International competition litigation: a multi-jurisdictional handbook
Gespeichert in:
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| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Alphen aan den Rijn
Wolters Kluwer Law & Business
2012
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| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | LXVIII, 990 S. |
| ISBN: | 9789041127129 |
Internformat
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| 245 | 1 | 0 | |a International competition litigation |b a multi-jurisdictional handbook |c ed. by Gordon Blanke ... |
| 264 | 1 | |a Alphen aan den Rijn |b Wolters Kluwer Law & Business |c 2012 | |
| 300 | |a LXVIII, 990 S. | ||
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| 700 | 1 | |a Blanke, Gordon |0 (DE-588)1025839463 |4 edt | |
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TABLE OF CONTENTS
LIST OF EDITORS LIII
LIST OF CONTRIBUTORS LV
LIST OF COUNTRY CODES LXV
PREFACE LXVII
AUSTRIA 1
THOMAS EILMANSBERGER & ANITA LUKASCHEK
1. INTRODUCTION 3
2. LEGAL BASIS AND CAUSES OF ACTION 3
2.1. TORT 3
2.2. CONTRACT 4
2.3. RESTITUTION 5
2.4. ANY OTHER LEGAL BASES/CAUSES OF ACTION 5
2.4.1. AUSTRIAN CARTEL ACT 5
2.4.2. FEDERAL ACT AGAINST UNFAIR COMPETITION 6
3. STANDING OF THE CLAIMANT 7
3.1. CONDITIONS FOR STANDING 7
3.2. TYPES OF CLAIMANT 8
3.2.1. DIRECT PURCHASERS 8
3.2.2. INDIRECT PURCHASERS 8
3.2.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 8
3.2.4. COMPETITORS 8
4. REMEDIES 8
4.1. DECLARATIONS 8
4.2. COMPENSATORY DAMAGES 10
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TABLE OF CONTENTS
4.3. RESTITUTIONARY DAMAGES 10
4.4. PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES 10 4.5. INTEREST 11
4.6. INTERIM INJUNCTIONS 11
4.7. PERMANENT INJUNCTIONS 11
4.7.1. CEASE-AND-DESIST ORDERS BASED ON THE CARTEL ACT 11 4.7.2.
CEASE-AND-DESIST ORDERS BASED ON THE ACT AGAINST UNFAIR COMPETITION 12
5. DEFENCES 12
5.1. PASSING ON DEFENCE 12
5.2. CONTRIBUTION 13
6. LIMITATION PERIODS 13
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 13
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 14
6.3. SECRET/COVERT/CONCEALED INFRINGEMENTS 14
6.4. CONTINUING INFRINGEMENTS 15
6.5. INTERRUPTION OF THE LIMITATION PERIOD 15
6.6. SUSPENSION OF THE LIMITATION PERIOD 15
6.7. EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIOD 15 7.
JURISDICTION AND VENUE 15
7.1. JURISDICTION 15
7.2. VENUE 16
7.3. SPECIALIST COURTS OR TRIBUNALS 16
7.4. AGREEMENT ON JURISDICTION 17
8. PROCEDURE 17
8.1. PRE-ACTION PROCEDURES 17
8.2. COMMENCING PROCEEDINGS 18
8.3. PLEADINGS 18
8.4. HEARINGS 18
8.5. JUDGMENTS 19
8.6. APPEALS 19
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 22
9. BURDEN AND STANDARD OF PROOF 22
9.1. BURDEN OF PROOF 22
9.2. STANDARD OF PROOF 22
9.3. SPECIAL RULES (EG PRESUMPTIONS, REVERSALS OF THE BURDEN OF PROOF
AND PRIMA FACIE EVIDENCE) 22
9.4. THE COURT S EVALUATION OF THE EVIDENCE 23
10. PRODUCTION AND PRESENTATION OF EVIDENCE 23
10.1. TYPES OF EVIDENCE 23
10.2. DISCLOSURE 25
10.3. PRIVILEGES/CONFIDENTIAL INFORMATION 25
10.4. EXPERT EVIDENCE 26
10.5. PRESENTATION OF EVIDENCE AT THE HEARING 26
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11. FUNDING AND COSTS 27
11.1. GENERAL RULES ON COSTS 27
11.2. THIRD-PARTY FUNDERS 28
11.3. CONDITIONAL FEES 28
11.4. CONTINGENCY FEES 28
11.5. AVAILABILITY OF PUBLIC FUNDING (LEGAL AID OR OTHER PUBLICLY FUNDED
SCHEMES) 29
12. CONCURRENT PROCEEDINGS 29
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS/ CARTEL
COURT PROCEEDINGS 29
12.2. STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 30
12.3. EFFECT OF DECISIONS BY COMPETITION AUTHORITIES AND CIVIL CLAIMS 30
12.3.1. EUROPEAN COMMISSION DECISIONS 30
12.3.2. DECISIONS OF THE CARTEL COURT 30
12.4. USE OF EVIDENCE OF THE COMPETITION AUTHORITY S FILE FOR PRIVATE
ACTIONS 31
12.5. USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR CIVIL CLAIMS
32
13. COLLECTIVE ACTIONS 32
14. ARBITRATION AND ADR 32
14.1. ARBITRABILITY 32
14.2. THE ARBITRATOR S EX OFFICIO DUTY TO RAISE COMPETITION LAW ISSUES
33
14.3. THE DETERMINATION OF THE APPLICABLE COMPETITION LAW(S) 34 14.4.
THE ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 34 14.5.
FACT-FINDING AND EVIDENCE 34
14.6. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 35 14.7. THE
ARBITRATOR S COOPERATION WITH COMPETITION AUTHORITIES AND THE COURTS 35
14.8. AVAILABILITY OF CLASS ACTIONS 35
14.9. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 36 14.10. ADR
36
BIBLIOGRAPHY 37
TABLE OF CASES 38
TABLE OF LEGISLATION 39
CROATIA 41
BORIS BABIC, DAVOR BABIC & BORIS ANDREJAS
1. INTRODUCTION 43
1.1. GENERAL 43
1.2. SUBSTANTIVE LAW 44
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2.
3.
4.
5.
6.
7.
8.
LEGAL 2.1. 2.2. 2.3.
2.4.
BASIS AND CAUSES OF ACTION TORT CONTRACT RESTITUTION
OTHER PRIVATE LAW LEGAL BASES/CAUSES OF ACTION STANDING OF THE CLAIMANT
3.1. 3.2.
CONDITIONS FOR STANDING TYPES OF CLAIMANT 3.2.1. DIRECT PURCHASERS
3.2.2. INDIRECT PURCHASERS
3.2.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 3.2.4.
COMPETITORS REMEDIES
4.1. 4.2. 4.3. 4.4.
4.5. 4.6. 4.7. 4.8.
4.9. 4.10.
DECLARATIONS COMPENSATORY DAMAGES RESTITUTIONARY DAMAGES
PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES RESTITUTION
ACCOUNT FOR PROFITS INTEREST INTERIM INJUNCTIONS OTHER INTERIM REMEDIES
PERMANENT INJUNCTIONS DEFENCES 5.1. 5.2.
5.3.
PASSING ON DEFENCE CONTRIBUTION OTHER AVAILABLE DEFENCES LIMITATION
PERIODS
6.1. 6.2. 6.3. 6.4. 6.5. 6.6.
6.7.
LIMITATION PERIODS BY CAUSE OF ACTION WHEN DOES THE LIMITATION PERIOD
START RUNNING? SECRET/COVERT/CONCEALED INFRINGEMENTS CONTINUING
INFRINGEMENTS
INTERRUPTION OF THE LIMITATION PERIOD SUSPENSION OF THE LIMITATION
PERIOD EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS
JURISDICTION AND VENUE
7.1. 7.2. 7.3.
JURISDICTION VENUE SPECIALIST COURTS OR TRIBUNALS PROCEDURE 8.1. 8.2.
8.3.
PRE-ACTION PROCEDURES COMMENCING THE PROCEEDINGS PLEADINGS
44 44 45 45
45 46 46 46
46 46
46 47 47 47 47 48 48
49 49 49 50
50 50 51 51 51 51 52 52
52 53 53 53 54 54 54 54 55 55
55 55 55 56
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8.4. HEARINGS 56
8.5. JUDGMENTS 57
8.6. APPEALS 57
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 58
9. BURDEN AND STANDARD OF PROOF 58
9.1. BURDEN OF PROOF 58
9.2. STANDARD OF PROOF 58
9.3. LEGAL AND EVIDENTIAL BURDEN 59
9.4. SPECIAL RULES 59
9.5. THE COURT S EVALUATION OF THE EVIDENCE 59
10. PRODUCTION AND PRESENTATION OF EVIDENCE 59
10.1. TYPES OF EVIDENCE 59
10.2. PROCEDURE FOR THE PRODUCTION OF EVIDENCE 60
10.3. DISCLOSURE 60
10.4. PRIVILEGES 60
10.5. CONFIDENTIAL INFORMATION 61
10.6. ECONOMIC EVIDENCE 61
10.7. PRESENTATION OF EVIDENCE AT THE HEARING 61
11. FUNDING AND COSTS 62
11.1. FUNDING 62
11.2. THIRD-PARTY FUNDERS 62
11.3. AFTER-THE-EVENT INSURANCE 62
11.4. CONDITIONAL FEES 62
11.5. CONTINGENCY FEES 62
11.6. AVAILABILITY OF PUBLIC FUNDING 62
11.7. LEGAL COSTS 63
11.7.1. GENERAL RULES ON COSTS 63
11.7.2. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES 63
11.7.3. PROTECTIVE COST ORDERS 63
12. CONCURRENT PROCEEDINGS 63
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 63 12.2.
STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 64
12.3. STATUS OF DECISIONS BY COMPETITION AUTHORITIES IN PRIVATE ACTIONS
65
12.4. DISCLOSURE/USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILE FOR
PRIVATE ACTIONS 65
12.5. DISCLOSURE/USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR
PRIVATE ACTIONS 66
13. COLLECTIVE ACTIONS 66
14. ARBITRATION AND ADR 66
14.1. ARBITRABILITY 66
14.2. THE ARBITRATOR S EX OFFICIO DUTY TO RAISE COMPETITION LAW ISSUES
67
14.3. THE DETERMINATION OF THE APPLICABLE COMPETITION LAW(S) 67
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14.4. THE ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 68 14.5.
FACT-FINDING AND EVIDENCE 68
14.6. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 68 14.7. THE
ARBITRATOR S COOPERATION WITH THE COMPETITION AUTHORITIES AND THE COURTS
69
14.8. AVAILABILITY OF CLASS ACTIONS 69
14.9. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 69 14.10. ADR
69
BIBLIOGRAPHY 70
TABLE OF CASES 70
TABLE OF LEGISLATION 70
CZECH REPUBLIC 73
JIFIKINDL & MICHAL PETR
1. INTRODUCTION 74
2. LEGAL BASIS AND CAUSES OF ACTION 77
2.1. TORT 78
2.2. CONTRACT 79
2.3. RESTITUTION 80
2.4. ANY OTHER PRIVATE LAW LEGAL BASES/CAUSES OF ACTION 81 3. STANDING
OF THE CLAIMANT 81
3.1. CONDITIONS FOR STANDING 82
3.2. DIRECT AND INDIRECT PURCHASERS 82
3.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 82 3.4.
COMPETITORS 83
4. REMEDIES 83
4.1. DECLARATIONS 83
4.2. COMPENSATORY DAMAGES 84
4.3. PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES 85 4.4. RESTITUTION
85
4.5. ACCOUNT FOR PROFITS (AND FORMS OF DISGORGEMENT OF PROFITS) 86 4.6.
INTEREST 86
4.7. INTERIM INJUNCTIONS 86
4.8. OTHER INTERIM REMEDIES (E.G. INTERIM PAYMENT ORDERS) 88 4.9.
PERMANENT INJUNCTIONS 88
5. DEFENCES 89
5.1. PASSING-ON DEFENCE 89
5.2. CONTRIBUTION 89
5.3. ANY OTHER DEFENCE AVAILABLE 90
6. LIMITATION PERIODS 91
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 91
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 92
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6.3. SECRET/COVERT/CONCEALED INFRINGEMENTS 93
6.4. CONTINUING INFRINGEMENTS 93
6.5. INTERRUPTION OF THE LIMITATION PERIOD 94
6.6. SUSPENSION OF THE LIMITATION PERIOD 94
6.7. EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS 94
JURISDICTION AND VENUE 95
7.1. JURISDICTION 95
7.2. VENUE 96
7.3. SPECIALIST COURTS OR TRIBUNALS 97
PROCEDURE 98
8.1. PRE-ACTION PROCEDURES 98
8.2. COMMENCING THE PROCEEDINGS 98
8.3. PLEADINGS 100
8.4. HEARINGS 101
8.5. JUDGMENTS 102
8.6. APPEALS 103
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 106
BURDEN AND STANDARD OF PROOF 107
9.1. BURDEN OF PROOF 107
9.2. STANDARD OF PROOF 107
9.3. LEGAL AND EVIDENTIAL BURDEN 108
9.4. SPECIAL RULES (PRESUMPTIONS, REVERSALS OF THE BURDEN OF PROOF,
PRIMA FACIE EVIDENCE, ETC.) 108
9.5. THE COURT S EVALUATION OF THE EVIDENCE 109
PRODUCTION AND PRESENTATION OF EVIDENCE 110
10.1. TYPES OF EVIDENCE 110
10.2. PROCEDURE FOR THE PRODUCTION OF EVIDENCE 110
10.3. DISCLOSURE 111
10.4. PRIVILEGES (IN PARTICULAR, LEGAL PROFESSIONAL PRIVILEGE) AND
CONFIDENTIAL INFORMATION 111
10.5. ECONOMIC EVIDENCE 112
10.6. PRESENTATION OF EVIDENCE AT THE HEARING 112
FUNDING AND COSTS 112
CONCURRENT PROCEEDINGS 113
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 113 12.2.
STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 114
12.3. STATUS OF DECISIONS BY COMPETITION AUTHORITIES (OR JUDGMENTS BY
COURTS IN PUBLIC LAW PROCEEDINGS) IN PRIVATE ACTIONS 115
12.4. DISCLOSURE/USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILE FOR
PRIVATE ACTIONS 115
12.5. DISCLOSURE /USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR
PRIVATE ACTIONS 116
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TABLE OF CONTENTS
1. INTRODUCTION 2. LEGAL
2.1.
2.2. 2.3. 2.4.
BASIS AND CAUSES OF ACTION TORT 2.1.1. CAUSATION 2.1.2. QUANTUM OF
DAMAGES
CONTRACT RESTITUTION STATUTORY CAUSE OF ACTION
13. COLLECTIVE ACTIONS 14. ARBITRATION AND ADR BIBLIOGRAPHY ,~.
TABLE OF CASES J.
TABLE OF LEGISLATION
ENGLAND AND WALES 1 23
GORDON BLANKE, RENATO NAZZINI, ALI NIKPAY & VINCENT SMITH
126 127 127 127
129 129 129 129
STANDING OF THE CLAIMANT 130
3.1. CONDITIONS FOR STANDING 130
3.1.1. BREACH OF STATUTORY DUTY 130
3.1.2. SECTION 47A CA98 130
3.1.3. SECTION 47B CA98 131
3.2. TYPES OF CLAIMANT 131
3.2.1. DIRECT PURCHASERS 131
3.2.2. POTENTIAL PURCHASERS 131
3.2.3. INDIRECT PURCHASERS 131
3.2.4. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 131
3.2.5. COMPETITORS 132
3.2.6. PARTIES TO UNLAWFUL AGREEMENTS 132
4. REMEDIES 132
4.1. DECLARATIONS 132
4.2. COMPENSATORY DAMAGES 133
4.3. RESTITUTIONARY REMEDIES 133
4.4. EXEMPLARY DAMAGES 133
4.5. INTEREST 134
4.6. INTERIM INJUNCTIONS 135
4.6.1. COURT S JURISDICTION 135
4.6.2. CROSS-UNDERTAKING IN DAMAGES 135
4.6.3. CRITERIA FOR THE GRANT OF AN INTERIM INJUNCTION 136 4.6.4.
EXCEPTIONS TO THE AMERICAN CYANAMID TEST 136 4.6.5. HIGH COURT PRACTICE
137
4.6.6. CAT S JURISDICTION 137
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4.7. 4.8.
INTERIM PAYMENT ORDERS PERMANENT INJUNCTIONS
5. DEFENCES 5.1.
5.2. 5.3.
PASSING-ON DEFENCE 5.1.1. ARGUMENTS IN FAVOUR OF THE EXISTENCE OF A
PASSING-ON DEFENCE 5.1.2. ARGUMENTS AGAINST THE EXISTENCE OF A
PASSING-ON
DEFENCE
CONTRIBUTION LIABILITY NOT ATTRIBUTABLE TO OTHERS 6. LIMITATION PERIODS
6.1.
6.2. 6.3. 6.4. 6.5. 6.6.
LIMITATION PERIODS BY CAUSE OF ACTION WHEN DOES THE LIMITATION PERIOD
START RUNNING? SECRET/COVERT/CONCEALED INFRINGEMENTS
CONTINUING INFRINGEMENTS SUSPENSION OF THE LIMITATION PERIOD EFFECT OF
PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS 7. JURISDICTION AND
VENUE 7.1.
7.2. 7.3. 7.4.
JURISDICTION 7.1.1. THE BRUSSELS I REGULATION 7.1.2. ENGLISH LAW VENUE
SPECIALIST COURTS OR TRIBUNALS TRANSFER OF PROCEEDINGS 8. PROCEDURE 8.1.
8.2. 8.3.
8.4.
8.5.
8.6.
8.7.
LEGAL FRAMEWORK PRE-ACTION PROCEDURES COMMENCING PROCEEDINGS 8.3.1. HIGH
COURT PROCEEDINGS
8.3.2. CAT PROCEEDINGS PLEADINGS 8.4.1. HIGH COURT PROCEEDINGS 8.4.2.
CAT PROCEEDINGS HEARINGS 8.5.1. HIGH COURT HEARINGS 8.5.2. CAT HEARINGS
8.5.3. INTERLOCUTORY HEARINGS 8.5.3.1. SETTLEMENT 8.5.3.1.1. HIGH COURT
8.5.3.1.2. CAT JUDGMENTS
8.6.1. JUDGMENTS AND ORDERS OF THE HIGH COURT 8.6.2. JUDGMENTS AND
ORDERS OF THE CAT APPEALS
8.7.1. APPEALS FROM THE HIGH COURT
138 138 138 138
138
139 140 140 141 141 141 142 142 143 143 143
143 144 145 146 146
146 147 147 147 148 148 148 149 149 150 150 150 151 151 151 151 152 152
152
152 153 153
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8.8.
9. BURDEN 9.1. 9.2.
8.7.2. APPEALS FROM THE CAT 8.7.3. APPEALS BEFORE THE COURT OF APPEAL
8.7.4. THE UK SUPREME COURT ENFORCEMENT/EXECUTION OF JUDGMENTS
8.8.1. JUDGMENTS OF THE CIVIL COURTS 8.8.2. JUDGMENTS OF THE CAT AND
STANDARD OF PROOF BURDEN OF PROOF
STANDARD OF PROOF
10. PRODUCTION AND PRESENTATION OF EVIDENCE 10.1. 10.2.
10.3.
10.4. 10.5. 10.6.
TYPES OF EVIDENCE DISCLOSURE 10.2.1. STANDARD DISCLOSURE 10.2.1.1.
DISCLOSURE IN THE CAT
10.2.2. PRE-ACTION DISCLOSURE 10.2.3. THIRD-PARTY DISCLOSURE PRIVILEGES
10.3.1. PUBLIC-INTEREST IMMUNITY
10.3.2. LEGAL PROFESSIONAL PRIVILEGE 10.3.3. PRIVILEGE AGAINST
SELF-INCRIMINATION CONFIDENTIAL INFORMATION EXPERT EVIDENCE
PRESENTATION OF EVIDENCE AT THE HEARING 11. FUNDING AND COSTS 11.1.
11.2.
11.3. 11.4. 11.5. 11.6.
11.7.
11.8. 11.9. 11.10.
FUNDING THIRD-PARTY FUNDERS AFTER-FHE-EVENT INSURANCE CONDITIONAL FEES
CONTINGENCY FEES AVAILABILITY OF PUBLIC FUNDING (LEGAL AID AND OTHER
PUBLICLY FUNDED SCHEMES) LEGAL COSTS
11.7.1. COSTS IN THE ORDINARY COURTS 11.7.2. COSTS IN THE CAT 11.7.3.
BASES FOR AWARDING COSTS COST CAPPING PROTECTIVE COST ORDERS METHODS OF
ASSESSMENT 12. CONCURRENT PROCEEDINGS
12.1. STAYS 12.1.1. PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS
12.1.2. CIVIL CLAIMS AND EUROPEAN COMMISSION PROCEEDINGS
12.1.3. CIVIL CLAIMS AND OFT PROCEEDINGS
153 153 154 154
154 155 155 155
155 156 156
157 157 157 157
158 158 158
158 159 160 160
161 161 161 162
162 163 163
164 164 164 165
165 165 166 167
167 167 167
167 170
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12.2. STAYS: CIVIL CLAIMS AND CRIMINAL PROCEEDINGS 170
12.3. EFFECT OF DECISIONS BY COMPETITION AUTHORITIES AND CIVIL CLAIMS
172
12.3.1. EUROPEAN COMMISSION DECISIONS 172
12.3.2. DECISIONS OF THE OFT 172
12.4. USE OF EVIDENCE OBTAINED IN PUBLIC LAW PROCEEDINGS FOR CIVIL
CLAIMS 173
12.4.1. USE OF EVIDENCE OBTAINED IN EUROPEAN COMMISSION PROCEEDINGS FOR
CIVIL CLAIMS 173 12.4.2. USE OF EVIDENCE OBTAINED IN OFT PROCEEDINGS FOR
CIVIL CLAIMS 173
12.5. USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR CIVIL CLAIMS
174
13. COLLECTIVE ACTIONS 174
13.1. COLLECTIVE ACTIONS IN THE HIGH COURT 174
13.2. REPRESENTATIVE PROCEEDINGS IN THE HIGH COURT 175
13.3. GROUP LITIGATION ORDERS 176
13.4. REPRESENTATIVE ACTIONS IN THE CAT 178
13.5. RECOGNITION AND ENFORCEMENT OF FOREIGN JUDGMENTS IN COLLECTIVE
ACTIONS 179
14. ARBITRATION AND ADR 180
14.1. LEGAL FRAMEWORK 180
14.2. ARBITRABILITY 181
14.3. THE ARBITRATOR S DUTY TO RAISE COMPETITION LAW ISSUES EX OFFICIO
182
14.3.1. DUTY TO RENDER AN ENFORCEABLE AWARD AND MANDATORY RULES 182
14.3.2. CHALLENGES TO THE ARBITRATOR S JURISDICTION OVER COMPETITION LAW
ISSUES 184
14.3.3. ARBITRATOR S POTENTIAL LIABILITY 184
14.3.4. POTENTIAL LIABILITY OF AN ARBITRAL INSTITUTION AND ARBITRATION
COUNSEL 185
14.4. THE DETERMINATION OF THE APPLICABLE COMPETITION LAWS 185 14.5. THE
ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 186 14.6. FACT-FINDING
AND EVIDENCE 187
14.7. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 187 14.7.1.
COMMISSION OR OFT DECISIONS 187
14.7.2. PARALLEL PROCEEDINGS 188
14.7.3. ANTI-SUIT INJUNCTIONS 189
14.8. THE ARBITRATOR S COOPERATION WITH COMPETITION AUTHORITIES AND THE
COURTS 189
14.8.1. SECTION 45 AA 1996 189
14.8.2. INDIRECT PRELIMINARY REFERENCES 189
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14.8.3. COOPERATION WITH THE OFT OR THE EUROPEAN COMMISSION 190
14.9. AVAILABILITY OF CLASS ACTIONS 191
14.10. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 191 14.10.1.
