remedy CIVIL Damages or equitable remedy CRIMINAL Punishment/ fine/ prison Purpose CIVIL Compensation CRIMINAL Punishment

11 Distinction between criminal and civil cases-4
Parties CIVIL Plaintiff wins or loses CRIMINAL State v defendant Outcome CIVIL Compensation CRIMINAL Guilty or not guilty

12 Distinction between criminal and civil cases-5
Consequence CIVIL If he wins,obtain a remedy CRIMINAL If convicted,then sentenced. Courts CIVIL Civil chamber（民事审判庭） CRIMINAL Criminal chamber（刑事审判庭）

13 Distinction between criminal and civil cases-6
Example CIVIL contract,tort,property,marriage; CRIMINAL Murder,theft,rape,robbery.

14 Distinction between criminal and civil cases-I(p5)
It is not an act or event which creates the distinction, but the legal consequences.A single event might give rise to criminal and civil proceedings. For example:

15 Distinction between criminal and civil cases-I
A broken leg caused to a pedestrian by a drunken driver is a single event which may give rise to: Criminal case (prosecution by the State for the offence of driving with excess alcohol), Civil case (the pedestrian sues for compensation for pain and suffering)

16 2 Features and sources of English law(p5)
There are three main current sources of law. Case law Legislation EU law

17 Common law(p6) Common law is the body of legal rules common to the whole country, which is embodied in judicial decisions.

18 Common law 普通法是11,12世纪以来，通过“遵循先例”的司法原则，在不同时期的判例的基础上发展起来的，具备司法连贯性特征并在全英格兰王国内普遍适用（此为“common　law”的由来）的各种原则，规则等的总称．在法律实践中，它主要指那些经由判例报道（law　reporting）加以记录而能够得以援用的部分． 普通法的特征包括： “遵循先例”的司法原则＼陪审团制度＼强调程序法和形式公正，注重救济等．

19 Equity(p6) Equity is a term, which applies to a specific set of legal principles, which were developed by the Court of Chancery to supplement (but not replace) the common law. It is based on fair dealings between the parties. It added to and improved on the common law by introducing the concept of fairness.

20 Equity 衡平法：指与普通法相对应的，由衡平法院在试图弥补普通法的缺陷的过程中演变出来的，与普通法和成文法并行的一套法律原则和规则体系，它构成了英格兰法的一大渊源．普通法须遵循特定的诉讼模式，有时过于僵硬，那些不在固定的诉讼模式之内的申诉在普通法法院得不到应有的救济时，当事人可向国王申请救济，国王则指定御前大臣（lord　chancellor, 又称为司法大臣）来处理，御前大臣根据公平和良心的原则来判案（此为衡平法的由来）．到15世纪，成立“衡平法院”，逐步发展形成衡平法．现不再设专门的衡平法院．作为实体规则，普通法与衡平法并未融合，而是继续保持各自鲜明的特征．例如，在提供的救济＼权利等方面存在不同．

21 3 Case law and judicial precedent (p7)
Decisions made in the courts, is CASE LAW, which is judge-made law based on the underlying principle of consistency. Once a legal or equitable principle is decided by an appropriate court it is a judicial precedent.

22 Judicial precedent(p8)
A precedent(遵循先例原则)is a previous court decision, which another court is bound to follow by deciding a subsequent case in the same way.

23 Judicial precedent(p8)
Stare　decisis　遵循先例，较高级的法院在处理某一类事实确立一项法律原则后，在以后该法院或其同级，下级法院在处理案件中同类事实时应遵循．主要理论依据：人的认识是不完备的，可吸收前人的经验；法律适用前后保持一致，形式公正；确保法律的确定性与可预测性．  

24 Elements of judicial precedent(p8)
The operation of judicial precedent based on three elements: Reports, Rules, Classification

25 3.3 Ratio decidendi(p9) Statements made by judges can be classified as ratio decidendi or obiter dicta 'Ratio decidendi is a Latin phrase meaning "the reason" for the decision." The ratio decidendi is:"the point in a case which determines the judgment"or"the principle which the case establishes.(“ratio decidendi（判决理由)：法官明示或暗示作出其判决的关键之处，或构成判决的依据，具有判例的拘束力)

26 3.3 obiter dicta(p9 ) Obiter dicta are words in a judgement which are said “by the way”. They do not form part of the ratio decidendi and are not bingding on future cases but are merely persuasive. (obiter dicta ,or obiter dictum 随附意见）：法官在作出判决的过程中就某一案件并不直接相关的法律问题所作的评论，它并非为本案判决所必要，因此不具有判例的拘束力.

