Due process in EU competition proceedings:
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Alphen aan den Rijn
Kluwer Law International
2011
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| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XXVII, 546 S. Ill. |
| ISBN: | 9789041132727 |
Internformat
MARC
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TABLE OF CONTENTS
ABOUT THE AUTHOR V
LIST OF ABBREVIATIONS XXIII
PREFACE AND ACKNOWLEDGEMENT XXV
CHAPTER 1 INSTITUTIONS 1
[§1.1.] IMPACT OF THE LISBON TREATY 1
[§1.2.] SUMMARY OF INSTITUTIONS 2
[§1.3.] THE COMMISSION 3
[A] GENERAL 3
[B] ROLE OF THE COMMISSION 3
[C] ORGANIZATION OF THE COMMISSION 4
[§1.4.] THE COUNCIL OF MINISTERS 7
[§1.5.] THE EUROPEAN PARLIAMENT 8
[§1.6.] THE ADVISORY COMMITTEES 9
[§1.7.] THE ECONOMIC AND SOCIAL COMMITTEE 10
[§1.8.] THE GENERAL COURT, FORMERLY THE CFI 10
[§1.9.] THE COURT OF JUSTICE 11
[§1.10.] THE EUROPEAN OMBUDSMAN 11
[§1.1 L.J THE COMPETITION AUTHORITIES OF THE MEMBER STATES 12 [§1.12.]
NATIONAL COURTS 13
[§1.13.] TRANSPARENCY OF INFORMATION 14
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CHAPTER 2 SUBSTANTIVE RULES: BASIC PRINCIPLES 17
[§2.1.1 INTRODUCTION 17
[§2.2.] ARTICLE 101: THE PROHIBITION OF AGREEMENTS AND OTHER CONCERTED
ACTIONS THAT ARE RESTRICTIVE OF COMPETITION 17
[A] CONDITIONS OF PROHIBITION 17
|B| THE MEANING OF AN UNDERTAKING 18
[C] AGREEMENT OR CONCERTED ACTION: REQUIREMENT OF MORE THAN ONE
INDEPENDENT UNDERTAKING 18
[1] UNILATERAL ACTION EXCLUDED 18
[2] EMPLOYEE RELATIONSHIP 18
[31 AGENCY RELATIONSHIP 18
[41 RELATED COMPANIES: THE ECONOMIC ENTITY 18
[51 COMPANIES RELATED BY SUCCESSION 19
[D] FORMS OF PROHIBITED CONDUCT 19
[1] AGREEMENT 19
[2] DECISIONS BY ASSOCIATIONS OF UNDERTAKINGS 20
[3] CONCERTED PRACTICES 20
[E] STATE COMPULSION 21
[F] RESTRICTION OF COMPETITION 22
[ 1J RESTRICTION BY OBJECT OR EFFECT 22
[2J APPRECIABLE RESTRICTION OF COMPETITION 23
[3] NATURE OF COMPETITION WHICH MAY BE RESTRICTED 23 [4J ANCILLARY
RESTRAINTS FALLING OUTSIDE THE SCOPE OF ARTICLE 101(1) 23
[§2.3.1 ARTICLE 101(2): THE NULLITY SANCTION 23
[§2.4.] ARTICLE 101(3): EXEMPTION FROM THE PROHIBITION 24
[A| THE FOUR SUBSTANTIVE CONDITIONS UNDER ARTICLE 101(3) 24 [B| BLOCK
EXEMPTIONS 25
[§2.5.| ARTICLE 102: THE CONCEPT OF DOMINANCE AND ABUSE 25
[A] SCOPE OF ARTICLE 102 25
[B] DEFINITION OF A DOMINANT POSITION 26
[C| COLLECTIVE DOMINANCE 27
[D] RELEVANT CRITERIA FOR EVALUATING DOMINANCE 27
[EL THE CONCEPT OF ABUSE 28
[F] EXPLOITATIVE ABUSES AND EXCLUSIONARY ABUSES 28
[G| COMMISSION S GUIDANCE ON ABUSIVE EXCLUSIONARY CONDUCT 29 [§2.6.1
MARKET DEFINITION 30
[A] THE IMPORTANCE OF MARKET DEFINITION 30
[B] THE NOTICE ON MARKET DEFINITION 30
11 ] RELEVANT PRODUCT MARKET 31
[2] RELEVANT GEOGRAPHIC MARKET 31
[C] PROCESS OF DEFINING THE RELEVANT MARKET 31