JURISDICTIONAL CHALLENGES 191
14.10.2. PROCEDURAL CHALLENGES AND APPEALS ON POINTS OF LAW 191
14.10.3. RECOGNITION AND ENFORCEMENT OF AWARDS 192 14.11. ADR 196
BIBLIOGRAPHY 198
TABLE OF CASES 200
TABLE OF LEGISLATION 203
FRANCE 209
LOUIS VOGEL & JOSEPH VOGEL
1. INTRODUCTION 211
2. LEGAL BASIS AND CAUSES OF ACTION 212
2.1. MISCONDUCT 213
2.1.1. BREACH OF A PROVISION 213
2.1.1.1. RESTRICTIVE AGREEMENTS 214
2.1.1.2. ABUSE OF DOMINANT POSITION 215
2.1.2. WHERE THERE IS NO LEGAL PROVISION, BREACH OF A GENERAL PRINCIPLE?
215
2.2. HARM 216
2.2.1. HARM MUST BE CERTAIN 216
2.2.1.1. ACTUAL HARM MUST GIVE RISE TO DAMAGES 216
2.2.1.1.1. HARM SUFFERED BY REASON OF A LOSS 216
2.2.1.1.2. HARM SUFFERED BY REASON OF LOST EARNINGS 216
2.2.1.2. FUTURE HARM THAT IS CERTAIN MUST GIVE RISE TO DAMAGE 217
2.2.1.3. PURELY POTENTIAL HARM MUST BE SET ASIDE 217
2.2.2. THE HARM MUST BE DIRECT 217
2.3. CAUSAL LINK 218
2.3.1. OVERCHARGE CAUSED BY THE ANTICOMPETITIVE PRACTICE 218
2.3.2. OVERCHARGE CAUSED BY THE LOSS OF CUSTOMERS 218 2.3.3. OVERCHARGES
CAUSED BY THE LOSS OF VALUE OF THE UNDERTAKING OR OF THE BUSINESS (FONDS
DE COMMERCE) 218
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STANDING OF THE CLAIMANT 219
3.1. INTEREST IN BRINGING PROCEEDINGS 219
3.1.1. EXAMPLES IN MATTERS RELATING TO ANTICOMPETITIVE PRACTICES 219
3.1.2. EXAMPLES REGARDING CANCELLATION OF A CONTRACT HAVING AN
ANTICOMPETITIVE OBJECT OR EFFECT 220 3.2. STANDING TO BRING PROCEEDINGS
221
3.2.1. ACTION FOR THE DEFENCE OF A COLLECTIVE INTEREST 221 3.2.1.1.
TRADE UNIONS AND PROFESSIONAL ORGANIZATIONS 221
3.2.1.2. ASSOCIATIONS 222
3.2.2. ACTION FOR THE DEFENCE OF INTERESTS OF OTHER PERSONS 222 3.2.3.
EXAMPLE OF THE ACTION OF A TAXPAYER IN CASE OF RESTRICTIVE AGREEMENT IN
A TENDER BID AND CONTRACT WITH A PUBLIC PERSON AND DEFAULT
ON HIS PART 223
REMEDIES 224
4.1. APPROACH RETAINED UNDER FRENCH LAW 224
4.2. RESORTING TO AN EXPERT 226
4.3. LOSSES REGARDED AS LIKELY TO BE REMEDIED BY CASE LAW 227 4.3.1.
LOSS OF OPPORTUNITY TO ENTER THE MARKET MORE QUICKLY AND MORE
EFFICIENTLY 227
4.3.2. LOSS OR CAPTURING OF CUSTOMERS 227
4.3.3. FINANCIAL LOSS 228
4.3.4. DELAY IN THE NEGOTIATION OF A CONTRACT BY REASON OF A CONCERTED
PRACTICE RESULTING IN A LOSS OF OPPORTUNITY TO HAVE A NEW OUTSTANDING
TECHNOLOGY AUTHORIZED 228
4.3.5. MATERIAL AND NON-MATERIAL DAMAGE BY REASON OF MARKET FORECLOSURE
228
4.4. ORIGIN OF LOSS 229
DEFENCES AND THE PASSING-ON DEFENCE 229
5.1. ELEMENTS OF JUSTIFICATION 230
5.1.1. ELEMENTS OF JUSTIFICATION UNDER GENERAL LAW 230 5.1.1.1. FORCE
MAJEURE OR UNFORESEEABLE CIRCUMSTANCES 230
5.1.1.2. ACT OF THE VICTIM 230
5.1.1.3. ACT OF THIRD PARTY S ACT 231
5.1.1.4. ACT OF PUBLIC AUTHORITY 231
5.1.2. ELEMENTS OF JUSTIFICATION SPECIFIC TO RESTRICTIVE AGREEMENTS 231
5.2. SPECIFIC CASE OF THE PASSING-ON DEFENCE 231
5.2.1. THE SOLUTION ADOPTED UNDER FRENCH LAW 232
5.2.2. COMPATIBILITY OF THE REMEDY UNDER FRENCH LAW WITH THE
COMMISSION S POSITION 233
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5.2.2.1. RELATIONSHIP BETWEEN PERPETRATOR OF THE ANTICOMPETITIVE
PRACTICE AND INDIRECT VICTIM 233
5.2.2.2. RELATIONSHIP BETWEEN PERPETRATOR OF THE ANTICOMPETITIVE
PRACTICE AND DIRECT VICTIM 233
6. LIMITATION PERIODS 234
6.1. STARTING POINT 234
6.2. DURATION OF THE LIMITATION PERIOD 235
6.3. INTERRUPTION 235
7. JURISDICTION 238
8. PROCEDURE 238
8.1. RIGHT TO BRING AN ACTION 238
8.2. FRENCH SYSTEM OF JUSTICE 239
8.2.1. ALLOCATED JURISDICTION 239
8.2.1.1. THE SYSTEM OF JURISDICTION (DEGREE) 239 8.2.1.2. LEVEL OF THE
COURT 239
8.2.1.3. TYPE OF COURT 239
8.2.2. TERRITORIAL JURISDICTION 240
8.3. THE PROCEEDINGS 240
8.3.1. MODES OF REFERRING TO THE COMPETENT COURTS IN APPLICATIONS FOR
THE AWARD OF DAMAGES 241
8.3.2. INVESTIGATION OF DAMAGES ACTIONS 241
8.3.3. LEGAL FORCE OF THE JUDGMENT RENDERED IN A DAMAGES ACTION 241
8.3.4. EXERCISE OF RIGHTS OF RECOURSE 241
8.3.4.1. DIFFERENT RECOURSES AND THEIR EFFECTS 242 8.3.4.2. SPECIFIC
NATURE OF APPEAL IN CASSATION 243 9. BURDEN AND STANDARD OF PROOF 243
10. PRODUCTION AND PRESENTATION OF EVIDENCE 244
10.1. PRELIMINARY REFERRAL OF A COMPETITION AUTHORITY 244
10.1.1. THE EUROPEAN COMMISSION 245
10.1.2. THE COMPETITION AUTHORITY 245
10.1.2.1. UNCERTAINTY AS TO THE AUTHORITY OF RES JUDICATA OF THE
AUTHORITY S DECISION 245
10.1.2.2. COLLECTION OF EVIDENCE BY THE COMPETITION AUTHORITY 246
10.1.2.2.1. GENERAL POWER OF INQUIRY OF THE COMPETITION AUTHORITY 247
10.1.2.2.2. ESTABLISHING PROOF 248
10.1.2.2.3. GENERAL OBLIGATION TO ESTABLISH MINUTES 249
10.1.2.2.4. DUTY OF ACTIVE COOPERATION 249
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10.1.3. DECISION BY A COMPETITION AUTHORITY OF ANOTHER COUNTRY 10.2.
DIRECT REFERRAL OF THE GENERAL LAW COURT 10.2.1. VICTIM S INVESTIGATIONS
IN COMPLIANCE WITH THE
RULES ON EVIDENCE
10.2.2. THE COURT S PART IN THE GATHERING OF EVIDENCE 10.2.3. REFERRAL
TO THE COMPETITION AUTHORITY 10.2.3.1. RARE CASE LAW ON THE REFERRAL TO
THE COMPETITION AUTHORITY
10.2.3.2. PARTICULAR CASE OF LENIENCY PROGRAMMES
10.2.4. RESORTING TO AN EXPERT 10.2.4.1. QUASI-NECESSITY FOR EXPERT
ASSESSMENT 10.2.4.2. THE NEED FOR THE COURTS TO DETERMINE THE EXPERT S
MISSION 11. COSTS 12. CONCURRENT PROCEEDINGS
12.1. ACTIONS BEFORE THE CIVIL OR COMMERCIAL COURTS 12.1.1. ACTION ON
THE MERITS 12.1.2. ACTION FOR INTERIM MEASURES
12.2. PROCEEDINGS BROUGHT BEFORE CRIMINAL COURTS 12.3. PROCEEDINGS
BROUGHT BEFORE THE ADMINISTRATIVE COURTS 13. COLLECTIVE ACTIONS 13.1.
STAKES
13.1.1.
13.1.2.
13.2. MEANS 13.2.1. 13.2.2. 13.2.3. 13.2.4. 13.2.5.
ARGUMENTS AGAINST THE INTRODUCTION OF CLASS ACTIONS IN FRENCH LAW
13.1.1.1. CLASS ACTIONS ARE MOSTLY PROFITABLE FOR LAWYERS
13.1.1.2. CLASS ACTIONS GO AGAINST FUNDAMENTAL PRINCIPLES OF FRENCH
PROCEDURAL, EVEN CONSTITUTIONAL, LAW ARGUMENTS IN FAVOUR OF THE
INTRODUCTION OF CLASS
ACTIONS IN FRENCH LAW 13.1.2.1. DAMAGES THAT ARE NOT COMPENSATED WHILST
THEY MAY COVER VERY HIGH AMOUNTS INCURRED BY A LARGE NUMBER
OF PERSONS
13.1.2.2. EXISTENCE OF INEFFECTIVE TECHNIQUES FOR COMPENSATING MULTIPLE
INDIVIDUAL DAMAGES
CONSUMER ASSOCIATIONS CLASS ACTION CLASS ACTION UNDER FRENCH LAW UNDER
EU LAW CONCLUSION ON CLASS ACTIONS
250 250
250 250 252
253
253 253 254
254 254 255 256 256 257 257 258 259 259
259
259
259
260
260
260 260 260 261
261 263 263
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14. ARBITRATION AND ADR 264
14.1. ARBITRABILITY OF COMPETITION LAW 264
14.2. PARTICULARITIES OF THE ARBITRAL PROCEDURE IN COMPETITION LAW 265
14.2.1. JURISDICTION OF THE ARBITRATOR: THE ARBITRATION AGREEMENT 265
14.2.2. INTERPRETATION AND IMPLEMENTATION IN COMPETITION LAW 266
14.2.3. SANCTIONS THAT MAY BE ORDERED BY THE ARBITRATOR 267 14.2.4.
REVIEW OF THE ARBITRATION AWARD 267
14.3. COOPERATION WITH THE EUROPEAN COMMISSION 268
BIBLIOGRAPHY 269
TABLE OF CASES 271
TABLE OF LEGISLATION 275
GERMANY 279
FRIEDRICH WENZEL BULST, KATHARINA HILBIG, THORSTEN MDGER, THOMAS PAUL &
TIM REHER
1. INTRODUCTION 282
2. LEGAL BASIS AND CAUSES OF ACTION 283
2.1. TORT 283
2.2. CONTRACT 283
2.3. RESTITUTION 284
3. STANDING OF THE CLAIMANT 284
3.1. CONDITIONS FOR STANDING 285
3.2. TYPES OF CLAIMANT 286
3.2.1. DIRECT PURCHASERS 286
3.2.2. POTENTIAL PURCHASERS 286
3.2.3. INDIRECT PURCHASERS 286
3.2.4. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 287
3.2.5. COMPETITORS 288
3.2.6. PARTIES TO UNLAWFUL AGREEMENTS 288
4. REMEDIES 288
4.1. DECLARATIONS 288
4.2. COMPENSATORY DAMAGES 289
4.3. RESTITUTIONARY DAMAGES 290
4.4. PUNITIVE / EXEMPLARY / AGGRIEVED / MULTIPLE DAMAGES 291 4.5.
RESTITUTION 292
4.6. INTERESTS 292
4.7. INTERIM INJUNCTIONS 292
5. DEFENCES 293
5.1. PASSING ON DEFENCE 293
5.2. CONTRIBUTION 294
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LIMITATION PERIODS 295
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 295
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 295
6.3. SECRET / COVERT / CONCEALED INFRINGEMENTS 296
6.4. SUSPENSION OF THE LIMITATION PERIODS 296
6.5. EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIOD 296
JURISDICTION AND VENUE 297
7.1. JURISDICTION 297
7.2. JOINING OF CASES AGAINST MULTIPLE DEFENDANTS 297
7.3. VENUE 301
PROCEDURE 303
8.1. LEGAL FRAMEWORK 303
8.2. PRE-ACTION PROCEDURES 303
8.3. COMMENCING PROCEEDINGS 304
8.4. PLEADINGS 304
8.5. HEARINGS 306
8.6. PARTICIPATION OF THIRD PARTIES 307
8.7. JUDGMENTS 308
8.8. APPEALS 308
8.9. ENFORCEMENT/EXECUTION OF JUDGMENTS 309
BURDEN AND STANDARD OF PROOF 309
9.1. BURDEN OF PROOF 309
9.2. STANDARD OF PROOF 311
9.3. LEGAL AND EVIDENTIAL BURDEN 311
9.4. SPECIAL RULES 312
9.4.1. PRIMA FACIE EVIDENCE OF LOSS 312
9.4.2. DAMAGE ESTIMATION (SECTION 287 ZPO) 313
9.5. THE COURT S EVALUATION OF THE EVIDENCE 314
PRODUCTION AND PRESENTATION OF EVIDENCE 315
10.1. TYPES OF EVIDENCE 315
10.2. PROCEDURE FOR THE PRODUCTION OF EVIDENCE 315
10.3. DISCLOSURE 316
10.3.1. ACTION BY STAGES/CLAIM FOR INFORMATION 316
10.3.2. ACCESS TO THE FEDERAL CARTEL OFFICE S FILES AND EVIDENCE
(BUNDESKARTELLAMI) 317
10.3.3. COURT ORDER FOR DISCLOSURE 318
10.4. PRIVILEGES 319
10.4.1. ACTION BY STAGES / CLAIM FOR INFORMATION 319
10.4.2. FILES AND EVIDENCE COLLECTED BY THE FEDERAL CARTEL OFFICE 320
10.4.3. COURT ORDER FOR DISCLOSURE 320
10.5. CONFIDENTIAL INFORMATION 321
10.6. ECONOMIC EVIDENCE 321
10.7. PRESENTATION OF EVIDENCE AT THE HEARING 322
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11. FUNDING AND COSTS 323
11.1. FUNDING 323
11.2. THIRD-PARTY FUNDERS 323
11.3. CONDITIONAL / CONTINGENCY FEES 323
11.4. AVAILABILITY OF PUBLIC FUNDING 324
11.5. GENERAL RULES ON COSTS 324
11.5.1. COST CALCULATION 324
11.5.2. COST DISTRIBUTION 325
11.6. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES 326
11.7. METHODS OF ASSESSMENT 326
12. CONCURRENT PROCEEDINGS 326
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 326 12.2.