27 3.5The civil court structure(p9)
lMagistrates’ Courts（治安法院） mostly deal with small domestic matters. lCounty Courts（郡法院） hear claims in contract and tort, equitable matters, land and probate disputes among others. lThe Crown Court（皇室法院，刑事法院） hears appeals from magistrates’ courts.

28 3.5The civil court structure(p9)
lThe High Court（高等法院） is divided into three specialist divisions. lThe Court of Appeal （上诉法院）hears appeals from the County Court, the High Court, the Restrictive Practices Court（反垄断法院）, and from the Employment Appeal Tribunal（就业上诉法庭）. lThe Supreme Court for the United Kingdom hears appeals from the Court of Appeal and the High Court.

29 3.5The civil court structure(p9)
民事法院系统由四级法院组成： 郡法院（County Courts）、 高等法院（High Court，分为王座庭<Queen’s Bench Division>、家事庭<Family Division>和大法官庭<Chancery Division>，三座法庭又分别设行政庭<Administrative Court>和上诉庭<Divisional Court>）、 上诉法院（民事庭）（Court of Appeal <Civil Division>）和最高法院(The Supreme Court for the United Kindom )。

30 3.6The criminal courts(p10)
lMagistrates' courts hear summary offences and committal proceedings for indictable offences. lThe Crown Court tries serious criminal (indictable) offences and hears appeals from magistrates’ courts.

31 3.6The criminal courts(p10)
lThe Divisional Court of QBD（王座法庭的分支法庭） hears appeals by way of case stated from magistrates’ courts and the Crown Court. lThe Court of Appeal hears appeals from the Crown Court. lThe Supreme Court for the United Kindom hears appeals from the Court of Appeal or a Divisional Court of QBD.

32 3.6The criminal courts(p10)
刑事法院系统分为以下四级法院: 地方法院（Magistrate’s Courts,青少年法院<Youth Courts>作为地方法院分支，受理被告为10-17岁的案件）、 刑事法院（Crown Court）、 上诉法院(刑事庭)（Court of Appeal<Criminal Division>）和 上议院。 　　 除上述法院外，英国还有一些特别设立的专门法院，独立于民事和刑事法院系统之外，主要有 枢密院（Privy Council）、 反垄断法院（The Restrictive Practice Court）、 验尸官法院（Coroners’ Courts）、专业法庭（The Tribunals Service）和 军事法庭（Courts Martial）。

33

34 4 Legislation(p15) Statute law : two forms, namely, Acts of Parliament（议会法案） and delegated legislation（授权立法） under the Acts.

35 Parliamentary sovereignty(p15)
Parliament may Repeal earlier statutes Overrule or modify case law developed in the courts, or Make new law on subjects, which have not been regulated by law before.

36 Types of Statute law (p16)
Codifying statute 汇编性立法（将判例法汇编为一部成文法） Consolidating statute 合并性立法（将之前的一部成文法以及之后的修改合并为一部法律） Enabling legislation（授权立法，类似中国法上的“实施细则”）

37 Parliamentary procedure(p16)
A proposal for legislation, first reading一读, second reading, committee stage, report stage, third reading, Royal Assent（御准，君主对议会两院通过的法案予以认可，该法案方可生效，类似于中国法上的“主席令”） Standing Committee 常设性委员会 Come into operation, take effect, come into force生效

38 Statutory interpretation(p16)
Legislation must be interpreted correctly before judges can apply it fairly. The literal, golden and mischief rules developed over time. Nowadays a purposive approach is taken.

39 Statutory interpretation(p17)
The eiusdem generis rule（[拉]同类规则 ） Statutes often list a number of specific things and end the list with more general words. In that case the general words are to be limited in their meaning to other things of the same kind as the specific items, which precede them.

