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Negócios de risco, deveres dos administradores e imputação objetiva da conduta
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Resumo(s)
O presente estudo tem por objecto a relação que se deve estabelecer entre o Direito Penal e o Direito Civil-societário em contexto de negócios de risco, um dos vários problemas que envolve esta figura com direito a categoria própria no universo penalista. A tese da relação de acessoriedade assimétrica - segundo a qual a ilicitude civil-societária é condição necessária, mas não suficiente para preenchera conduta penalmente típica -, tem sido a solução maioritariamente defendida pela doutrina nos casos de negócios de risco, apoiando-se geralmente os seus defensores nos princípios da unidade do ordenamento jurídico e de ultimaratio do Direito Penal. Com esta dissertação pretendeu-se reflectir sobre essa solução,
propondo um exercício de aproximação ao nosso ordenamento com referência aos crimes
de infidelidade p.e p. art. 224.° do CPe de administração danosa, p.e p. art. 235.° do CP,o
que só se concebeu adequado se antecedido de um trabalho prévio de compreensão do
negócio de risco (PARTEI)e do regime dos deveres dos administradoresà luz das questões
queo negócio de risco suscita (PARTE II). Daqui partindo, procede-se ao exercício de
aproximação (PARTE III), dele resultando que a relação de acessoriedade assimétricaé
sistemicamente congruente, mas só por si insuficiente para assegurar uma solução unitária
de tratamento penal da imputação objectiva da conduta, porquanto não oferece chaveparaa
valoraçãojurídico-penalda condutaquea própriatese de acessoriedade assimétrica convoca
—e que oselementos dos respectivos tipos sob análise tambémparecemexigir, comoresulta
do exercício de aproximação realizado.É pacífico quea teoria da imputação objectiva será
o instrumento dogmáticoa que cabe recorrer para orientar essa valoração, mas demonstrar se-áque paraque tal sucedauniformementenoscasosde negócios de risco, deveráa doutrina
consensualizara sua opçãoa respeito da concepção de imputação objectiva — ou por uma
concepção normativista ou por uma concepção analítica. A apreciação que se fará destas
duas distintas concepções irá expora relevância do exercício prévio de compreensão da
figura do negócio de riscoe do seu significado no espaço de agir do administrador com que
se iniciou esta reflexão.
The object of this study is the sort of relationship that should be established between criminal law and civil-corporate law in the context of risky businesses, one of the several problems entailed by this legal figure entitled to its own category in the penal universe. The thesis of the asymmetrical accessory relationship - according to which civil-corporate unlawfulness is a necessary but not sufficient condition to fulfil the criminally typical conduct - has been the solution mostly defended by the doctrine in cases of risky businesses, with its defenders generally relying on the principles of the unity of the legal order and the ultima ratio of criminal law. The aim of this dissertation is to reflect on this solution, proposing an approach exercise to our legal system inreference to the crimes of infidelity (Article 224 of the Portuguese Criminal Code) and harmful administration (Article 235 of the Portuguese Criminal Code), which was only deemed appropriate if preceded by a prior understanding of risky businesses (PARTS1) and the regime of directors' duties in the light of the issues that it raise (PARTEII). From here, the legal approach exercise is carried out (PARTEIII), showing that the asymmetrical accessory relationship is systemically congruent, but insufficient to ensure a unitary solution for the criminal treatment of the objective imputation of the conduct, since it does not provide the key to the legal-criminal assessment of the conduct that the asymmetrical accessory thesis itself calls for - and that the elements of the respective criminal types under analysis also seem to require, as is clear from the approach exercise carried out. It is widely accepted that the Theory of Objective Imputation is the dogmatic instrument toguide us in this assessment, but it will be shown that in order forthis to happen uniformly in cases of risky businesses, the doctrine must agree toward the concept of objective imputation - either a formativist conception or an analytical one. The assessment of these two different conceptions will expose therelevance of the preceding analysis on the concept of risky businesses and its role in the director's scope of action from which this study departed.
The object of this study is the sort of relationship that should be established between criminal law and civil-corporate law in the context of risky businesses, one of the several problems entailed by this legal figure entitled to its own category in the penal universe. The thesis of the asymmetrical accessory relationship - according to which civil-corporate unlawfulness is a necessary but not sufficient condition to fulfil the criminally typical conduct - has been the solution mostly defended by the doctrine in cases of risky businesses, with its defenders generally relying on the principles of the unity of the legal order and the ultima ratio of criminal law. The aim of this dissertation is to reflect on this solution, proposing an approach exercise to our legal system inreference to the crimes of infidelity (Article 224 of the Portuguese Criminal Code) and harmful administration (Article 235 of the Portuguese Criminal Code), which was only deemed appropriate if preceded by a prior understanding of risky businesses (PARTS1) and the regime of directors' duties in the light of the issues that it raise (PARTEII). From here, the legal approach exercise is carried out (PARTEIII), showing that the asymmetrical accessory relationship is systemically congruent, but insufficient to ensure a unitary solution for the criminal treatment of the objective imputation of the conduct, since it does not provide the key to the legal-criminal assessment of the conduct that the asymmetrical accessory thesis itself calls for - and that the elements of the respective criminal types under analysis also seem to require, as is clear from the approach exercise carried out. It is widely accepted that the Theory of Objective Imputation is the dogmatic instrument toguide us in this assessment, but it will be shown that in order forthis to happen uniformly in cases of risky businesses, the doctrine must agree toward the concept of objective imputation - either a formativist conception or an analytical one. The assessment of these two different conceptions will expose therelevance of the preceding analysis on the concept of risky businesses and its role in the director's scope of action from which this study departed.
Descrição
Palavras-chave
negócios de risco incerteza deveres dos administradores Responsabilidade Civil dos Administradores Business Judgement Rule risco de administração risco de empresa risco permitido Frank H. Knight infidelidade administração danosa imputação objectiva da conduta relação de acessoriedade assimétrica valoração jurídico-penal risky businesses uncertainty directors' duties directors' civil liability management risk business risk permissible risk infidelity harmful management objective imputation of conduct asymmetrical accessory relationship criminal law assessment