STATUS OF DECISIONS BY COMPETITION AUTHORITIES IN PRIVATE ACTIONS 327
12.3. USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILE FOR PRIVATE
ACTIONS 328
13. COLLECTIVE ACTIONS 330
13.1. BUNDLING OF CLAIMS THROUGH ASSIGNMENT AGREEMENTS 330 13.2.
RECOGNITION AND ENFORCEMENT OF FOREIGN JUDGMENTS IN COLLECTIVE ACTIONS
331
14. ARBITRATION AND ADR 332
14.1. ARBITRABILITY 333
14.1.1. CONSTRUCTION OF SCOPE OF ARBITRATION CLAUSES 333 14.1.2.
ARBITRABILITY OF NATIONAL AND EU COMPETITION LAW 334
14.1.2.1. SECTIONS 1, 19-21 GWB AND ARTICLES 101(1), 102 TFEU 335
14.1.2.2. SECTION 2 GWB AND ARTICLE 101(3) TFEU 336
14.2. THE ARBITRATOR S EX OFFICIO DUTY TO RAISE COMPETITION LAW ISSUES
337
14.3. THE DETERMINATION OF THE APPLICABLE COMPETITION LAW(S) 338
14.3.1. COMPETITION LAWS FORMING PART OF THE LEX CONTRACTUS 338
14.3.2. COMPETITION LAWS OTHER THAN THOSE OF THE LEX CONTRACTUS 339
14.4. THE ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 343 14.5.
FACT-FINDING AND EVIDENCE 344
14.5.1. THE ARBITRATOR S FACT-FINDING POWERS 344
14.5.2. THE ALLOCATION OF BURDEN OF PROOF 345
14.5.3. CONFIDENTIALITY 345
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14.6. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 346
14.6.1. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES 346
14.6.2. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COURTS AND PARALLEL PROCEEDINGS 346
14.6.2.1. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COURTS 346
14.6.2.2. PARALLEL PROCEEDINGS 347
14.7. THE ARBITRATOR S COOPERATION WITH THE COMPETITION AUTHORITIES AND
THE COURTS 347
14.7.1. THE ARBITRATOR S COOPERATION WITH THE COMPETITION AUTHORITIES
347
14.7.2. THE ARBITRATOR S COOPERATION WITH THE COURTS 348
14.8. AVAILABILITY OF CLASS ACTIONS 349
14.9. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 349
14.9.1. OVERVIEW OF THE PROCEEDINGS AVAILABLE 349
14.9.2. COMPETITION LAW AS A PART OF PUBLIC POLICY 350 14.9.3. VIOLATION
OF PUBLIC POLICY 351
14.9.3.1. COMPLETE EXAMINATION OF THE ARBITRAL AWARD 351
14.9.3.2. NOTION OF CONTRADICTION TO PUBLIC POLICY 352
14.9.3.3. PARTICULARITY OF THE PUBLIC POLICY CONTROL IN COMPETITION
MATTERS 353
14.10. ADR 353
14.10.1. MEDIATION AND CONCILIATION 353
14.10.2. EXPERT DETERMINATION 354
BIBLIOGRAPHY 356
ABLE OF CASES 359
ABLE OF LEGISLATION 362
JREECE 367
INTONIOS K. BOUCHAGIAR
INTRODUCTION 370
LEGAL BASIS AND CAUSES OF ACTION 372
2.1. TORT 372
2.2. CONTRACT 375
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3.
4.
5.
6.
7.
8.
2.3. 2.4.
RESTITUTION ARTICLE 919 GCC STANDING OF THE CLAIMANT 3.1.
3.2.
CONDITIONS FOR STANDING TYPES OF CLAIMANT 3.2.1. DIRECT PURCHASERS
3.2.2. INDIRECT PURCHASERS
3.2.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 3.2.4.
COMPETITORS 3.2.5. POTENTIAL PURCHASERS REMEDIES
4.1. 4.2. 4.3. 4.4.
4.5. 4.6. 4.7. 4.8.
4.9.
DECLARATIONS COMPENSATORY DAMAGES RESTITUTIONARY REMEDIES PUNITIVE OR
EXEMPLARY DAMAGES
ACCOUNT FOR PROFITS INTEREST INTERIM INJUNCTIONS OTHER INTERIM REMEDIES
PERMANENT INJUNCTIONS DEFENCES 5.1. 5.2.
5.3.
PASSING ON DEFENCE CONTRIBUTION OTHER DEFENCES LIMITATION PERIODS
6.1. 6.2. 6.3. 6.4.
6.5. 6.6. 6.7.
LIMITATION PERIODS BY CAUSE OF ACTION WHEN DOES THE LIMITATION PERIOD
START RUNNING? SECRET/COVERT/CONCEALED INFRINGEMENTS CONTINUING
INFRINGEMENTS
INTERRUPTION OF THE LIMITATION PERIOD SUSPENSION OF THE LIMITATION
PERIOD EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS
JURISDICTION AND VENUE
7.1. 7.2. 7.3. 7.4.
JURISDICTION VENUE SPECIALIST COURTS OR TRIBUNALS TRANSFER OF
PROCEEDINGS PROCEDURE
8.1. 8.2. 8.3. 8.4.
8.5.
LEGAL FRAMEWORK PRE-ACTION PROCEDURES COMMENCING PROCEEDINGS PLEADINGS
HEARINGS
378 379 380 380
381 381 381
381 382 382 382
382 384 385 385
385 386 386 387
388 388 388
389 389 391 391
391 392 392 393
393 394 394 394
395 397 397 397
397 397 397 398
399
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8.6. JUDGMENTS 400
8.7. APPEALS 401
8.8. ENFORCEMENT/EXECUTION OF JUDGMENTS 402
9. BURDEN AND STANDARD OF PROOF 402
9.1. BURDEN OF PROOF 402
9.1.1. EVIDENTIAL AND LEGAL BURDEN 402
9.1.2. GENERAL RULE ON THE LEGAL BURDEN OF PROOF 403
9.1.3. SPECIAL RULES ON THE LEGAL BURDEN OF PROOF 403 9.2. STANDARD OF
PROOF 404
10. PRODUCTION AND PRESENTATION OF EVIDENCE 404
10.1. TYPES OF EVIDENCE 404
10.2. DISCLOSURE 406
10.2.1. PRE-ACTION DISCLOSURE 406
10.2.2. DISCLOSURE DURING JUDICIAL PROCEEDINGS 406
10.3. PRIVILEGES 407
10.4. CONFIDENTIAL INFORMATION 408
10.5. EXPERT EVIDENCE 408
10.6. PRESENTATION OF EVIDENCE AT THE HEARING 409
11. FUNDING AND COSTS 410
11.1. FUNDING 410
11.2. THIRD-PARTY FUNDERS 410
11.3. AFTER-THE-EVENT INSURANCE 410
11.4. CONDITIONAL FEES 411
11.5. CONTINGENCY FEES 411
11.6. AVAILABILITY OF PUBLIC FUNDING 411
11.6.1. LEGAL AID PURSUANT TO LAW 3226/2004 411
11.6.2. LEGAL AID PURSUANT TO ARTICLES 194-204 GCCP 412 11.7. LEGAL
COSTS 412
11.7.1. GENERAL RULES ON COSTS 412
11.7.2. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES
413
11.8. COST CAPPING 413
11.9. PROTECTIVE COST ORDERS 413
11.10. METHODS OF ASSESSMENT 413
12. CONCURRENT PROCEEDINGS 414
12.1. STAYS: CIVIL CLAIMS AND ADMINISTRATIVE PROCEEDINGS 414 12.1.1.
ADMINISTRATIVE PROCEEDINGS BEFORE THE GREEK COMPETITION COMMISSION 414
12.1.2. ADMINISTRATIVE PROCEEDINGS BEFORE THE EUROPEAN COMMISSION 414
12.2. STAYS: CIVIL CLAIMS AND CRIMINAL PROCEEDINGS 414
12.3. EFFECT OF DECISIONS BY COMPETITION AUTHORITIES AND CIVIL CLAIMS
414
12.3.1. DECISIONS OF THE GREEK COMPETITION COMMISSION 414 12.3.2.
DECISIONS OF THE EUROPEAN COMMISSION 415
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12.4. USE OF EVIDENCE OBTAINED IN PUBLIC LAW PROCEEDINGS FOR CIVIL
CLAIMS 415
12.4.1. EVIDENCE OBTAINED IN PROCEEDINGS BEFORE THE GREEK COMPETITION
COMMISSION 415
12.4.2. EVIDENCE OBTAINED IN PROCEEDINGS BEFORE THE EUROPEAN COMMISSION
416
12.5. USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR CIVIL CLAIMS
416
13. COLLECTIVE ACTIONS 416
13.1. FORMS OF COLLECTIVE ACTIONS AVAILABLE IN COMPETITION CASES 416
13.1.1. OPT-IN ACTIONS 416
13.1.2. OPT-OUT ACTIONS AND COLLECTIVE ACTIONS 417 13.1.3. STANDING IN
COLLECTIVE ACTIONS 418
13.1.4. FUNDING IN OPT-OUT ACTIONS AND COLLECTIVE ACTIONS 418
13.1.5. CONSOLIDATION OF MULTIPLE COLLECTIVE ACTIONS 418 13.1.6.
DISCLOSURE IN COLLECTIVE ACTIONS 419
13.1.7. REMEDIES IN COLLECTIVE ACTIONS 419
13.1.8. DISTRIBUTION OF DAMAGES AWARDED IN COLLECTIVE ACTIONS 421
13.1.9. RES JUDICATA EFFECTS OF THE JUDGMENT IN COLLECTIVE ACTIONS 421
13.1.10. APPEALS IN COLLECTIVE ACTIONS 422
13.1.11. OTHER FORMS OF COLLECTIVE REDRESS 422
13.2. RECOGNITION AND ENFORCEMENT OF FOREIGN JUDGMENTS IN COLLECTIVE
ACTIONS 422
14. ARBITRATION AND ADR 423
14.1. LEGAL FRAMEWORK 423
14.2. ARBITRABILITY 423
14.3. THE ARBITRATOR S DUTY TO RAISE COMPETITION LAW ISSUES EX OFFICIO
424
14.4. THE DETERMINATION OF THE APPLICABLE COMPETITION LAW(S) 424
14.5. THE ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 425 14.6.
FACT-FINDING AND EVIDENCE 426
14.7. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 427
14.8. THE ARBITRATOR S CO-OPERATION WITH THE COMPETITION AUTHORITIES AND
THE COURTS 427
14.9. AVAILABILITY OF CLASS ACTIONS 427
14.10. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 428
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14.11. ADR 430
14.11.1. MEDIATION IN CIVIL AND COMMERCIAL MATTERS 430 14.11.2.
SETTLEMENT BEFORE CIVIL COURTS 431
14.11.3. DISPUTES BETWEEN SUPPLIERS AND CONSUMERS 432 BIBLIOGRAPHY 433
TABLE OF CASES 436
TABLE OF LEGISLATION 441
JAPAN 443
AKIRA INOUE
1. INTRODUCTION 446
1.1. OVERVIEW OF THE JAPANESE ANTIMONOPOLY ACT 446
1.2. OVERVIEW OF PRIVATE ENFORCEMENT 450
2. LEGAL BASIS AND CAUSE OF ACTION 452
2.1. TORT 452
2.2. CONTRACT 454
2.3. RESTITUTION 455
2.4. ANY OTHER PRIVATE LAW LEGAL BASIS/CAUSE OF ACTION IN JAPAN 455
2.4.1. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 455
2.4.2. UNDUE PROFIT CLAIM 456
3. STANDING OF THE CLAIMANT 456
3.1. CONDITION FOR STANDING 456
3.2. DIRECT PURCHASERS 457
3.3. INDIRECT PURCHASERS 457
3.4. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 457 3.5.
COMPETITORS 457
4. REMEDIES 458
4.1. DECLARATION 458
4.2. COMPENSATORY DAMAGES 458
4.3. RESTITUTIONARY DAMAGES 460
4.4. PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES 460 4.5. RESTITUTION
461
4.6. ACCOUNT FOR PROFITS (AND FORMS OF DISGORGEMENT OF PROFITS) 461 4.7.
INTEREST 461
4.7.1. CONTRACT CLAIM 461
4.7.2. CLAIM OTHER THAN CONTRACT CLAIM 461
4.8. INTERIM INJUNCTION 461
4.9. OTHER INTERIM REMEDIES 462
4.10. PERMANENT INJUNCTION 462
4.10.1. CAUSE OF ACTION 462
4.10.2. STANDING 464
4.10.3. JURISDICTION AND VENUE 464
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4.10.4. BURDEN AND STANDARD OF PROOF 4.10.5. OTHER PROCEDURAL
CHARACTERISTICS 5. DEFENCES 5.1. 5.2. 5.3.
