Fighting cross-border cartels: the perspective of the young and small competition authorities
Conceptual Framework -- Classification of Cross-Border Cartels -- Theory and Practice of International Cooperation -- Multinational vs Transnational CBCs -- Specific Issues for Young or Small Competition Authorities in Investigating Regional Cross-Border Cartels -- Past Solutions to Combatting Cross...
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Oxford
Hart
2020
|
| Schriftenreihe: | Hart studies in competition law
Volume 25 |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Zusammenfassung: | Conceptual Framework -- Classification of Cross-Border Cartels -- Theory and Practice of International Cooperation -- Multinational vs Transnational CBCs -- Specific Issues for Young or Small Competition Authorities in Investigating Regional Cross-Border Cartels -- Past Solutions to Combatting Cross-Border Cartels -- CBCs in Latin America -- Strengthening Cooperation between Mature and Young Competition Authorities in Transnational Cross-Border Cartel Investigations -- Strengthening Cooperation Among Young Competition Authorities in Regional Cross-Border Cartel Investigations -- Conclusions "This book is the first detailed treatment of the approaches taken to enforce competition laws against cross-border cartels (CBCs) from the perspective of young and small competition authorities (more than 70% of the total number of authorities worldwide). No other legal or inter-disciplinary scholarship exists in the market that deals with the issue of a taxonomy of CBCs combined with young/small competition authorities' problems. The book looks at the extent of the harms caused by CBCs and issues associated with tackling them at a transnational level. It explains why past solutions to problems with cooperation have failed and proposes novel ideas on how to improve cooperation and coordination in certain types of CBC investigations (transnational and regional CBCs). The proposals are based on primary-source information and observations made by the author as part of his work in the UN, and interviews with leading enforcers from young, small, old and large jurisdictions. Young/small competition authorities, competition lawyers and economists, scholars and students within the fields of competition law and international law, and those interested in international cooperation and coordination in the area of cartel enforcement in emerging markets will greatly benefit from this book. It is clearly structured and extensively referenced, providing a valuable guide to the topic"-- |
| Beschreibung: | Based on author's thesis (doctoral - Graduate Institute of International and Development Studies (Geneva, Switzerland) 2018) issued under title: Cartels in Latin America : a cross-border competition assessment 2003 |
| Beschreibung: | xvii, 277 Seiten Illustrationen |
| ISBN: | 9781509933686 |
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| 490 | 1 | |a Hart studies in competition law |v Volume 25 | |
| 500 | |a Based on author's thesis (doctoral - Graduate Institute of International and Development Studies (Geneva, Switzerland) 2018) issued under title: Cartels in Latin America : a cross-border competition assessment | ||
| 500 | |a 2003 | ||
| 520 | 3 | |a Conceptual Framework -- Classification of Cross-Border Cartels -- Theory and Practice of International Cooperation -- Multinational vs Transnational CBCs -- Specific Issues for Young or Small Competition Authorities in Investigating Regional Cross-Border Cartels -- Past Solutions to Combatting Cross-Border Cartels -- CBCs in Latin America -- Strengthening Cooperation between Mature and Young Competition Authorities in Transnational Cross-Border Cartel Investigations -- Strengthening Cooperation Among Young Competition Authorities in Regional Cross-Border Cartel Investigations -- Conclusions | |
