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17нормативно - правовом акте дать полную сущность термина «конфликт интересов», в также раскрыть исчерпывающую типологию видов конфликта интересов в профессиональной деятельности.
Таким образом, приходим к выводу, что во -первых, если конфликт интересов произошел банк обязан проинформировать клиента. Исходя из нашего исследования, мы выяснили, что в основном многие банки руководствуются принципом, где интересы клиента стоят на первом месте, что является целесообразным фактором в сфере корпоративных отношений. Но стоит отметить, что не следует допускать ситуации, где приоритет интересов клиента, затронутого конфликтом интересов, над интересами других клиентов. Можно сделать вывод, что избежать конфликт интересов не всегда возможно, и если конфликт интересов произошел, следует принимать санкции и меры и привлекать к административной ответственности. Санкцией за такое нарушение могут стать штрафы, а за грубое нарушение законодательства может быть предусмотрено и аннулирование лицензии. Особо отметим, что срок давности по привлечению управляющего к ответственности за нарушение прав клиента должен быть не менее трех лет, поскольку факт подобного нарушения выявить достаточно непросто.
СПИСОК ЛИТЕРАТУРЫ:
1. «О предотвращении конфликта интересов при осуществлении профессиональной деятельности на рынке ценных бумаг»: Постановление ФКЦБ России (ред. от 05.11.1998) // СПС. 1998. №44.
2. «О противодействии коррупции»: Федеральный закон от 25.12.2008 № 273 - ФЗ (ред. от 03.09.2018) // Собрание законодательства РФ
3. «О рынке ценных бумаг»: Федеральный закон от 22.04.1996 № 39-Ф3 (ред. от 21.12.2018) // Собрание законодательства РФ. 1996. №17. Ст. 1914.
4. Батаев Б.С. Корпоративное управление: направления совершенствования. // М., 2012. С. 80.
5. Правила предотвращения конфликта интересов при осуществлении Банком ГПБ (АО) профессиональной деятельности на рынке ценных бумаг// Москва. 2016. С.5-10
6. Программа социально-экономического развития Российской Федерации на среднесрочную перспективу (2012 - 2017 годы), утвержденная распоряжением Правительства РФ от 10 июля 2011 г. № 910-р
7. Цирин А.М., Спектор Е.И., Севальнев В.В. К вопросу о понятии конфликта интересов // Журнал зарубежного законодательства и сравнительного правоведения. 2015. № 5(54).
A CONCEPTUAL MODEL OF THE LEGAL DEFINITION OF RULE OF LAW
Sachko O.
Candidate of Law,
associate professor of department of administrative and criminal law Oles Honchar Dnipro National University
Abstract
The conceptual problems of legal definition of the rule of law, taking into account European standards and constitutional norms were analyzed in the article. Conceptual models of individual criminal procedural principles of legality, legal certainty, respect for human rights, the prohibition of state arbitrariness, non-discrimination and equality before the law, effective access to justice, proportionality were formed on this base.
Keywords: rule of law, legitimacy, the rights and freedoms of the human person, proportionality.
Chapter 1 of the Constitution of Ukraine "General principles" enshrines the basic principles of the rule of law. Here, by the way, enshrining the fundamental ideas of the state, it is stated that "state power in Ukraine is exercised on the basis of its division into legislative, Executive and judicial power". (article 6). At the same time, it is stated that "the principle of the rule of law is recognized and operates in Ukraine".
On the basis of such we can assume that the concepts of "basis" and "principles" are considered identical.
The analysis of legislative acts shows certain differences in the understanding of the system and certain concepts of the principles of law. The question arises about the correlation of the rule of law with these principles and with other procedural principles, such as "legality".
For example, article 4 of the Law of Ukraine "On advocacy and advocacy activity" notes that "advocacy activity is carried out on the principles of the rule of law, legality, independence, confidentiality and avoidance of conflict of interest". So here the rule of law and the rule of law are understood as equivalent independent principles of law. A similar approach is seen in the Criminal Procedure Code (CPC) of Ukraine and the Laws of Ukraine "On the National anti-corruption Bureau of Ukraine" (art. 3), "On the state Bureau of investigation" (art. 3), "On the Prosecutor's office" (art. 3), "On the National police" (art. 6-8), "On enforcement proceedings" (art. 2).