PASSING-ON DEFENCE CONTRIBUTION OTHER DEFENCES AVAILABLE IN JAPAN 5.3.1.
TORT
5.3.1.1. OFFSET 5.3.1.2. JUSTIFICATION 5.3.1.2.1. STATUTE OF LIMITATION
5.3.2. CONTRACT
5.3.2.1. OFFSET 5.3.2.2. STATUTE OF LIMITATION 5.3.3. PRIVATE ACTION
UNDER ARTICLE 25 OF THE JAA 5.3.4. UNDUE PROFIT CLAIM 6. LIMITATION
PERIOD
6.1.
6.2.
6.3.
6.4.
6.5. 6.6. 6.7.
LIMITATION PERIOD BY CAUSE OF ACTION 6.1.1. TORT
6.1.2. CONTRACT 6.1.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 6.1.4.
UNDUE PROFIT CLAIM WHEN DOES THE LIMITATION PERIOD START RUNNING?
6.2.1. TORT
6.2.2. CONTRACT 6.2.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 6.2.4.
UNDUE PROFIT CLAIM SECRET/COVERT/CONCEALED INFRINGEMENTS
6.3.1. TORT
6.3.2. CONTRACT 6.3.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 6.3.4.
UNDUE PROFIT CLAIM CONTINUING INFRINGEMENTS 6.4.1. TORT
6.4.2. CONTRACT 6.4.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 6.4.4.
UNDUE PROFIT CLAIM INTERRUPTION OF THE LIMITATION PERIOD
SUSPENSION OF THE LIMITATION PERIOD EFFECT OF PUBLIC LAW PROCEEDINGS ON
THE LIMITATION PERIOD 6.7.1. TORT
6.7.2. CONTRACT 6.7.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 6.7.4.
UNDUE PROFIT CLAIM 7. JURISDICTION AND VENUE
465 465 466 466
466 466 466 466
466 467 467 467
467 467 467 467
467 467 468 468
468 468 468 468
468 468 468 468
469 469 469 469
469 469 469 469
470 470 470 470
470 470 470 471
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7.1. INTRODUCTION 471
7.1.1. TORT 471
7.1.2. CONTRACT AND UNDUE PROFIT CLAIM 471
7.1.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 471
7.2. VENUE 471
7.3. SPECIALIST COURT OR TRIBUNAL 471
PROCEDURE 472
8.1. PRE-ACTION PROCEDURES 472
8.2. COMMENCING PROCEEDINGS 472
8.3. PLEADINGS 474
8.4. HEARINGS 475
8.4.1. THE FIRST HEARING 475
8.4.2. ISSUE ARRANGEMENT 476
8.4.3. PRELIMINARY ORAL PROCEEDINGS 478
8.4.4. PREPARATORY PROCEEDINGS 478
8.4.5. PREPARATORY PROCEEDINGS BY MEANS OF DOCUMENTS 479 8.4.6. DATE FOR
SCHEDULING CONFERENCE 479
8.4.7. EXAMINATION OF WITNESSES AND PARTIES 479
8.5. JUDGMENT 481
8.6. APPEALS 481
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 482
BURDEN OF PROOF 482
9.1. INTRODUCTION 482
9.1.1. TORT 482
9.1.2. CONTRACT 483
9.1.3. PRIVATE ACTION UNDER ARTICLE 25 OF THE JAA 483
9.1.4. UNDUE PROFIT CLAIM 483
9.2. STANDARD OF PROOF 484
9.3. LEGAL AND EVIDENTIAL BURDEN 484
9.4. SPECIAL RULES 484
9.5. THE COURT S EVALUATION OF THE EVIDENCE 484
PRODUCTION AND PRESENTATION OF EVIDENCE 484
10.1. TYPES OF EVIDENCE 484
10.2. PROCEDURE FOR PRODUCTION OF EVIDENCE 484
10.3. DISCLOSURE 486
10.4. PRIVILEGES 486
10.5. CONFIDENTIAL INFORMATION 486
10.6. ECONOMIC EVIDENCE 486
10.7. PRESENTATION OF EVIDENCE AT THE HEARING 486
FUNDING AND COST 486
11.1. FUNDING 486
11.2. THIRD-PARTY FUNDERS 487
11.3. AFTER-THE-EVENT INSURANCE 487
11.4. CONDITIONAL FEES 487
XXXI
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TABLE OF CONTENTS
11.5. CONTINGENCY FEES 487
11.6. AVAILABILITY OF PUBLIC FUNDING 487
11.7. GENERAL RULES ON COSTS 488
11.8. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES 4 88
11.9. PROTECTIVE COST ORDERS 488
12. CONCURRENT PROCEEDINGS 488
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 488 12.2.
STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 488
12.3. STATUS OF DECISIONS BY COMPETITION AUTHORITIES IN PRIVATE ACTIONS
488
12.4. DISCLOSURE/USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILING
FOR PRIVATE ACTIONS 489
12.5. DISCLOSURE/USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR
PRIVATE ACTIONS 489
13. COLLECTIVE ACTIONS 490
13.1. FORMS OF COLLECTIVE ACTIONS AVAILABLE IN COMPETITION CASES 490
13.2. STANDING 491
13.3. FUNDING 491
13.4. PERMISSION/CERTIFICATION STAGE 491
13.5. CHOICE/APPOINTMENT OF THE LAWYER/LEAD COUNSEL 491 13.6.
CONSOLIDATION OF MULTIPLE COLLECTIVE ACTIONS 491
13.7. DISCLOSURE 492
13.8. REMEDIES 492
13.9. DISTRIBUTION OF DAMAGES 492
13.10. SETTLEMENT 492
13.11. RES JUDICATA EFFECTS OF THE JUDGMENT 492
13.12. APPEALS (INTERLOCUTORY AND FINAL APPEALS) 493
13.13. COST 493
13.14. RECOGNITION AND ENFORCEMENT OF FOREIGN JUDGMENTS IN COLLECTIVE
ACTIONS 493
13.15. ANY OTHER COLLECTIVE REDRESS 493
14. ARBITRATION AND ADR 494
14.1. ARBITRABILITY 494
14.1.1. OVERVIEW OF COMMERCIAL ARBITRATION OF ANTITRUST- RELATED DISPUTE
494
14.1.2. CHARACTERISTICS OF THE JAPANESE ARBITRATION ACT 494 14.1.3.
PROCEDURAL COST 495
14.1.4. ARBITRABILITY 495
14.2. THE ARBITRATOR S EX-OFFICIO DUTY TO RAISE COMPETITION LAW ISSUES
497
14.3. THE DETERMINATION OF THE APPLICABLE COMPETITION LAWS 497 14.4. THE
ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 497 14.5. FACT-FINDING
AND EVIDENCE 498
XXXN
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TABLE OF CONTENTS
14.6. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 498 14.7. THE
ARBITRATOR S COOPERATION WITH THE COMPETITION AUTHORITIES AND THE COURTS
499
14.8. AVAILABILITY OF CLASS ACTION 499
14.9. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 499 14.10. ADR
499
BIBLIOGRAPHY 500
TABLE OF CASES 501
TABLE OF LEGISLATION 502
PERU 507
CAROLINA DE TRAZEGNIES, ALEJANDRO FALLA & ALFREDO BULLARD
1. INTRODUCTION 509
2. LEGAL BASIS AND CAUSES OF ACTION 511
2.1. TORT 512
2.2. CONTRACT 513
2.3. RESTITUTION 514
2.4. OTHER LEGAL BASIS OR CAUSES OF ACTION 514
3. STANDING OF THE CLAIMANT 514
3.1. CONDITIONS FOR STANDING 514
3.1.1. BREACH OF ANTITRUST PROHIBITIONS 514
3.1.2. TORTS 515
3.2. TYPES OF CLAIMANT 515
3.2.1. DIRECT PURCHASERS 515
3.2.2. INDIRECT PURCHASERS 515
3.2.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 516
3.2.4. COMPETITORS 516
4. REMEDIES 516
4.1. DECLARATIONS 516
4.2. COMPENSATORY DAMAGES 516
4.3. DISGORGEMENT OR ACCOUNT FOR PROFITS 517
4.4. RESTITUTION 517
4.5. PUNITIVE, EXEMPLARY, AGGRAVATED OR MULTIPLE DAMAGES 519 4.6.
INTEREST 519
4.7. INTERIM INJUNCTIONS OR PRELIMINARY MEASURES 520
4.7.1. IN ADMINISTRATIVE PROCEEDINGS 520
4.7.1.1. THE COMMISSION S JURISDICTION 520
4.7.1.2. REQUIREMENTS 521
4.7.1.3. CRITERIA FOR THE GRANT OF AN INTERIM INJUNCTION 521
4.7.1.4. INTERIM PAYMENT ORDERS 521
XXXLLL
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TABLE OF CONTENTS
4.7.2. JUDICIAL PROCEEDINGS 522
4.7.2.1. THE COURTS JURISDICTION 522
4.7.2.2. REQUIREMENTS 522
4.7.2.3. CRITERIA FOR THE GRANT 523
4.7.3. PRACTICE 523
4.8. PERMANENT INJUNCTIONS 524
5. DEFENCES 524
5.1. LEGAL BASIS 524
5.2. TYPES OF DEFENCES 524
5.2.1. DEFENCES IN ADMINISTRATIVE PROCEEDINGS 524
5.2.2. JUDICIAL PROCEEDINGS 525
5.3. PASSING-ON DEFENCE 525
5.4. CONTRIBUTION 525
5.4.1. ADMINISTRATIVE PROCEEDINGS 525
5.4.2. PRIVATE DAMAGES ACTIONS 526
5.5. OTHER DEFENCES 526
6. LIMITATION PERIODS 526
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 526
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 527
6.3. SECRET/COVERT/CONCEALED INFRINGEMENTS 527
6.4. CONTINUING INFRINGEMENTS 527
6.5. INTERRUPTION AND SUSPENSION OF THE LIMITATION PERIOD 527 6.5.1.
INTERRUPTION 527
6.5.2. SUSPENSION OF LIMITATION PERIODS 528
6.6. EFFECT OF PUBLIC LAW PROCEEDINGS 528
7. JURISDICTION AND VENUE 528
7.1. JURISDICTION 528
7.2. VENUE 529
7.3. SPECIALIST COURTS OR TRIBUNALS 530
8. PROCEDURE 530
530 531 531 531
532 533 533 534
534 534 535 535
535 535 535
8.1. 8.2.
8.3.
LEGAL FRAMEWORK ADMINISTRATIVE PROCEEDINGS 8.2.1. 8.2.2.
8.2.3. 8.2.4. 8.2.5. 8.2.6.
8.2.7.
PRE-ACTION PROCEDURES COMMENCING THE PROCEEDINGS PLEADINGS HEARINGS
JUDGMENTS APPEALS 8.2.6.1. COMPETITION TRIBUNAL 8.2.6.2. COURTS
ENFORCEMENT/EXECUTION OF JUDGMENTS FOLLOW-ON DAMAGES ACTIONS 8.3.1.
8.3.2.
8.3.3.
LEGAL FRAMEWORK PRE-ACTION PROCEDURES COMMENCING THE PROCEEDINGS
XXXIV
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TABLE OF CONTENTS
8.3.4. PLEADINGS 536
8.3.5. HEARINGS 537
8.3.6. JUDGMENTS 537
8.3.7. APPEALS 537
8.3.8. ENFORCEMENT AND EXECUTION OF JUDGMENTS 538 BURDEN AND STANDARD OF
PROOF 538
9.1. STATUTORY STANDARDS FOR ANTITRUST LIABILITY 538
9.2. BURDEN OF PROOF 540
9.3. STANDARD OF PROOF 540
PRODUCTION AND PRESENTATION OF EVIDENCE 542
542 543 543 544 544 544 545 546 547 547 547 547 547 547 548 548 548 549
549 549
CONCURRENT PROCEEDINGS 550
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 550 12.1.1.
STAY OF PRIVATE ACTIONS 550
12.1.2. GROUNDS FOR STAYING ADMINISTRATIVE PROCEEDINGS 551 12.2. STAYS:
PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 552
12.3. STATUS OF DECISIONS BY COMPETITION AUTHORITIES IN PRIVATE ACTIONS
552
12.4. USE OF EVIDENCE OBTAINED IN PUBLIC LAW PROCEEDINGS FOR CIVIL
CLAIMS 552
12.5. USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR CIVIL CLAIMS
553
COLLECTIVE ACTIONS 553
13.1. COLLECTIVE ACTIONS 553
13.1.1. IN CASES BEFORE INDECOPI 553
13.1.2. COLLECTIVE ACTIONS IN THE JUDICIAL PROCEEDINGS 553
XXXV
10.1. 10.2.