I §2.7.] EFFECT ON TRADE BETWEEN MEMBER STATES 32
[A] THE CONCEPT OF TRADE 33
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[B] ESTABLISHING AN EFFECT ON TRADE 33
[I] PATTERN OF TRADE TEST 33
[2] STRUCTURAL TEST 34
[C] EFFECT ON TRADE MUST BE APPRECIABLE 35
[1] GENERAL PRINCIPLE 35
[2] THE NAAT RULE 35
CHAPTER 3 INTERNATIONAL FRAMEWORK 37
[§3.1.] SUMMARY 37
[§3.2.] EXTRATERRITORIAL APPLICATION OF EU COMPETITION LAW 38 [A]
INTRODUCTION 38
[B] THE ECONOMIC ENTITY DOCTRINE 39
[B] THE EFFECTS DOCTRINE 39
[1] THE EFFECTS DOCTRINE AS DEVELOPED BY THE EU AUTHORITIES 39
[2] THE APPLICATION OF THE EFFECTS DOCTRINE IN THE MERGER REGULATION 41
[D] THE IMPLEMENTATION DOCTRINE 42
[E] CONSIDERATIONS OF COMITY 43
[F] CONCLUSION 44
[§3.3.] EUROPEAN ECONOMIC AREA 44
[A] INTRODUCTION 44
[B] SUBSTANTIVE RULES 45
[C] THE TWO-PILLAR SYSTEM 46
[D] ONE-STOP SHOP PRINCIPLE 46
[E] JURISDICTION ALLOCATION CRITERIA 47
[1] RESTRICTIVE AGREEMENTS, DECISIONS OR PRACTISES 47 [2] ABUSE OF A
DOMINANT POSITION 47
[3] MERGER CONTROL 48
[F] COOPERATION AND EXCHANGE OF INFORMATION 48
[G] EEA: JUDICIAL REVIEW 49
[§3.4.J THE WIDENING OF THE EU 50
[A] STABILISATION AND ASSOCIATION AGREEMENTS 50
[B] CUSTOMS UNION BETWEEN TURKEY AND THE EU 51
[§3.5.] BILATERAL RELATIONS 52
[A] EU-US COOPERATION 52
[1] INTRODUCTION 52
[2] MAIN PROVISIONS OF THE EU-US AGREEMENT AND THEIR APPLICATION IN
PRACTICE 55
[A] NOTIFICATION 55
[B] EXCHANGE OF INFORMATION 56
[C] CONFIDENTIALITY 57
|D] COOPERATION REGARDING COMPETITION ENFORCEMENT ACTIVITIES 59
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[3] THE IMPLICATIONS OF EU-US COOPERATION FOR MULTINATIONAL COMPANIES 62
FA] MERGER CASES 62
FB] ANTI-COMPETITIVE AGREEMENTS BETWEEN COMPANIES 65
[CJ ABUSES OF A DOMINANT POSITION 67
[BL EU/CANADA COOPERATION 68
[CJ EU/JAPAN COOPERATION 69
[D] EU/SOUTH KOREA COOPERATION 69
[E] BILATERAL COOPERATION WITH OTHER COUNTRIES 70
1 §3.6.] MULTILATERAL AGREEMENTS 70
[A] INTERNATIONAL COMPETITION NETWORK 70
[B] ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT 71
[CJ UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT 72 [DJ WORLD
TRADE ORGANIZATION 72
CHAPTER 4 RULES OF PROCEDURE GENERALLY 75
[§4.1.] FORMER REGULATION 17 76
[A] THE NOTIFICATION PROCESS 77
[BJ OUTCOME OF THE NOTIFICATION PROCESS 77
[1] PROVISIONAL DECISION 78
[2] FORMAL DECISION 78
[A] NEGATIVE CLEARANCE 78
[B] EXEMPTION 78
[3] COMFORT LETTER 79
[4) INFRINGEMENT PROCEEDING 80
[C] ROLE OF BLOCK EXEMPTIONS 80
[§4.2.J CURRENT REGULATION ON PROCEDURE 80
[A] PARALLEL COMPETENCE OF COMMISSION, NCAS AND NATIONAL COURTS 82
[ 11 ALLOCATION OF CASES 83
[21 PREPONDERANT ROLE OF COMMISSION 85
[AJ VIS-A-VIS NCAS 85
[B] VIS-A-VIS NATIONAL COURTS 86
[B] CONCURRENT APPLICATION OF EU COMPETITION LAW AND NATIONAL
COMPETITION LAW 90
[C] REPORT ON THE FUNCTIONING OF THE REGULATION ON PROCEDURE 91 [§4.3.]