Article 8 of the CPC a fairly brief concept of the rule of law is provided- "Criminal proceeding is carried out in compliance with the rule of law, according to which a person, his rights and freedoms are recognized as the highest values and are determined the content and
direction of the state. The principle of the rule of law in criminal proceedings is applied taking into account the practice of the European court of human rights". This laconism of the legislation does not contribute to the proper understanding and application of this principle in the practice of investigative and judicial bodies.
In modern legal doctrine, in fact, the rule of law, being a General legal principle of the rule of law, is the most common, integrative basis of justice, which manifests its genetic effect through its structural, harmonized with each other, the functional foundations of criminal law and process as separate principles of an independent branch of law.
In the integrative sense an interesting opinion of V. M. Tertyshnyk, who notes "the rule of law is system of legal and social apparatus, where the natural rights and freedoms of human found legislative recognition, they are the biggest value of society and their provision becomes a priority for the state where the government is controlled with the law, is confined with the right and the right creates a system of relations in which a eliminated the possibility of arbitrariness of officials is eliminated maximally" [18, p. 17].
In this framework of integrative modeling, the European Commission for democracy through law (Venice Commission) in its report on the rule of law pointed to such necessary elements: the legality and transparency of the adoption of laws; legal certainty, which provides for the ease and accessibility of clarification of the content of the law and the legally opportunity to use this right; the prohibition of state arbitrariness, in particular the restriction of the discretionary powers of state bodies, the validity of their decisions; effective access to justice at independent and impartial courts, judicial control over the legality and constitutionality of acts of the state government, the functioning of an independent advocacy, the execution of court decisions; respect for human rights, especially the guarantee of the right to an effective remedy, a fair trial, the right to be heard, the presumption of innocence, the prohibition of the retroactivity of the law; non-discrimination and equality before the law, which implies the absence of laws that contain discriminatory provisions or enshrine legal privileges, prohibition of discriminatory interpretation or application of the law.
However, in Decision №3-RP/2012 of the 25-th of January 2012 (case №1-11/2012), the Constitutional Court of Ukraine noted that one of the elements of the rule of law is also the principle of proportionality.
Therefore, based on the conceptual provisions of the Venice Commission and domestic regulations, it can be argued that the rule of law should be considered in criminal proceedings as an integrative principle of law and the state of the rule of law, which actually includes such principles of criminal procedure as: a)le-gality, b) legal certainty, c) respect for human rights, d) prohibition of state arbitrariness, e) non-discrimination and equality before the law, e) effective access to justice, g)proportionality. Their essence and content will be considered.
The principle of legality is disclosed in article 9 of the CPC of Ukraine. In contrast to the short describing
of the principles of the rule of law. There is a wide disclosure of the content of the principle of legality, but its essence, on the one hand, is not completely disclosed and, on the other hand, there is unjustified verbosity and contradictory provisions.
At first, part 2 of this article refers to the principle of a comprehensive, complete and impartial study of the circumstances of criminal proceedings, which needs to be separately enshrined in the norms of the CPC as an independent principle. The substantive part of the principle of legality here is only the provisions about the need to "ensure the adoption of lawful and impartial procedural decisions", which can certainly be achieved in compliance with the entire system of judicial principles in general.
Secondly, the provision of part 3 of article 8 of the CPC of Ukraine "laws and other normative legal acts of Ukraine, the provisions of which relate to criminal proceedings, must comply with this Code, and in the implementation of criminal proceedings cannot apply the law which contradict to this Code" is largely illogical, at least, for the presence of the norms of the Constitution, which are the norms of the highest legal force and can be norms of direct action.
On the one hand, the admissibility of evidence obtained by law enforcement agencies in the process of their activities to detect and prevent crimes is doubtful with these regulations. For example, in the course of police activities on the basis of the Law of Ukraine "On National police", the activities of state institutions in accordance with the Law of Ukraine "On prevention of corruption".
V. M. Tertyshnyk notes: "The principle of the rule of law-the restriction implements through the principle of legality in criminal proceedings. In particular, if a citizen is allowed to do everything that is not prohibited with law then the authorities and in criminal proceedings - the subjects endowed with power-administrative powers should do only what is dictated to them, and only in the form dictated with law. Such principle of restriction of the power with the right - bases of the legal state - it is necessary to observe strictly and precisely in criminal process" [20, p.30].