10.3. 10.4. 10.5. 10.6. FUNDING
11.1. 11.2. 11.3. 11.4. 11.5. 11.6. 11.7.
11.8. 11.9.
TYPES OF EVIDENCE PROCEDURE FOR THE PRODUCTION OF EVIDENCE 10.2.1.
ADMINISTRATIVE PROCEEDINGS 10.2.2. JUDICIAL PROCEEDINGS
DISCLOSURE PRIVILEGES CONFIDENTIAL INFORMATION
ECONOMIC EVIDENCE AND COSTS FUNDING THIRD-PARTY FUNDERS AFTER-THE-EVENT
INSURANCE
CONDITIONAL FEES CONTINGENCY FEES AVAILABILITY OF PUBLIC FUNDING
GENERAL RULES ON COSTS 11.7.1. IN ADMINISTRATIVE PROCEEDINGS 11.7.2.
JUDICIAL PROCEEDINGS COST CAPPING PROTECTIVE COST ORDERS
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TABLE OF CONTENTS
13.2. STANDING 13.3. FUNDING 13.4. PERMISSION/CERTIFICATION STAGE 13.5.
CHOICE/APPOINTMENT OF THE LAWYER/LEAD COUNSEL
13.6. CONSOLIDATION OF MULTIPLE COLLECTIVE ACTIONS 13.7. DISCLOSURE
13.8. REMEDIES 13.9. DISTRIBUTION OF DAMAGES
13.10. SETTLEMENTS 13.11. RES JUDICATA EFFECTS OF THE JUDGMENT 13.12.
APPEALS 13.13. COSTS
13.14. RECOGNITION AND ENFORCEMENT OF FOREIGN JUDGMENTS IN COLLECTIVE
ACTIONS 13.15. ANY OTHER FORM OF COLLECTIVE REDRESS 14. ARBITRATION AND
ADR
14.1. LEGAL FRAMEWORK 14.2. ARBITRABILITY 14.3. THE ARBITRATOR S DUTY TO
RAISE COMPETITION LAW ISSUES EX OFFICIO 14.4. THE DETERMINATION OF THE
APPLICABLE COMPETITION LAW 14.5. THE ARBITRATOR S POWERS TO AWARD CIVIL
LAW REMEDIES 14.6. FACT-FINDING AND EVIDENCE 14.7. THE STATUS OF
PREVIOUS DECISIONS BY THE COMPETENT
NATIONAL COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS
14.8. THE ARBITRATOR S COOPERATION WITH COMPETITION AUTHORITIES AND THE
COURTS
14.9. AVAILABILITY OF CLASS ACTIONS 14.10. REVIEW OF COMPETITION LAW
AWARDS BY NATIONAL COURTS 14.10.1. ANNULMENT 14.10.2. RECOGNITION AND
ENFORCEMENT OF AWARDS 14.11. ADR TABLE OF CASES TABLE OF LEGISLATION
POLAND ALEKSANDER STAWICKI
1. INTRODUCTION 1.1. GENERAL REMARKS ON POLISH COMPETITION LAW REGIME 2.
LEGAL BASIS AND CAUSES OF ACTION 2.1. INTRODUCTORY REMARKS
2.2. RELEVANT PROVISIONS OF THE POLISH COMPETITION LAW
XXXVI
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TABLE OF CONTENTS
2.3. THE CIVIL CODE 574
2.3.1. GENERAL RULES ON LIABILITY IN TORT (ARTICLE 415 CIVIL CODE) 575
2.3.2. GENERAL PRINCIPLES OF CONTRACTUAL LIABILITY (ARTICLE 417 CIVIL
CODE) 577
2.3.3. UNJUST ENRICHMENT (ARTICLE 405 CIVIL CODE) 577 2.3.4. OTHER LAWS
578
3. STANDING OF THE CLAIMANT 580
3.1. CONDITIONS FOR STANDING 580
3.1.1. LIABILITY IN TORT 580
3.1.2. LIABILITY IN CONTRACT 580
3.1.3. SPECIFIC LAWS 580
3.1.4. OTHER ACTORS 581
3.2. TYPES OF CLAIMANT 581
3.2.1. DIRECT PURCHASERS 581
3.2.2. POTENTIAL PURCHASERS 581
3.2.3. INDIRECT PURCHASERS 582
3.2.4. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 583
3.2.5. COMPETITORS 583
3.2.6. PARTIES TO UNLAWFUL AGREEMENTS 583
4. REMEDIES 585
4.1. DAMAGES CLAIMS 585
4.1.1. GENERAL COMMENTS 585
4.1.2. PUNITIVE AND EXEMPLARY DAMAGES 587
4.1.3. INTEREST 587
4.2. OTHER REMEDIES 587
4.2.1. CLAIM FOR RETURN OF UNJUST BENEFITS 587
4.2.2. INJUNCTIVE RELIEF 588
4.2.3. CLAIM FOR PUBLICATION 589
4.2.4. CLAIM TO MAKE PAYMENT IN SUPPORT OF A SPECIFIC SOCIAL CAUSE 589
4.2.4.1. INTERIM INJUNCTIONS 589
5. DEFENCES 590
5.1. PASSING ON DEFENCE 590
5.2. CONTRIBUTORY NEGLIGENCE 590
6. LIMITATION PERIODS 590
6.1. GENERAL RULES ON PRESCRIPTION OF CLAIMS 590
6.2. LENGTH OF THE LIMITATION PERIODS 591
6.3. WHEN DOES THE LIMITATION PERIOD START RUNNING? 591
6.4. SUSPENSION OF THE LIMITATION PERIOD 593
6.5. INTERRUPTION OF THE LIMITATION PERIOD 593
6.6. EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS 593
XXXVLL
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TABLE OF CONTENTS
7. JURISDICTION AND VENUE 594
7.1. JURISDICTION 5 94
7.1.1. THE BRUSSELS: REGULATION AND OTHER SOURCES
OF LAW
7.1.2. POLISH LAW 7.1.3. VENUE
7.1.4. SPECIALIST COURTS OR TRIBUNALS 8. PROCEDURE 8.1. LEGAL FRAMEWORK
8.2. PRE-ACTION PROCEDURES
8.3. COMMENCING PROCEEDINGS 8.4. PLEADINGS 8.5. HEARINGS
8.6. JUDGMENTS 8.7. APPEALS
8.8. CASSATION APPEALS BEFORE THE SUPREME COURT 8.9.
ENFORCEMENT/EXECUTION OF JUDGMENTS 9. BURDEN AND STANDARD OF PROOF 9.1.
BURDEN OF PROOF
9.2. STANDARD OF PROOF 10. PRODUCTION AND PRESENTATION OF EVIDENCE 10.1.
TYPES OF EVIDENCE 10.2. DISCLOSURE
10.2.1. STANDARD DISCLOSURE 10.2.2. PRE-ACTION DISCLOSURE 10.2.3.
THIRD-PARTY DISCLOSURE 10.3. PRIVILEGES
10.3.1. PUBLIC-INTEREST IMMUNITY 10.3.2. LEGAL PROFESSIONAL PRIVILEGE
10.3.3. PRIVILEGE AGAINST SELF-INCRIMINATION 10.3.4. CONFIDENTIAL
INFORMATION 11. FUNDING AND COSTS
11.1. COURT FEES 11.2. LEGAL COSTS 11.3. FUNDING 11.4. CONTINGENCY FEES
12. CONCURRENT PROCEEDINGS
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 12.1.1.
CIVIL CLAIMS AND EUROPEAN COMMISSION PROCEEDINGS 12.1.2. CIVIL CLAIMS
AND OCCP PROCEEDINGS 12.2. STAYS: CIVIL CLAIMS AND CRIMINAL PROCEEDINGS
12.3. USE OF EVIDENCE OBTAINED IN PUBLIC LAW PROCEEDINGS FOR
CIVIL CLAIMS
XXXVM
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TABLE OF CONTENTS
13. COLLECTIVE ACTIONS 607
13.1. CLASS ACTIONS 607
13.2. CO-PARTICIPATION PROCEDURE 608
14. ARBITRATION AND ADR 608
14.1. LEGAL FRAMEWORK 608
14.2. ARBITRABILITY 608
14.3. THE ARBITRAL TRIBUNAL S DUTY TO RAISE COMPETITION LAW ISSUES EX
OFFICIO 609
14.3.1. DUTY TO RENDER AN ENFORCEABLE AWARD AND MANDATORY RULES 609
14.3.2. CHALLENGES TO THE ARBITRAL TRIBUNAL S JURISDICTION OVER
COMPETITION LAW ISSUES 610
14.3.3. ARBITRATOR S POTENTIAL LIABILITY 610
14.3.4. POTENTIAL LIABILITY OF ARBITRAL INSTITUTIONS 611 14.4.
DETERMINATION OF APPLICABLE COMPETITION LAWS 611
14.5. ARBITRAL TRIBUNAL S POWERS TO AWARD CIVIL LAW REMEDIES 611 14.6.
FACT-FINDING AND EVIDENCE 611
14.7. STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL COMPETITION
AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 612 14.7.1. DECISIONS OF
THE COMMISSION AND OF THE OCCP 612 14.7.2. PARALLEL PROCEEDINGS 613
14.8. COOPERATION OF ARBITRAL TRIBUNALS WITH COMPETITION AUTHORITIES AND
COURTS 613
14.9. AVAILABILITY OF CLASS ACTIONS 613
14.10. ADR 614
BIBLIOGRAPHY 614
TABLE OF CASES 615
TABLE OF LEGISLATION 615
SCOTLAND 617
CATRIONA MUNRO & JENNIFER MARSHALL
1 * INTRODUCTION 620
1.1. THE SCOTTISH LEGAL SYSTEM 620
1.2. PRINCIPAL COMPETITION LAWS APPLICABLE IN SCOTLAND 620 1.3.
COMPETITION LITIGATION IN SCOTLAND 620
1.3.1. COMPETITION LITIGATION IN THE CAT 621
1.3.2. COMPETITION LITIGATION IN THE CIVIL COURTS 622 2. LEGAL BASIS AND
CAUSES OF ACTION 623
2.1. DELICT 623
2.2. CONTRACT 625
2.3. RESTITUTION 625
2.4. OTHER CAUSES OF ACTION 626
3. STANDING OF THE CLAIMANT 626
3.1. CONDITIONS FOR STANDING 626
XXXIX
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TABLE OF CONTENTS
3.2. DIRECT PURCHASERS 626
3.3. INDIRECT PURCHASERS 627
3.4. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 627 3.5.
COMPETITORS 627
4. REMEDIES 628
4.1. DECLARATIONS 628
4.2. COMPENSATORY DAMAGES 629
4.3. RESTITUTIONARY DAMAGES 629
4.4. PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES 630 4.5. RESTITUTION
631
4.6. ACCOUNT FOR PROFITS (FORMS OF DISGORGEMENT OF PROFITS) 631 4.7.
INTEREST 631
4.8. INTERIM INTERDICT 632
4.9. OTHER INTERIM REMEDIES (E.G. INTERIM PAYMENT ORDERS) 632 4.10.
PERMANENT INTERDICT 633
5. DEFENCES 633
5.1. PASSING-ON DEFENCE 633
5.2. CONTRIBUTION 634
5.3. OTHER DEFENCES 634
5.4. JOINT AND SEVERAL LIABILITY 635
6. LIMITATION PERIODS 636
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 636
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 636
6.3. SECRET/COVERT/CONCEALED INFRINGEMENTS 637
6.4. CONTINUING INFRINGEMENTS 637
6.5. INTERRUPTION OF LIMITATION PERIOD 638
6.6. EXTENSION OF THE LIMITATION PERIOD 638
6.7. EFFECT OF PUBLIC LAW PROCEEDINGS ON THE LIMITATION PERIODS 7.
JURISDICTION AND VENUE 7.1. JURISDICTION
7.1.1. GENERAL: DOMICILE 7.1.2. SPECIAL JURISDICTION: MULTIPLE
DEFENDANTS 7.1.3. SPECIAL JURISDICTION: PLACE OF HARMFUL EVENT 7.1.4.