40 Statutory interpretation(p17)
In pari materia在类似情况下，在类似事件中 Upon the same matter or subject If the statute forms part of a series, which deals with similar subject matter, the court may look lo the interpretation of previous statutes on the assumption that Parliament intended the same thing.

41 Statutory interpretation(p17)
Noscitur a socis 英译：Meaning of words may be ascertained by referring to associated words. 汉 译：单个法律条文的含义应当放到整个法律文本中去理解

42 Statutory interpretation(p17)
Expressio unius est exclusio alterius （明示其一排除其他原则 ） To express one thing is by implication to exclude anything else. The mention of one thing may exclude others

43 Statutory interpretation(p18)
The literal rule(字义规则)means that words in the Act should be given their literal and grammatical meaning rather than what the judge thinks they mean. 　字义规则（LITERALRULE）是所有法律解释规则中最重要、最基本的一项。根据这一规则，如果法律文本的字面含义是清楚的，即使该字面含义会导致 明显的荒谬结果，法官也必须遵循该文字所表达的意思。

44 Statutory interpretation(p18)
In Whitely v Chapell 1868 a statute aimed at preventing electoral malpractice, made it an offence to impersonate'any person entitled to vote‘at an election. The accused was acquitte]because he impersonated a dead person, who was clearly not entitled to vote.  

45 Statutory interpretation(p18)
The defendant pretended to be someone who had recently died in order to use that person’s vote. It was an offence to “pretend any person entitled to vote”. As dead people cannot vote, the defendant was held not to have committed an offence. 被告装扮成一个刚死去的人的名义参加投票，违反了“假冒他人参加选举”的规定，但死人不可能去投票，所以被告被判无罪。

46 Statutory interpretation(p18)
It is extended by the golden rule which states that word should be given their plain, ordinary or literal meaning unless this would give rise to manifest absurdity or inconsistency with the rest of the statute. 黄金规则（GOLDEN  RULE）是指，如果运用字义解释规则出现荒谬的结果时，法官应当寻求字词的其他含义以避免荒谬结论的出现。

47 Statutory interpretation(p18)
R v Allen [1872] the Offences Against the Person Act made it an offence to 'marry' whilst one's original spouse was still alive (and there had been no divorce). The word 'marry' can mean to become legally married or to 'go through a ceremony of marriage'. The Court decided that in the Offences against the Persons Act the word had the second meaning. To do otherwise would have produced an absurd result.

48 Statutory interpretation(p18)
　1861年《人身侵害法》规定，在已婚状态下又与他人“结婚”的行为构成犯罪。在本案中，根据该法某D被控有罪。但他辩称其第二次“结婚”的行为并不产 生法律效力，因此并未触犯该法律。法院认为，“结婚”一词可能有多种解释：它既可指“与某人缔结合法婚姻”，也可指“与他人经历一种形式上的婚姻”。立法 机关制定该项法律时不可能是为了禁止和惩罚一种逻辑上不可能出现的 犯罪，因此，第二种解释更符合立法本意

49 Statutory interpretation(p18)
Under the mischief rule(除弊法则 ) a judge considers what mischief the Act was intended to prevent. Where a statute is designed to remedy a weakness in the law, the correct interpretation is the one that which achieves it.

50 除弊规则（MISCHIEF RULE），又译弥补规则或弊端规则，是指法官解释成文法时要充分考虑成文法所欲弥补的法律制度上的漏洞，并努力去弥补议会 在制定该成文法时所欲弥补的缺陷。这一规则成为英国法律解释理论中的目的解释法的源泉。

51 4.8 Delegated legislation-1 p20
Key term (p20 ) Delegated legislation means rules of law, often of a detailed nature, made by subordinate bodies to whom the power to do so has been given by statute. ．

52 4.8 Delegated legislation-1 p21
Delegated legislationappears in various forms: 1.Statutory instruments（制定法文件） are the most common form of delegated legislation. 2.Local authorities are given statutory powers to make by-laws（附属法规;细则）. 3.Rules of Court（法院规则） may be made by the judiciary to control court procedure.

53 4.8 Delegated legislation-1 p21
4.Professional Regulations（职业规范针对某一特定职业或专业制定的条例，如法学会或律师协会对本团体会员制定的规则） 5.Order in council（枢密院颁布的法令）