IMPACT OF FUNDAMENTAL RIGHTS ON COMPETITION ENFORCEMENT PROCEDURE 92
[A] FUNDAMENTAL RIGHTS AND THE LAW OF THE EUROPEAN UNION 92 [ 1J THE
INTRODUCTION OF FUNDAMENTAL RIGHTS INTO THE PRIMARY LAW OF THE EUROPEAN
UNION 92
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[2] THE ECHR 94
[3] THE CHARTER OF FUNDAMENTAL RIGHTS 96
[4] THE LISBON TREATY 97
[B] FUNDAMENTAL RIGHTS AND COMPETITION LAW PROCEEDINGS 98
11] THE APPLICABILITY OF FUNDAMENTAL RIGHTS IN COMPETITION LAW
PROCEEDINGS 98
[AJ THE AMBIGUOUS LEGAL NATURE OF COMPETITION LAW PROCEEDINGS 98
[B] THE LIMITED APPLICATION OF FUNDAMENTAL RIGHTS IN THE FIELD OF
COMPETITION LAW 100
[2] PRESUMPTION OF INNOCENCE AND THE RIGHT TO REMAIN SILENT 101
[3] RIGHT TO PRIVACY AND PROTECTION OF BUSINESS PREMISES AGAINST
INSPECTIONS 102
[4] LEGAL PRIVILEGE AND THE PROTECTION FROM SEIZURE OF CERTAIN DOCUMENTS
102
[5] RIGHT TO BE HEARD 103
[6] RIGHT TO HAVE A DECISION WITHIN A REASONABLE TIME 103
[7] PRINCIPLE OF LEGALITY AND ITS COROLLARIES 104
[81 PRINCIPLES OF PROPORTIONALITY AND EQUAL TREATMENT 104 [9] NON BIS IN
IDEM 105
[101 DUTY TO STATE REASONS 106
[11] RIGHT TO AN EFFECTIVE REMEDY AND TO A FAIR TRIAL 106 [C] CHALLENGES
AHEAD 109
CHAPTER 5 ENFORCEMENT OF EU COMPETITION RULES BY COMMISSION 113
[§5.1.] OVERVIEW 113
[§5.2.] THE INVESTIGATION PHASE 114
[A] COMPLAINTS 116
[1] STATISTICS 116
[2] WHO MAY COMPLAIN 117
[3] CONTENT 118
[4] HANDLING AND ASSESSMENT OF COMPLAINTS BY THE COMMISSION 119
[A] COMMUNITY INTEREST 120
[BJ DUTY OF VIGILANCE 122
[C] THREE-STAGE PROCEDURE FOR ASSESSING COMPLAINTS 123
[5] POSSIBLE REVIEW BY THE EUROPEAN OMBUDSMAN 126 [6] PROCEDURAL RIGHTS
OF COMPLAINANTS 127
[B] OTHER EVENTS TRIGGERING AN INVESTIGATION 128
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[CJ COMMISSION S POWERS OF DISCOVERY 129
[1J REQUESTS FOR INFORMATION 129
[A] PROCEDURE 129
[B] NECESSARY INFORMATION 130
[C] INCORRECT INFORMATION 132
[2] ON-THE-SPOT INSPECTIONS 132
[A] SUBJECT-MATTER OF THE INSPECTION 134
[B] RIGHT OF ENTRY 136
[C] RIGHT TO SEARCH 139
[D] ACCESS TO ELECTRONIC DOCUMENTS 141
[E] DUTY TO ASSIST 142
FF] COPIES OF BOOKS AND RECORDS 143
[G] SEALS 143
FH] ORAL EXPLANATIONS 144
LI] ASSISTANCE FROM OTHER COMPETITION AUTHORITIES 146 [3] INTERVIEWS 147
[4] SECTOR INQUIRIES 148
[D] LIMITATIONS ON THE COMMISSION S INVESTIGATION POWERS 150 [11
PROPORTIONALITY RULE 150
[2] TERRITORIAL REACH 151
[3] LEGAL PROFESSIONAL PRIVILEGE 153
[4] RIGHT TO PRIVACY 157
[5] RIGHT TO REMAIN SILENT (OR PRIVILEGE AGAINST SELF-INCRIMINATION )
158
[A] THE ABSENCE OF A PRIVILEGE AGAINST SELF-INCRIMINATION UNDER EU
COMPETITION LAW 158 [B] THE LIMITED RIGHT TO REMAIN SILENT UNDER EU
COMPETITION LAW 159
[C] THE COMPATIBILITY OF EU COMPETITION LAW WITH ARTICLE 6 ECHR 161
[6] USE OF INFORMATION: PURPOSE OF THE INQUIRY 163
[7] PROFESSIONAL SECRECY 164
[E] MEETINGS AND OTHER CONTACTS WITH THE PARTIES AND THIRD PARTIES 165
[F] POSSIBLE OUTCOMES OF THE INVESTIGATION PHASE 165
[11 PROHIBITION DECISION 165
[2] COMMITMENT DECISION 165
[31 DECISION TO CLOSE THE CASE 165
[§5.3.] PROCEDURE LEADING TO A PROHIBITION DECISION 166
[A] MAIN ACTORS IN THE PROCEDURE 166
[11 THE COMMISSION AND THE PARTIES CONCERNED 166 [21 THE HEARING OFFICER
167
[3] COMPLAINANTS AND INTERESTED THIRD PARTIES 169
IB] LANGUAGES 170
[C| INITIATION OF PROCEEDINGS 170
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[§5.4.1
[§5.5.] [§5.6.]