JURISDICTION CLAUSES
7.1.5. LIS PENDENS 7.1.6. LAW APPLICABLE TO THE CLAIM 7.2. VENUE
7.3. SPECIALIST COURTS OR TRIBUNALS 8. PROCEDURE 8.1. PRE-ACTION
PROCEDURES 8.2. COMMENCING THE PROCEEDINGS
8.2.1. COURT OF SESSION 8.2.2. SHERIFF COURT 8.2.3. CAT
XL
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TABLE OF CONTENTS
8.3. PLEADINGS 647
8.4. HEARINGS 648
8.5. JUDGMENTS 649
8.6. APPEALS 649
8.6.1. THE SHERIFF COURT 649
8.6.2. THE COURT OF SESSION 649
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 650
9. BURDEN/STANDARD OF PROOF 650
9.1. BURDEN OF PROOF 650
9.2. STANDARD OF PROOF 651
9.3. LEGAL AND EVIDENTIAL BURDEN 651
9.4. SPECIAL RULES (PRESUMPTIONS, REVERSALS OF THE BURDEN OF PROOF AND
PRIMA FACIE EVIDENCE, ETC.) 653
10. PRODUCTION AND PRESENTATION OF EVIDENCE 653
10.1. TYPES OF EVIDENCE 653
10.2. PROCEDURE FOR THE PRODUCTION OF EVIDENCE 654
10.3. DISCLOSURE 654
10.4. PRIVILEGES 655
10.5. CONFIDENTIAL INFORMATION 655
10.6. ECONOMIC EVIDENCE 656
10.7. PRESENTATION OF EVIDENCE AT THE HEARING 657
11. FUNDING AND COSTS 657
11.1. FUNDING 657
11.2. THIRD-PARTY FUNDERS 657
11.3. AFTER-THE-EVENT INSURANCE 657
11.4. CONDITIONAL FEES 657
11.5. CONTINGENCY FEES 658
11.6. AVAILABILITY OF PUBLIC FUNDING 659
11.7. GENERAL RULES ON COSTS 659
11.8. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES 659
11.9. PROTECTIVE COST ORDERS 660
12. CONCURRENT PROCEEDINGS 660
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 660
12.2. STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 661
12.3. STATUS OF DECISIONS BY COMPETITION AUTHORITIES (OR JUDGMENTS BY
COURTS IN PUBLIC LAW PROCEEDINGS) IN PRIVATE ACTIONS 662
12.4. DISCLOSURE/USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILE FOR
PRIVATE ACTIONS 662
12.5. DISCLOSURE/USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR
PRIVATE ACTIONS 665
XLI
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TABLE OF CONTENTS
13. COLLECTIVE ACTIONS 666
13.1. FORMS OF COLLECTIVE ACTIONS AVAILABLE IN COMPETITION CASES 666
13.2. STANDING 667
13.3. FUNDING 667
13.4. PERMISSION/CERTIFICATION STAGE 668
13.5. CONSOLIDATION OF MULTIPLE COLLECTIVE ACTIONS 668
13.6. DISCLOSURE 668
13.7. REMEDIES 668
13.8. DISTRIBUTION OF DAMAGES 669
13.9. SETTLEMENTS 669
13.10. APPEALS (INTERLOCUTORY AND FINAL APPEALS) 669
13.11. COSTS 669
14. ARBITRATION 670
14.1. ARBITRABILITY 670
14.2. THE ARBITRATOR S EX OFFICIO DUTY TO RAISE COMPETITION LAW ISSUES
670
14.3. THE DETERMINATION OF THE APPLICABLE COMPETITION LAW(S) 671 14.4.
ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 671 14.5. FACT-FINDING
AND EVIDENCE 672
14.6. THE STATUS OF PREVIOUS DECISIONS BY THE COMPETENT NATIONAL
COMPETITION AUTHORITIES OR COURTS AND PARALLEL PROCEEDINGS 672
14.7. THE ARBITRATOR S COOPERATION WITH THE COMPETITION AUTHORITIES AND
THE COURTS 14.7.1. COOPERATION WITH THE COURTS 14.7.2. COOPERATION WITH
THE OFT AND COMMISSION 14.8. AVAILABILITY OF CLASS ACTIONS
14.9. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 14.10. ADR
BIBLIOGRAPHY TABLE OF CASES
TABLE OF LEGISLATION
SPAIN LUIS ORTIZ BLANCO, CARLOS DE LOS SANTOS LAGO, JAIME L. IGLESIAS &
KONSTANTIN JORGENS
1. INTRODUCTION 2. LEGAL BASIS AND CAUSES OF ACTION 2.1. NON-CONTRACTUAL
CAUSES OF ACTION 2.2. CONTRACTUAL CAUSES OF ACTION
2.3. RESTITUTION 2.4. STATUTORY CAUSES OF ACTION
XLII
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TABLE OF CONTENTS
3. LEGAL STANDING OF THE CLAIMANT 684
3.1. CONDITIONS TO BE MET FOR LEGAL STANDING TO EXIST 684
3.2. TYPES OF CLAIMANT 684
3.2.1. DIRECT PURCHASERS 684
3.2.2. INDIRECT PURCHASERS 685
3.2.3. POSSIBLE CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS 686
3.2.4. COMPETITORS 686
4. REMEDIES 686
4.1. DECLARATIONS 686
4.2. RESTITUTION 686
4.3. COMPENSATORY DAMAGES 687
4.3.1. DAMAGES IN CONTRACTUAL CLAIMS 687
4.3.2. DAMAGES IN NON-CONTRACTUAL CLAIMS 688
4.4. PUNITIVE/EXEMPLARY/AGGRAVATED/MULTIPLE DAMAGES 689 4.5. INTEREST
689
4.6. INTERIM INJUNCTIONS 689
4.7. INTERIM PAYMENT ORDERS 690
4.8. PERMANENT INJUNCTIONS 690
5. DEFENCES 690
5.1. PASSING-ON DEFENCE 690
5.2. CONTRIBUTION 691
6. LIMITATION PERIODS 691
6.1. LIMITATION PERIODS BY CAUSE OF ACTION 691
6.1.1. CONTRACTUAL CLAIMS 691
6.1.2. NON-CONTRACTUAL CLAIMS 692
6.1.3. UNFAIR COMPETITION CLAIMS 692
6.2. WHEN DOES THE LIMITATION PERIOD START RUNNING? 692
6.2.1. CONTRACTUAL CLAIMS 692
6.2.2. NON-CONTRACTUAL CLAIMS 692
6.2.3. UNFAIR COMPETITION CLAIMS 693
6.3. SECRET/COVERT/CONCEALED INFRINGEMENTS 693
6.4. CONTINUING INFRINGEMENTS 693
6.5. SUSPENSION OF THE LIMITATION PERIOD 694
6.6. EFFECT OF PUBLIC LAW PROCEEDINGS ON LIMITATION PERIODS 694
7. JURISDICTION AND VENUE 695
7.1. JURISDICTION 695
7.2. SPECIALIST COURTS OR TRIBUNALS 696
7.3. VENUE 696
8. PROCEDURE 696
8.1. LEGAL FRAMEWORK 696
8.2. PRE-ACTION PROCEDURES 696
8.3. COMMENCING THE PROCEEDINGS AND PLEADINGS 697
8.4. HEARINGS 698
XLIII
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TABLE OF CONTENTS
8.5. JUDGMENTS 699
8.6. APPEALS 99
8.7. ENFORCEMENT OF JUDGMENTS /W
9. BURDEN AND STANDARD OF PROOF 701
9.1. BURDEN OF PROOF 7 01
9.2. STANDARD OF PROOF 702
9.2.1. PRESUMPTIONS 702
9.2.2. SPECIAL RULES 7 03
10. PRODUCTION AND PRESENTATION OF EVIDENCE 703
10.1. TYPES OF EVIDENCE 703
10.2. DISCLOSURE 704
10.2.1. STANDARD DISCLOSURE 704
10.2.2. THIRD-PARTY DISCLOSURE 704
10.2.3. PRE-ACTION DISCLOSURE 705
10.3. PRIVILEGE AND CONFIDENTIAL INFORMATION 705
10.4. EXPERT EVIDENCE 706
10.5. PRESENTATION OF EVIDENCE AT THE HEARING 706
11. FUNDING AND COSTS 706
11.1. FUNDING 706
11.2. THIRD-PARTY FUNDERS 707
11.3. AFTER-THE-EVENT INSURANCE 707
11.4. CONDITIONAL FEES 707
11.5. CONTINGENCY FEES 707
11.6. AVAILABILITY OF PUBLIC FUNDING (LEGAL AID AND OTHER PUBLICLY
FUNDED SCHEMES) 708
11.7. LEGAL COSTS 708
11.8. COST CAPPING 709
11.9. PROTECTIVE COST ORDERS 709
11.10. METHODS OF ASSESSMENT 709
12. CONCURRENT PROCEEDINGS 709
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 709 12.1.1.
CIVIL CLAIMS AND EUROPEAN COMMISSION PROCEEDINGS 710
12.1.2. CIVIL CLAIMS AND PROCEEDINGS BEFORE NCAS 710 12.2. STAYS: CIVIL
CLAIMS AND CRIMINAL PROCEEDINGS 711
12.3. EFFECTS OF DECISIONS BY COMPETITION AUTHORITIES AND CIVIL CLAIMS
711
12.3.1. EUROPEAN COMMISSION DECISIONS 711
12.3.2. DECISIONS OF NCAS 712
12.4. USE OF EVIDENCE OBTAINED IN PUBLIC LAW PROCEEDINGS FOR CIVIL
CLAIMS 712
12.5. USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR CIVIL CLAIMS
712
XLIV
IMAGE 39
TABLE OF CONTENTS
13. COLLECTIVE ACTIONS 713
13.1. FORMS OF COLLECTIVE ACTIONS AVAILABLE IN COMPETITION CASES 713
13.1.1. COLLECTIVE LEGAL STANDING 714
13.1.2. PREREQUISITES 715
13.1.2.1. EXISTENCE OF IDENTICAL FACTS CAUSING LOSS TO ALL GROUP MEMBERS
715
13.1.2.2. A NUMBER OF AFFECTED PERSONS 716 13.1.2.3. CONSUMERS AND USERS
716
13.1.3. ADMISSIBILITY PROCEDURE 716
13.1.4. OPT-IN MECHANISM 717
13.1.5. OPT-OUT MECHANISM 718
13.1.6. SCOPE AND EFFECTS OF JUDGMENTS IN COLLECTIVE CLAIMS 718
13.2. RECOGNITION AND ENFORCEMENT OF JUDGMENTS IN COLLECTIVE ACTIONS 719
14. ARBITRATION AND ADR 720
14.1. LEGAL FRAMEWORK 720
14.2. ARBITRABILITY 720
14.3. THE ARBITRATOR S DUTY TO RAISE COMPETITION LAW ISSUES EX OFFICIO
721
14.4. DETERMINATION OF THE APPLICABLE COMPETITION LAW 721 14.5. THE
ARBITRATOR S POWERS TO AWARD CIVIL LAW REMEDIES 722 14.6. FACT-FINDING
AND EVIDENCE 722
14.7. THE STATUS OF PREVIOUS DECISIONS REACHED BY COMPETENT NCAS OR
COURTS AND PARALLEL PROCEEDINGS 723
14.7.1. PROCEEDINGS BY COMPETITION AUTHORITIES 723 14.7.2. PARALLEL
PROCEEDINGS 723
14.8. COOPERATION BETWEEN THE ARBITRATOR, THE COMPETITION AUTHORITIES
AND THE COURTS 725
14.9. AVAILABILITY OF COLLECTIVE ACTIONS 725
14.10. REVIEW OF COMPETITION LAW AWARDS BY NATIONAL COURTS 726 14.10.1.
ANNULMENT OF ARBITRATION AWARDS 726
14.10.2. RECOGNITION AND ENFORCEMENT 726
14.11. ADR 727
BIBLIOGRAPHY 727
TABLE OF CASES 727
TABLE OF LEGISLATION 729
TURKEY 731
HILMI BOLATOGLU
1. INTRODUCTION 732
2. LEGAL BASIS AND CAUSES OF ACTION 733
2.1. TORT 734
XLV
IMAGE 40
3.
4.
5.
6.
7.
8.
2.2. 2.3. 2.4.
CONTRACT RESTITUTION STATUTORY CAUSE OF ACTION STANDING OF THE CLAIMANT
3.1. 3.2. 3.3. 3.4.
3.5. 3.6.
CONDITIONS FOR STANDING DIRECT PURCHASERS INDIRECT PURCHASERS POSSIBLE
CONFLICTS BETWEEN DIRECT AND INDIRECT PURCHASERS
COMPETITORS PARTIES TO UNLAWFUL AGREEMENTS REMEDIES 4.1.
4.2. 4.3. 4.4. 4.5.
4.6. 4.7. 4.8.
DECLARATIONS: NULLITY CLAIMS COMPENSATORY DAMAGES RESTITUTION PUNITIVE
DAMAGES
DISGORGEMENT DAMAGES INTEREST INTERIM INJUNCTIONS PERMANENT INJUNCTIONS
DEFENCES
5.1. 5.2. 5.3.
PASSING ON DEFENCE CONTRIBUTION OTHER DEFENCES LIMITATION PERIODS
6.1.
6.2.
6.3. 6.4. 6.5. 6.6.
6.7.
LIMITATION PERIODS BY CAUSE OF ACTION 6.1.1. CONTRACT 6.1.2. TORT
6.1.3. RESTITUTION WHEN DOES THE LIMITATION PERIOD START RUNNING? 6.2.1.
CONTRACT 6.2.2. TORT
6.2.3. RESTITUTION SECRET/COVERT/CONCEALED INFRINGEMENTS CONTINUING
INFRINGEMENTS INTERRUPTION OF THE LIMITATION PERIOD
SUSPENSION OF THE LIMITATION PERIOD EFFECT OF PUBLIC LAW PROCEEDINGS ON
THE LIMITATION PERIODS JURISDICTION AND VENUE 7.1.