We offer to form Art. 9 of the CPC of Ukraine "Legality" taking into account the stated position: ""During the detection of a crime, the arrest of a suspect at the scene of a crime and the implementation of criminal proceedings, as well as in the execution of a sentence or other judicial decision, the investigator, detective, court, investigating judge, Prosecutor, head of the pre-trial investigation body, other officials of public authorities are obliged, within their competence and in a certain way, to take all measures provided with law to establish the event of a crime, the persons guilty of a crime and to punish them; to ensure the correct application of the Law so that everyone is able to, who committed the crime, was brought to justice and no innocent was punished, comply observe thus requirements of the Constitution of Ukraine, this Code, the international legal acts which are provided by the Verkhovna Rada of Ukraine, requirements of other laws and decisions of the European Court of human rights.
No one can be held criminally liable or be restricted in his or her rights and freedoms except on the grounds and in the order which is prescribed with law.
Laws and other normative legal acts of Ukraine, the provisions of which relate to criminal proceedings, must comply with the norms of the Constitution of Ukraine and The decision of the Constitutional Court of Ukraine.
In case of competition of legal norms, the norms of the Constitution of Ukraine are applied, as the norms, which have the highest legal force and can be applied as the norms of direct action.
If there are gaps in the law, doubts about the presence certain rights and freedoms in private persons, their content and scope, such doubts must be interpreted and resolved in favor of such a person and doubts about the powers of public officials must be interpreted in a restrictive manner".
Legal certainty requires a separate doctrinal understanding and legislative consolidation. Legal certainty implies clarity of the law, ease and accessibility of clarification of the content of the law and legally secured opportunity to use this right, the absence of legal fictions, conflicts, contradictory and ambiguous provisions that allow its different interpretation and application. In fact, this is a requirement for the quality of the law.
We propose to define article 9-1 CPC of Ukraine "legal certainty" such way: "Criminal procedure legislation should provide a clear procedural status of a person involved in the proceedings; to fix understandable legal regulations in the legal norms that provide ease and availability of clarification of the essence of the right and the obligation imposed on the person to provide a legally guaranteed opportunity to use the rights guaranteed with law and determine the procedure for the implementation of human rights and freedoms, and officials, who conduct criminal proceedings, must explain the content of such rights and obligations, the procedure for their implementation and facilitate their implementation".
Respect for human rights is a substantial part of the rule of law principle, which is revealed in its constitutional concept.
The prohibition of state arbitrariness includes mul-tifaceted requirements of international legal acts about the relationship between human and state in the field of justice. First of all, they are the postulates.
Everyone, who is accused in a criminal offence has the right to be presumed innocent and treated as innocent.
No one can be subjected to arbitrary arrest, detention, coercion or restriction of his or her rights and freedoms without justification. No one can be left freedom except on the grounds and in accordance with such procedure which is established with law.
No one can be subjected to torture or to cruel, inhuman or degrading treatment or punishment.
Everyone, who is arrested, is reported the reasons of arrest in the arrest and is shown the arraignment.
Detainees and arrested persons have the right to legal assistance by a lawyer and time for confidential communication with him. Meetings with the lawyer of
a detainee or arrested person can take place in conditions that a law enforcement official is allowed to see them but not to hear.
Article 17 "Prohibition of abuse of rights" of the Convention "On the protection of human rights and fundamental freedoms" can be considered, it defines: "No provisions of this Convention can be interpreted as granting any state, group or person the right to engage in any activity or to perform any action aimed at the abolition of any rights and freedoms which are determine with this Convention, or at their limitation to a greater extent than that is provided for in the Convention" and the provisions of art. 18: "The Restrictions permitted in this Convention about certain rights and freedoms will not be applied for other purposes than those one for which they are established".
The implementation of such element of the principle of the rule of law as the "prohibition of state arbitrariness" also requires a clearer disclosure in the criminal process of the principle from the article 19 of the Constitution of Ukraine "the legal order in Ukraine is based on the principles according to which no one can be forced to do what is not provided with law. State and local self-government bodies and their officials are obliged to act only on the basis, within the limits and order which are provided with the Constitution and laws of Ukraine".