[D] [E]
[F]
[G] [H]
TABLE OF CONTENTS
STATEMENT OF OBJECTIONS ACCESS TO THE FILE [1] THE DEFENDANTS RIGHT OF
ACCESS TO THE FILE [A] THE FILE
[B] NON-ACCESSIBLE DOCUMENTS [C] REQUESTS FOR CONFIDENTIAL TREATMENT [D]
TIMING AND PROCEDURE FOR ACCESS TO THE FILE [E] SANCTION [2] ACCESS TO
THE FILE UNDER THE TRANSPARENCY REGULATION
[A] GENERAL OVERVIEW [B] TRANSPARENCY REGULATION AND COMPETITION FILES
MEETINGS WITH DG COMPETITION [1] STATE OF PLAY MEETINGS [2] TRIANGULAR
MEETINGS [3] OTHER MEETINGS REVIEW OF KEY SUBMISSIONS RIGHT TO BE HEARD
[1] WRITTEN COMMENTS [A] THE DEFENDANTS [BL COMPLAINANTS AND THIRD
PARTIES [2] ORAL HEARING [A] BENEFICIARIES OF THE RIGHT TO BE HEARD [B]
WHO ELSE MAY ATTEND THE ORAL HEARING [C] LEGAL REPRESENTATION AND
ASSISTANCE [D] ORGANIZATION OF THE HEARING [E] TYPICAL HEARING [F]
RECORD [G] THE VALUE OF THE ORAL HEARING [H] THE REPORTS OF THE HEARING
OFFICER INTERIM MEASURES [A] [B]
CONDITIONS PROCEDURE
RECOMMENDATIONS FINAL PROHIBITION DECISION [A] [B] [CJ
[DL
ADVISORY COMMITTEE POSSIBLE RELIEF FORMAL REQUIREMENTS [1] ADOPTION BY
THE COLLEGE OF COMMISSIONERS [2] NOTIFICATION AND PUBLICATION [3] DUTY
TO STATE REASONS TIMING: DUTY TO ACT WITHIN A REASONABLE TIME [1]
COROLLARY OF THE PRINCIPLE OF SOUND ADMINISTRATION [2] ASSESSMENT OF THE
DURATION OF THE ADMINISTRATIVE
PROCEDURE
171 175 176 178
178 182 184 186 187 187
191 193 194 194 194 194 195 195 195 196 197 197 198 198 199 200 201 201
202 203 203 205 206 206 207 208
210 210 211 213 214 214
215
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[3J CONSEQUENCES OF THE EXCESSIVE DURATION OF THE ADMINISTRATIVE
PROCEDURE 215
[E] TRUSTEE 216
|§5.7.| FINES AND PERIODIC PENALTY PAYMENTS 216
[A| FINES FOR PROCEDURAL INFRINGEMENTS 217
IB] FINES FOR SUBSTANTIVE BREACHES OF COMPETITION RULES 218 [1] GENERAL
LEGAL PRINCIPLES 219
[A] THE PRINCIPLE OF LEGALITY AND ITS COROLLARIES 220 [BJ THE PRINCIPLES
OF PROPORTIONALITY AND EQUAL TREATMENT 222
[C] NON BIS IN IDEM 223
[21 LEGAL MAXIMUM 225
[3] LEGAL CRITERIA: GRAVITY AND DURATION 227
[4] THE COMMISSION FINING GUIDELINES 228
LA] METHODOLOGY 231
[B] CALCULATION OF THE BASIC AMOUNT 232
[C] FINE INCREASES AND FINE REDUCTIONS FOR AGGRAVATING AND MITIGATING
CIRCUMSTANCES 238 FD] SPECIFIC INCREASE FOR DETERRENCE 247
LE] CEILING 248
[F] FINAL ADJUSTMENTS 249
[G] FINAL CONSIDERATIONS ON THE FINING GUIDELINES 252 [5] PAYMENT 254
[C] PERIODIC PENALTY PAYMENTS 256
(§5.8.1 LENIENCY 258
[A] IMMUNITY FROM FINES 260
[B] REDUCTION IN FINES 264
[C] PROCEDURE 266
[ 1 ] APPLICATION FOR IMMUNITY 266
|2| APPLICATION FOR A REDUCTION IN FINES 269
[D] LENIENCY AND PRIVATE ENFORCEMENT 269
[E] LENIENCY AND GROUPS OF COMPANIES 272
[F| LENIENCY AND JUDICIAL REVIEW 274
[G] LENIENCY AND INTERNATIONAL CARTELS 275
[ 1 ] THE ECN MODEL LENIENCY PROGRAMME 275
12] LENIENCY APPLICATIONS AND EXCHANGE OF INFORMATION WITHIN THE ECN AND
WITH NATIONAL COURTS 278
FA] EXCHANGE OF INFORMATION UNDER ARTICLE 11 OF THE REGULATION ON
PROCEDURE 278
[BJ EXCHANGE OF INFORMATION UNDER ARTICLE 12 278 [C] COMMITMENT TO
COMPLY WITH THE NETWORK NOTICE 280
[D] TRANSFER OF INFORMATION TO NATIONAL COURTS 280 [E] UNRESOLVED ISSUES
280
I HI ENTRY INTO FORCE 281
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[§5.9.] LIMITATION PERIODS 281
[A] IMPOSITION OF PENALTIES 282
[B] ENFORCEMENT OF SANCTIONS 283
[§5.10.] PARENT/SUBSIDIARY AND SUCCESSOR LIABILITY 284
[AL PARENT/SUBSIDIARY LIABILITY 284