7.2. 7.3.
JURISDICTION VENUE SPECIALIST COURTS OR TRIBUNALS PROCEDURE
8.1. PRE-ACTION PROCEDURES
736 TOT 737
738 741 741 743
743
744 745 745 745
746 751 755 757
759 759 760 761
762 762 763 764
764 764 764 764
765 765 765 765
765 766 766 766
767 767 768 768
768 768 769 769
XLVI
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TABLE OF CONTENTS
8.2. COMMENCEMENT OF PROCEEDINGS 769
8.3. PLEADINGS 770
8.4. HEARINGS 771
8.5. JUDGMENTS 771
8.6. APPEALS 772
8.7. ENFORCEMENT/EXECUTION OF JUDGMENTS 772
9. BURDEN AND STANDARD OF PROOF 773
9.1. BURDEN OF PROOF 773
9.2. STANDARD OF PROOF 775
9.3. SPECIAL RULES 775
9.4. THE COURT S EVALUATION OF THE EVIDENCE 776
10. PRODUCTION AND PRESENTATION OF EVIDENCE 777
10.1. TYPES OF EVIDENCE 777
10.2. PROCEDURE FOR THE PRODUCTION OF EVIDENCE 778
10.3. DISCLOSURE 779
10.4. PRIVILEGES 779
10.5. CONFIDENTIAL INFORMATION 780
10.6. ECONOMIC EVIDENCE 780
10.7. PRESENTATION OF EVIDENCE AT THE HEARING 781
11. COSTS 781
11.1. GENERAL RULES ON COSTS 782
11.2. COURT S DISCRETION AND POWER TO DEPART FROM THE GENERAL RULES 782
11.3. CONDITIONAL FEES 783
11.4. CONTINGENCY FEES 783
11.5. AVAILABILITY OF PUBLIC FUNDING 783
11.6. PROTECTIVE COST ORDERS 784
12. CONCURRENT PROCEEDINGS 784
12.1. STAYS: PRIVATE ACTIONS AND ADMINISTRATIVE PROCEEDINGS 785 12.2.
STAYS: PRIVATE ACTIONS AND CRIMINAL PROCEEDINGS 786
12.3. STATUS OF DECISIONS OF THE TCA IN PRIVATE ACTIONS 787
12.4. DISCLOSURE/USE OF EVIDENCE ON THE COMPETITION AUTHORITY S FILE FOR
PRIVATE ACTIONS 788
12.5. DISCLOSURE/USE OF EVIDENCE ADDUCED IN CRIMINAL PROCEEDINGS FOR
PRIVATE ACTIONS 788
13. COLLECTIVE ACTIONS 789
14. ARBITRATION AND ADR 789
BIBLIOGRAPHY 790
TABLE OF CASES 793
TABLE OF LEGISLATION 797
XLVII
IMAGE 42
TABLE OF CONTENTS
UNITED STATES OF AMERICA IYY
DANIEL BROWN & ERIC O CONNOR
1. INTRODUCTION RF
LEGAL BASIS AND CAUSES OF ACTION 803
2.1. THE SHERMAN ACT SECTION 1 (15 U.S.C. § 1): AGREEMENTS IN RESTRAINT
OF TRADE 804
2.1.1. AN AGREEMENT, COMBINATION, OR CONSPIRACY BETWEEN TWO OR MORE
ENTITIES 804
2.1.2. AN UNREASONABLE RESTRAINT OF TRADE/THE RULE OF REASON AND PER SE
ANALYSES 805
2.2 THE SHERMAN ACT SECTION 2 (15 U.S.C. § 2): MONOPOLIES 807 2.3. THE
CLAYTON ACT (15 U.S.C. §§ 12-27) 808
2.4. ROBINSON-PATMAN ACT (15 U.S.C. §§ 13, 13A) 809
2.5. THE FEDERAL TRADE COMMISSION (FTC) ACT (15 U.S.C. §§ 41-58) 809
2.6. THE INTERSTATE COMMERCE REQUIREMENT 810
2.7. CLAIMS UNDER THE ANTITRUST LAWS OF THE VARIOUS STATES 810 2.7.1.
PARENS PATRIAE ACTION 810
2.8. U.S. GOVERNMENT ENFORCEMENT OF THE ANTITRUST LAWS 810 2.8.1.
CRIMINAL AND CIVIL ENFORCEMENT BY THE ANTITRUST DIVISION OF THE
DEPARTMENT OF JUSTICE 811
2.8.2. THE DOJ ANTITRUST DIVISION S CORPORATE LENIENCY PROGRAM 812
2.8.3. ACPERA: THE ANTITRUST CRIMINAL PENALTY ENHANCEMENT AND REFORM ACT
OF 2004 812
2.9. PRIVATE ACTIONS 813
2.10. TYPES OF PRIVATE CLAIMANTS 813
2.10.1. DIRECT PURCHASERS 813
2.10.2. INDIRECT PURCHASERS/REMOTENESS 813
2.10.3. POTENTIAL PURCHASERS OR POTENTIAL COMPETITORS 815 3. REMEDIES
816
3.1. TREBLE DAMAGES, COSTS, AND ATTORNEYS FEES 816
3.2. MEASURE OF DAMAGES 816
3.3. JOINT AND SEVERAL LIABILITY/NO CONTRIBUTION 817
3.4. INTEREST 817
3.5. DECLARATORY RELIEF 817
3.6. DIVESTITURE 818
3.7. APPLICABLE DAMAGE BURDENS 818
3.8. INJUNCTIONS 819
3.8.1. CRITERIA FOR THE GRANT OF AN INTERIM INJUNCTION 819
3.8.2. PERMANENT INJUNCTIONS 820
3.8.3. UNDERTAKINGS 820
4. COMMON DEFENSES TO ANTITRUST CLAIMS 820
XLVIII
IMAGE 43
TABLE OF CONTENTS
4.1. EXEMPTIONS AND IMMUNITIES 820
4.2. STATUTES OF LIMITATION 822
4.2.1. ACCRUAL OF THE LIMITATION PERIOD 822
4.2.2. TOLLING 823
4.2.3. CONTINUING VIOLATIONS 823
4.2.4. SUSPENSION OF THE STATUTE OF LIMITATIONS 824
4.2.5. CLASS ACTION TOLLING 825
4.2.6. EQUITABLE TOLLING OR FRAUDULENT CONCEALMENT 825 4.3. DEFENSES
WHICH ARE UNAVAILABLE IN ANTITRUST CASES 826 4.3.1. IN PARI DELICTO AND
UNCLEAN HANDS DEFENSES UNAVAILABLE 826
4.3.2. PASSING ON DEFENSE UNAVAILABLE 826
5. STANDING, JURISDICTION, AND VENUE 827
5.1. STANDING AND ANTITRUST INJURY 827
5.1.1. CONDITIONS FOR STANDING FOR PRIVATE INJUNCTIVE SUITS 828
5.2. JURISDICTION 828
5.2.1. SUBJECT MATTER JURISDICTION 828
5.2.2. THE FOREIGN TRADE ANTITRUST IMPROVEMENT ACT 828 5.2.3. PERSONAL
JURISDICTION 829
5.2.4. VENUE 830
6. LEGAL FRAMEWORK FOR PRIVATE CIVIL ACTIONS 831
6.1. OVERVIEW OF THE U.S. FEDERAL COURTS 831
6.1.1. MULTI-DISTRICT LITIGATION 831
6.2. PREACTION PROCEDURES 832
6.3. COMMENCING PROCEEDINGS 832
6.4. SERVICE OF PROCESS 832
6.5. PLEADINGS 833
6.5.1. THE COMPLAINT 833
6.5.2. RESPONDING TO A COMPLAINT 833
6.5.3. THE ANSWER 834
6.5.4. THE PRE-ANSWER MOTION TO DISMISS 834
7. DISCLOSURE OR DISCOVERY 836
7.1. THE BROAD SCOPE OF DISCOVERY IN U.S. LITIGATION 836
7.1.1. THE PARTICULAR BURDENS OF DISCOVERY FOR CORPORATE ANTITRUST
DEFENDANTS 837
7.1.2. ELECTRONICALLY STORED INFORMATION 838
7.1.3. DUTY TO PRESERVE 839
7.2. THE DISCOVERY DEVICES 840
7.3. FOREIGN DISCOVERY 840
7.4. THIRD-PARTY DISCLOSURE 842
7.5. CONFIDENTIAL INFORMATION 842
7.5.1. PROTECTIVE ORDERS AND CONFIDENTIALITY AGREEMENTS 842 7.5.2.
FILINGS UNDER SEAL 843
7.6. DISCOVERY OF INFORMATION BY GOVERNMENT AGENCIES 843
XLIX
IMAGE 44
TABLE OF CONTENTS
8 CONCURRENT CIVIL AND CRIMINAL PROCEEDINGS 845
8.1. STAYING A CIVIL ACTION PENDING A GOVERNMENT INVESTIGATION OR
CRIMINAL ACTION 845
8.2. GOVERNMENT JUDGMENTS OR DECREES: EFFECT ON PENDING CIVIL ANTITRUST
CLAIMS 847
8.2.1. PRIMA FACIE EFFECT 847
8.2.2. COLLATERAL ESTOPPEL EFFECT OF GOVERNMENT PROCEEDINGS 848
8.2.3. ADDITIONAL EVIDENTIARY VALUE OF A GOVERNMENT JUDGMENT OR DECREE
850
9. PRIVILEGES 851
9.1. ATTORNEY-CLIENT AND WORK-PRODUCT PRIVILEGE 851
9.2. PRIVILEGE WAIVERS RESULTING FROM DISCLOSURES TO GOVERNMENT AGENCIES
OR AUTHORITIES 852
9.3. PRIVILEGE AGAINST SELF-INCRIMINATION 853
10. CLASS ACTIONS 854
10.1. CLASS ACTION REQUIREMENTS 854
10.2. PROOF OF CLASS-WIDE IMPACT IN PRICE-FIXING CASES 855 10.3. OPTING
OUT OF A CLASS ACTION, JUDGMENT, AND SETTLEMENT 858 11. SUMMARY JUDGMENT
858
12. TRIALS OF ANTITRUST ACTIONS 860
12.1. RIGHT TO A JURY TRIAL 860
12.2. BURDEN OF PROOF 860
12.3. STANDARD OF PROOF 861
12.4. EVIDENCE 862
12.4.1. HEARSAY EVIDENCE 862
12.4.2. EXPERT EVIDENCE 863
12.4.3. POTENTIALLY PREJUDICIAL, CONFUSING, OR CUMULATIVE EVIDENCE 864
12.5. HEARINGS 864
12.6. VERDICT AND JUDGMENT 865
12.7. APPEALS 865
12.8. ENFORCEMENT/EXECUTION OF JUDGMENTS 866
13. FUNDING AND COSTS 866
13.1. THIRD-PARTY FUNDING 866
13.2. INSURANCE 866
13.3. CONTINGENCY FEES 866
14. ARBITRATION 867
14.1. LEGAL FRAMEWORK 867
14.2. ARBITRABILITY OF ANTITRUST CLAIMS 868
14.3. THRESHOLD ISSUES TO ARBITRABILITY 14.3.1. AN AGREEMENT TO
ARBITRATE 14.3.2. DETERMINATION OF ARBITRABILITY 14.3.3. UNENFORCEABLE
ARBITRATION PROVISIONS
IMAGE 45
TABLE OF CONTENTS
14.4. THE ARBITRATOR S POWERS 871
14.4.1. DUTY TO RENDER AN ENFORCEABLE AWARD AND MANDATORY RULES 871
14.4.2. CHALLENGES TO THE ARBITRATOR S JURISDICTION OVER COMPETITION LAW
ISSUES 872
14.4.3. POTENTIAL LIABILITY OF ARBITRATORS AND ARBITRAL INSTITUTIONS 872
14.5. THE DETERMINATION OF THE APPLICABLE LAWS 872
14.6. FACT-FINDING AND EVIDENCE 873
14.7. CONFIDENTIALITY 875
14.8. PARALLEL PROCEEDINGS 875
14.9. CLASS ACTION ARBITRATIONS 876
14.10. THE ARBITRATION AWARD 876
14.10.1. PROCEDURES AND TIME LIMITS TO CONFIRM OR VACATE THE AWARD 877
14.10.2. CONFIRMATION OF ARBITRATION AWARDS, DEFENSES TO CONFIRMATION,
AND VACATING AWARDS 877
14.10.3. THE NARROW SCOPE OF JUDICIAL REVIEW OF ARBITRATION AWARDS 879
BIBLIOGRAPHY 880
TABLE OF CASES 882
TABLE OF LEGISLATION 892
CONSOLIDATED BIBLIOGRAPHY 895
CONSOLIDATED TABLE OF CASES 913
CONSOLIDATED TABLE OF LEGISLATION 951
CONSOLIDATED INDEX 971
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