In view of the fact that the amendment to the Constitution of Ukraine on the system of the principles of justice was introduced by 216, the principle of discretion was ruled out, imperfection was noted [7, 9], as well as the system of the basic principles of the criminal process, proposing a new concept of this legal norm.
The Constitution of Ukraine was changed in 2016 so the principle of discretion was ruled out from the system of principles of justice, its inappropriateness was pointed out by scientists [7, 9] and we propose a new conceptual model of this legal norm as the emerging need for the development of a system of principles of the criminal process.
We offer art. 26 of the CPC of Ukraine directly to call the "Prohibition of state arbitrariness" and it will be stated thus:
"Everyone charged with a criminal offense has the right to be presumed innocent and treated as innocent.
No one can be subjected to arbitrary arrest, detention, coercion or restriction of his or her rights and freedoms without justification.
No one can be subjected to torture or to cruel, inhuman or degrading treatment or punishment. It is prohibited to obtain testimony by torture, violence or other illegal means.
Everyone, who is arrested, is reported the reasons of arrest in the arrest and is shown the arraignment.
In criminal proceedings, no one can be forced to do what is not provided with law.
Individuals can do everything that is not prohibited with law.
The Prosecutor, investigator, detective, investigator judge, court, other officials of law enforcement agencies and public authorities are obliged to act only on the basis, within the powers and in the manner pro-
vided with the Constitution and laws of Ukraine, to adhere to the procedural form of criminal proceedings and to take the necessary and legally defined measures to ensure the rights and freedoms of other participants in the process; to use international legal acts and practice of the European court of human rights in determining the human rights and freedoms; to interpret all doubts about the content and scope of human rights and freedoms in its favor, based on the principle of human integrity; to exclude any acts of arbitrariness against the person, his/ her rights and freedoms.
Restrictions permitted with law on human rights and freedoms cannot be will not be applied for other purposes than those one for which they are established.
When new laws are adopted by the legislature, the existing rights and freedoms and guarantees of their protection will not be restricted".
In determining the principle of non-discrimination and equality before the law, it is advisable to apply the provisions of article 2 of the International Covenant "On civil and political rights" (from December 16, 1966).
Effective access to justice is disclosed in article 6 of the Convention "on the protection of human rights and fundamental freedoms".
The principle of proportionality is increasingly found in the decisions of the European court of human rights.
In an integrative form, the concept and essence of the principle of proportionality in criminal proceedings can be set out in such concept.
The principle of proportionality is enshrined in international normative acts, decisions of the Constitutional Court of Ukraine and the European court of human rights, the principle of law, according to the conceptual content of which the purpose of legal action should be socially significant, and the means of achieving it is the least burdensome in specific conditions, interference into the sphere of human rights and freedoms can be allowed only in cases of extreme necessity, in order to ensure justice or other socially useful purpose, if this cannot be achieved by other means and harm caused will coercive measures will be less than the abstract [7, p.8-10].
At this stage of judicial and legal reform it is necessary to present in detail the integrative content of the general legal principle of the rule of law in the CPC of Ukraine on the basis of a systematic analysis of the Constitution of Ukraine, international legal acts and decisions of the European Court of human rights and the constitutional court of Ukraine and to define and disclose the content of procedural principles such as proportionality, legality, legal certainty, respect for human rights, prohibition of state arbitrariness, non-discrimination and equality before the law, effective access to justice in some norms.
Procedures, regulations, requirements and prohibitions should be in any criminal proceedings. They will become a reliable mechanism of checks and balances against legal errors and unjustified restrictions of the rights and freedoms guaranteed with the law of the parties to the proceedings.
V. M. Tertyshnyk says: "If the right is mathematics of freedom, criminal procedure law is algebra of fair justice" [20, p. 6].
Conclusion. Two possible shortcomings should be avoided during regulating the production with the use of special forms, procedures and regimes of criminal proceedings: 1) too significant and unjustified simplifying the procedural form and guarantees of justice in the application of simplified procedures; 2) a significant complication of the procedural procedure, which is difficult to perform in extreme and complex conditions of criminal proceedings.
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