[B] SUCCESSION 288
[§5.11.] ALTERNATIVE ENFORCEMENT PROCEDURES 290
[A] INFORMAL SETTLEMENTS 290
[B] COMMITMENTS PROCEDURE 292
[1] SCOPE OF THE COMMITMENTS PROCEDURE 294
[A] THE UNDERTAKINGS CONCERNED 294
[B] INTERESTED THIRD PARTIES 295
[21 PROCEDURAL STEPS 295
[A] INITIATION OF PROCEEDINGS 295
[BJ COMPETITION CONCERNS 296
[CJ OFFER OF COMMITMENTS 297
[D] MARKET TEST 297
[3] COMMITMENTS DECISIONS 298
[A] LEGAL NATURE OF COMMITMENTS DECISIONS 298 [B] LEGAL EFFECTS OF
COMMITMENTS DECISIONS 299 [C] JUDICIAL REVIEW OF COMMITMENTS DECISIONS
300 [D] RIGHTS OF DEFENCE OF THE UNDERTAKINGS
CONCERNED 301
[E] PROCEDURAL RIGHTS OF INTERESTED THIRD PARTIES 304
[C] SETTLEMENT PROCEDURE 305
[ 1 ] SCOPE OF THE SETTLEMENT PROCEDURE 307
[21 PROCEDURAL STEPS 307
[A] INITIATION OF PROCEEDINGS: EXPLORATORY STEPS REGARDING SETTLEMENT
308
[BJ BILATERAL ROUNDS OF SETTLEMENT DISCUSSIONS 309 [C] CONDITIONAL
SETTLEMENT SUBMISSIONS 311
[D] SETTLED STATEMENT OF OBJECTIONS 312
[31 SETTLED DECISION 313
[A] ADOPTION OF THE SETTLED DECISION 313
[B] PUBLICATION OF THE SETTLED DECISION 314
[C] LEGAL EFFECTS AND JUDICIAL REVIEW OF SETTLED DECISIONS 314
[4J PROCEDURAL RIGHTS UNDER THE SETTLEMENT PROCEDURE 316 [A] THE RIGHTS
OF DEFENCE OF THE UNDERTAKINGS CONCERNED 316
[B] THE PROCEDURAL RIGHTS OF COMPLAINANTS 318 [D] FINDINGS OF
INAPPLICABILITY 319
[E] GUIDANCE LETTER 320
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[F] GENERAL MEASURES ADOPTED BY THE COMMISSION 321
[1] BLOCK EXEMPTIONS 321
[2] NOTICES AND GUIDELINES 323
[§5.12.| ENFORCEMENT POLICY, PROCEDURE AND TECHNIQUE 324
[A] ENFORCEMENT POLICY 324
[B] ENFORCEMENT PROCEDURE 325
[ 1 ] INQUISITORIAL 325
[2] KAFKAESQUE 325
[3| CRIMINAL 325
[C| ENFORCEMENT TECHNIQUE 325
CHAPTER 6 JUDICIAL REVIEW 327
(§6.1.1 JURISDICTION AND PROCEDURE GENERALLY 328
[§6.2.] COMPOSITION AND ORGANIZATION OF THE COURT OF JUSTICE 328 [A]
ROLE OF THE JUDGE-RAPPORTEUR 329
[B| ROLE OF THE ADVOCATE-GENERAL 330
|C] ROLE OF THE REGISTRAR 330
|§6.3.| COMPOSITION AND ORGANIZATION OF THE GENERAL COURT 331
| A] COMPOSITION 331
[B] ROLE OF THE ADVOCATE-GENERAL 331
I§6.4.] JURISDICTION OF THE COURT OF JUSTICE AND THE GENERAL COURT 332 |
A] DIRECT ACTIONS 333
[1] ACTION FOR ANNULMENT 333
[A] REVIEWABLE ACTS 333
[B] LOCUS STANDI 335
[C] GROUNDS OF REVIEW 336
[D] TIME LIMIT 336
[E] OUTCOME OF ANNULMENT ACTION 338
[2] ACTION FOR FAILURE TO ACT 339
[3] ACTION FOR DAMAGES BASED ON THE NON-CONTRACTUAL LIABILITY OF THE
UNION 341
[B] PRELIMINARY RULINGS 342
[§6.5.] PROCEDURE BEFORE THE GENERAL COURT 343
[A] LANGUAGE 343
[B[ LEGAL REPRESENTATION 344
[C] WRITTEN PROCEDURE 344
[ 1 [ APPLICATION 344
|2| EXCHANGE OF BRIEFS 345
[3] PRELIMINARY REPORT OF JUDGE-RAPPORTEUR 346
1-4-1 MEASURES OF ORGANIZATION OF PROCEDURE 346
[5] MEASURES OF INQUIRY 347
[D] ORAL PROCEDURE 348
[ 11 HEARING 348
12] ADVOCATE-GENERAL S OPINION 349
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[E] SPECIAL FORMS OF PROCEDURE 350
[1] INTERIM MEASURES 350
[2] THIRD-PARTY INTERVENTION 354
[3] EXPEDITED PROCEDURES 355
[F] STANDARD OF REVIEW 356
F 1J REVIEW OF LEGALITY 357
[2] JUDICIAL DEFERENCE WITH REGARD TO COMPLEX ECONOMIC ASSESSMENTS MADE
BY THE COMMISSION 358 [G] JUDGMENT 363
FL] SIMPLE MAJORITY 363
[2] COSTS 364
[3] EFFECTIVE DATE 365
[4] REVISION/RECTIFICATION OF JUDGMENTS 365
[§6.6.] APPEALS TO THE COURT OF JUSTICE 366
[§6.7.] SUCCESS RATE IN APPEAL PROCEEDINGS: AN UPHILL BATTLE 367
CHAPTER 7 ENFORCEMENT OF EU COMPETITION RULES BY NCAS 369
[§7.1.] DESIGNATION OF NCAS 369
[§7.2.] THE CONVERGENCE RULE 370
[§7.3.] EXCEPTIONS TO THE CONVERGENCE RULE 370
[A] STRICTER NATIONAL RULES CONCERNING UNILATERAL CONDUCT 370 [B]
NATIONAL PROVISIONS PURSUING A DIFFERENT OBJECTIVE FROM THAT PURSUED BY
EU COMPETITION LAW 371
[§7.4.] SCOPE OF THE DECISION-MAKING POWERS OF NCAS 371
[§7.5.] EXCHANGE OF INFORMATION WITHIN THE ECN 372
[A] UNDER ARTICLE 11 OF THE REGULATION 372
[B] UNDER ARTICLE 12 OF THE REGULATION 373
[§7.6.] MUTUAL ASSISTANCE CONCERNING INSPECTIONS 373
[§7.7.] THE QUEST FOR CONVERGENCE 374
[A] DIVERGENCES IN NATIONAL LAW ON IMPORTANT PROCEDURAL ISSUES 374
[B] THE ECN AS A FORUM TO PROMOTE CONVERGENCE 375
CHAPTER 8 ENFORCEMENT OF EU COMPETITION LAW BY NATIONAL COURTS 377
[§8.1.] POWERS OF NATIONAL COURTS 377
[§8.2.] LIMITATIONS ON POWERS OF NATIONAL COURTS 379
[A] APPLICABLE LAW AND CONVERGENCE RULE 379
[B] GENERAL PRINCIPLES OF EU LAW 381
[C] RULES DESIGNED TO AVOID CONFLICTING DECISIONS 382 [1J THE COMMISSION
HAS ADOPTED A FORMAL DECISION 382 [2] THE COMMISSION HAS ISSUED AN
INFORMAL ADMINISTRATIVE DECISION 384
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[3] THE COMMISSION HAS ADOPTED A COMMITMENT DECISION 385 [41 THE
COMMISSION HAS ADOPTED A BLOCK EXEMPTION REGULATION 386
[51 CASE IS PENDING BEFORE THE COMMISSION 386
[6] THE COMMISSION HAS NOT TAKEN ANY ACTION 387
(§8.3.] COOPERATION BETWEEN NATIONAL COURTS AND THE COMMISSION 387 |AJ
ASSISTANCE OF NATIONAL COURTS BY THE COMMISSION 388
[ 1 ] TRANSMISSION OF INFORMATION 388
[2] REQUEST FOR AN OPINION 389
[31 SUBMISSION OF OBSERVATIONS 390
[B] ASSISTANCE OF THE COMMISSION BY NATIONAL COURTS 391
[§8.4.[ RIGHT TO DAMAGES BEFORE NATIONAL COURTS 392
[A| RECOGNITION OF A RIGHT TO DAMAGES 392
[B] THE WHITE PAPER ON DAMAGES ACTIONS 395
[ 11 STANDING OF INDIRECT PURCHASERS AND COLLECTIVE REDRESS 397
[A] REPRESENTATIVE ACTIONS 399
[B] OPT-IN COLLECTIVE ACTIONS 400
[2] ACCESS TO EVIDENCE 401
[3] BINDING EFFECT OF INFRINGEMENT DECISIONS ADOPTED BY NCAS 404
[4] FAULT REQUIREMENT 406
[51 DAMAGES 406
[6) THE PASSING-ON OF OVERCHARGES 408
[7] LIMITATION PERIODS 410
[8] COSTS OF DAMAGES ACTIONS 411
[9[ COORDINATION WITH THE LENIENCY PROGRAMMES 412
[§8.5.] ADVANTAGES AND DISADVANTAGES OF PROCEEDINGS BEFORE NATIONAL
COURTS 413
CHAPTER 9 ENFORCEMENT OF EU COMPETITION LAW BY ARBITRATION 417
189.1.) EU COMPETITION LAW AND ARBITRATION: GENERAL PRINCIPLES 418 I
§9.2.] IMPACT OF THE REGULATION ON PROCEDURE ON ARBITRATION 420
CHAPTER 10 CONTROL OF MERGERS, ACQUISITIONS AND CERTAIN JOINT VENTURES
423 I §10.1.] INTRODUCTION 423
[ A ] OVERVIEW 423
11 ] THE GENESIS OF THE MERGER REGULATION 424
[21 THE 1997 AMENDMENTS 425
13 ] THE 2002-2003 MERGER CONTROL REVIEW AND THE 2004 MERGER REGULATION
426
FA] THE 2002-2003 REVIEW 426
[B[ THE 2004 MEREER REGULATION 426
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[C] 2004 HORIZONTAL MERGER GUIDELINES 429
[D] KEY NON-LEGISLATIVE MEASURES INTRODUCED IN 2004 430 [4] KEY
DEVELOPMENTS SINCE 2004 431
[§10.2.] JURISDICTION OF THE COMMISSION TO REVIEW MERGERS 433 [A]
OVERVIEW: CONCENTRATIONS WITH COMMUNITY DIMENSION 433 [1] THE CONCEPT OF
A CONCENTRATION 434
[A] ACQUISITIONS OF SOLE CONTROL 434
FB] MERGERS 434
[C] FULL-FUNCTION JOINT VENTURES 435
FI] JOINT CONTROL 435
FII] FULL-FUNCTION 435
[2] COMMUNITY DIMENSION 436
LA] THE GENERAL RULE 436
FB] THRESHOLDS 436
[I] THE ORIGINAL TURNOVER THRESHOLDS (ARTICLE 1(2)) 437
FII] THE ADDITIONAL TURNOVER THRESHOLDS (ARTICLE 1(3)) 437
[C] APPLICATION OF THE THRESHOLDS IN PRACTICE 438 [I] THE AT LEAST TWO
OF THE UNDERTAKINGS CRITERION 438
[II] THE TWO-THIRDS CRITERION 438
[B] CONCENTRATIONS FALLING OUTSIDE THE THRESHOLDS 438 [C] EXCEPTIONS TO
THE ONE-STOP SHOP PRINCIPLE 439
[1] MEMBER STATE PROTECTION OF LEGITIMATE INTERESTS 439 [2] REFERRALS
FROM THE COMMISSION TO ONE OR MORE MEMBER STATES 440
F3] REFERRALS FROM THREE OR MORE MEMBER STATES TO THE COMMISSION 441
[4] REFERRALS BY A MEMBER STATE TO THE COMMISSION 442 [D] IDENTIFYING
THE ENTITIES WHOSE TURNOVER MUST BE CONSIDERED IN ASSESSING COMMUNITY
DIMENSION 443 [E] THE DEFINITION OF TURNOVER 444
FFJ GEOGRAPHICAL ALLOCATION OF TURNOVER 444
[G] SPECIAL RULES FOR FINANCIAL INSTITUTIONS AND INSURANCE UNDERTAKINGS
445
FH] EXTRATERRITORIAL APPLICATION OF THE MERGER REGULATION 445 [1] THE
RULE 445
[2] CASE LAW 446
[§10.3.] SUBSTANTIVE REVIEW BY THE COMMISSION 448
[A] DEFINING THE RELEVANT MARKETS 448
[ 1 ] RELEVANT MARKET DEFINITION 449
[A] THE RELEVANT PRODUCT MARKET 449
[B] THE RELEVANT GEOGRAPHIC MARKET 450
[2] DEFINING RELEVANT MARKETS IN PRACTICE 450
X IX
IMAGE 14
TABLE OF CONTENTS
[B| TEST OF COMPATIBILITY WITH THE COMMON MARKET 451 (CJ HORIZONTAL
MERGERS: NON-COORDINATED/UNILATERAL EFFECTS 452 FD] HORIZONTAL MERGERS:
COORDINATED EFFECTS/COLLECTIVE DOMINANCE 453
IE) VERTICAL MERGERS 454
[F] CONGLOMERATE MERGERS AND PORTFOLIO POWER 454
[GJ ARTICLE 2(4) AND (5): COORDINATIVE EFFECTS OF FULL-FUNCTION JOINT
VENTURES 455
|H) ANCILLARY RESTRAINTS 456
[§10.4.] THE PROCESS OF NOTIFYING A CONCENTRATION TO THE COMMISSION 456
[A] FORMALITIES 456
[B[ TIMING 457
[C| COMPLETING FORM CO 458
[1] OVERVIEW 458
[2) INFORMATION THAT MUST BE PROVIDED IN FORM CO 458 [31 COPIES THAT
MUST BE PROVIDED 459
[4] CORRECT AND COMPLETE INFORMATION 460
(5] SIMPLIFIED PROCEDURE 460
[6] PRE-NOTIFICATION CONSULTATIONS 462
[7] SECTOR-SPECIFIC ORGANIZATION OF MERGER CONTROL 462 [8[ INVESTIGATIVE
POWERS 463
[9] SUSPENSION REQUIREMENT 463
[A] SUSPENSION PERIOD 463
[B] WAIVER OF SUSPENSION REQUIREMENT 464
[C] CONSEQUENCES OF CONTRAVENING THE SUSPENSION REQUIREMENT 464
[D] CONSEQUENCES OF FAILING TO NOTIFY AND PROVIDING INCORRECT/MISLEADING
INFORMATION 465 [EJ ABANDONMENT OF CONCENTRATION 466
[§10.5.] PROCEDURE FOR REVIEW OF CONCENTRATIONS AND APPLICABLE DEADLINES
467
[A] FIRST PHASE TIMETABLE 467
[ 1 ] TYPES OF FIRST PHASE DECISIONS 467
[2] PUBLICATION OF NOTICE OF PRIOR NOTIFICATION 467
[3] COMMUNICATION WITH MEMBER STATES IN THE FIRST PHASE 468
[4] VERIFICATION, REQUESTS FOR INFORMATION AND INVESTIGATIONS IN THE
FIRST PHASE 469
FA] ARTICLE 11 LETTERS 469
[B] INVESTIGATIONS 470
[C] POSSIBLE EXTENSION OF TWENTY-FIVE WORKING DAY PERIOD DUE TO FAULT OF
THE PARTIES 471
[5| RIGHT TO BE HEARD IN THE FIRST PHASE 471
[6] INTER-SERVICE MEETINGS AND PEER REVIEW PANELS IN THE FIRST PHASE
472
XX
IMAGE 15
TABLE OF CONTENTS
[7] MODIFICATION OF THE CONCENTRATION, CONDITIONS AND OBLIGATIONS IN THE
FIRST PHASE 472
[8] DEADLINE FOR REFERRAL TO MEMBER STATES 473
[9] PUBLICATION OF PHASE I DECISIONS 473
[10] REVOCATION OF PHASE I DECISIONS 474
[BJ SECOND PHASE TIMETABLE 474
[1J REQUESTS FOR INFORMATION AND INVESTIGATIONS 475 [2] SUSPENSION AND
EXTENSION OF NINETY-WORKING-DAY TIME LIMIT 475
[3] STATEMENT OF OBJECTIONS 476
[4] ACCESS TO FILE 477
[51 RIGHT OF REPLY TO STATEMENT OF OBJECTIONS 479
[6] ORAL HEARING 479
[7] TRIANGULAR OR CONTRADICTORY MEETINGS 481
[8] COMMITMENTS AND UNDERTAKINGS 482
[9] DRAFT DECISION 482
[10] CONSULTATION WITH ADVISORY COMMITTEE 483
[11] DECISIONS ENDING A PHASE II INVESTIGATION 483 [12] PUBLICATION OF
PHASE II DECISIONS 484
[13] REVOCATION OF PHASE II DECISIONS 484
[C] REFERRALS BETWEEN THE COMMISSION AND THE MEMBER STATES 485
[D] COOPERATION BETWEEN THE COMMISSION AND THE MEMBER STATES 485
[1] REQUIREMENT OF COOPERATION UNDER THE MERGER REGULATION 485
[2] REQUESTS FOR INFORMATION AND INVESTIGATIONS 485 [3] ADVISORY
COMMITTEE ON CONCENTRATIONS 486
[4] IMPORTANCE OF COOPERATION 486
[E] INTERNATIONAL COOPERATION 486
[1] INTRODUCTION 486
[2] EU-US COOPERATION 487
[A] LEGAL FRAMEWORK FOR COOPERATION 487
[B] COORDINATION OF MERGER CONTROL REVIEW ACTIVITIES 488
[C] GE/HONEYWELL AND ITS RAMIFICATIONS 488
[3] EU COOPERATION WITH OTHER COUNTRIES 490
[A] EU-EEA COOPERATION 490
[B] EU-CANADA COOPERATION 490
[C] EU-JAPAN COOPERATION 490
[D] EU-SOUTH KOREA COOPERATION 491
[F] REMEDIES 491
[ 1J INTRODUCTION 491
[2] STRUCTURAL VERSUS BEHAVIOURAL COMMITMENTS 494
XX!
IMAGE 16
TABLE OF CONTENTS
FA] STRUCTURAL COMMITMENTS [B] BEHAVIOURAL COMMITMENTS FC] PACKAGES
INCLUDING BOTH STRUCTURAL AND BEHAVIOURAL COMMITMENTS
[D] BEST PRACTICE GUIDELINES [3] TIMETABLE FOR COMMITMENTS [4]
ENFORCEABILITY OF COMMITMENTS J§10.6.1 JUDICIAL REVIEW OF MERGER
DECISIONS
[A] INTERIM RELIEF [ 1 ] PRIMA FACIE CASE (2) URGENCY [3| BALANCE OF
INTERESTS [B| ACTS SUBJECT TO REVIEW (CI STANDING OF MERGING PARTIES
[D] STANDING OF THIRD PARTIES [ 1 ] DIRECT CONCERN [2| INDIVIDUAL
CONCERN
(E) GROUNDS FOR REVIEW |F] STANDARD OF REVIEW [G| THE COURT S
ACCELERATED PROCEDURE |H] DAMAGE CLAIMS ON THE BASIS OF ARTICLE 340(2)
TFEU
ANNEX COMMON NAMES USED FOR LEGISLATION, NOTICES, GUIDELINES AND OTHER
COMMISSION DOCUMENTS
TABLE OF CASES
INDEX
495 496
497 498 499 500
501 502 503 503
504 504 506 507
507 508 509 509
510 510
513
519
539
XXII
|
| any_adam_object | 1 |
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| author_GND | (DE-588)131833642 |
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| illustrated | Illustrated |
| indexdate | 2024-07-09T23:59:22Z |
| institution | BVB |
| isbn | 9789041132727 |
| language | English |
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| spelling | Van Bael, Ivo 1939-2013 Verfasser (DE-588)131833642 aut Due process in EU competition proceedings Ivo van Bael Alphen aan den Rijn Kluwer Law International 2011 XXVII, 546 S. Ill. txt rdacontent n rdamedia nc rdacarrier SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=024138167&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Van Bael, Ivo 1939-2013 Due process in EU competition proceedings |
| title | Due process in EU competition proceedings |
| title_auth | Due process in EU competition proceedings |
| title_exact_search | Due process in EU competition proceedings |
| title_full | Due process in EU competition proceedings Ivo van Bael |
| title_fullStr | Due process in EU competition proceedings Ivo van Bael |
| title_full_unstemmed | Due process in EU competition proceedings Ivo van Bael |
| title_short | Due process in EU competition proceedings |
| title_sort | due process in eu competition proceedings |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=024138167&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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