| 520 | 3 | |a "This book is the first detailed treatment of the approaches taken to enforce competition laws against cross-border cartels (CBCs) from the perspective of young and small competition authorities (more than 70% of the total number of authorities worldwide). No other legal or inter-disciplinary scholarship exists in the market that deals with the issue of a taxonomy of CBCs combined with young/small competition authorities' problems. The book looks at the extent of the harms caused by CBCs and issues associated with tackling them at a transnational level. It explains why past solutions to problems with cooperation have failed and proposes novel ideas on how to improve cooperation and coordination in certain types of CBC investigations (transnational and regional CBCs). The proposals are based on primary-source information and observations made by the author as part of his work in the UN, and interviews with leading enforcers from young, small, old and large jurisdictions. Young/small competition authorities, competition lawyers and economists, scholars and students within the fields of competition law and international law, and those interested in international cooperation and coordination in the area of cartel enforcement in emerging markets will greatly benefit from this book. It is clearly structured and extensively referenced, providing a valuable guide to the topic"-- | |
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| 650 | 0 | 7 | |a Kartell |0 (DE-588)4029785-8 |2 gnd |9 rswk-swf |
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| 999 | |a oai:aleph.bib-bvb.de:BVB01-032195064 | ||
Datensatz im Suchindex
| _version_ | 1804181571526197248 |
|---|---|
| adam_text | CONTENTS
FOREWORD VII
ACKNOWLEDGEMENTS IX
INTRODUCTION 1
CATCHING THE UNCATCHABLE 2
PATHWAYS TO COOPERATION IN CARTEL ENFORCEMENT 4
DISMANTLING PERCEPTIONS ABOUT CBCS IN THE DEVELOPING WORLD 5
PERCEPTION 1: YOUNGER OR SMALLER COMPETITION AUTHORITIES SHOULD
PRIORITISE GOING AFTER DOMESTIC CARTELS BEFORE INVESTIGATING
COMPLEX CBCS 5
PERCEPTION 2: CROSS-BORDER CARTELS ARE ALL THE SAME, AND THERE ARE
ONE-SIZE-FITS-ALL SOLUTIONS 6
PERCEPTION 3: REGIONAL CBCS CAN ONLY BE SUCCESSFULLY TARGETED
BY EFFECTIVE REGIONAL COMPETITION AUTHORITIES 6
PERCEPTION 4: ANTI-CARTEL LAWS IN EMERGING MARKETS ARE STILL
IN THEIR INFANCY 6
PERCEPTION 5: TRUST IS THE FIRST ISSUE TO LOOK AT WHEN DEALING
WITH YOUNGER JURISDICTIONS 7
PERCEPTION 6: IN CARTEL ENFORCEMENT, ALL INFORMATION EXCHANGED
BY COMPETITION AUTHORITIES IS CONFIDENTIAL 7
TURNING A PAPER TIGER INTO AN EFFECTIVE HUNTER 7
METHODOLOGY AND EXPOSURE 8
PARTI
CROSS BORDER CARTELS
1. CONCEPTUAL FRAMEWORK 13
1.1. DEFINITION OF CROSS-BORDER CARTELS 13
1.1.1. CARTELS AS HORIZONTAL AGREEMENTS BETWEEN
COMPETITORS 13
1.1.2. OVERT (EXPLICIT) VS COVERT (TACIT) COLLUSION 16
1.1.3. PRIVATE VS PUBLIC CARTELS 18
1.1.4. INTERNATIONAL VS DOMESTIC CARTELS 19
XII CONTENTS
1.1.5. CBCS AND CAPS 19
1.1.6. HARMFUL EFFECTS OF CROSS-BORDER CARTELS 21
1.2. IMPLICATIONS OF THE SIZE AND MATURITY OF COMPETITION REGIMES
FOR CBC ENFORCEMENT 21
1.3. CBCS AND ALGORITHMS 25
1.4. SUMMARY 29
2. CLASSIFICATION OF CROSS-BORDER CARTELS 31
2.1. RATIONALE FOR THE CLASSIFICATION OF CBCS 31
2.2. TYPES OF CBCS 34
2.2.1. EXPORT CROSS-BORDER CARTELS 35
2.2.2. IMPORT CROSS-BORDER CARTELS 38
2.2.3. REGIONAL CROSS-BORDER CARTELS 39
2.2.4. MULTINATIONAL CROSS-BORDER CARTELS 40
2.2.4.1. THE LYSINE CARTEL (1992-95) 42
2.2.4.2. THE VITAMINS CARTEL (1990-99) 43
2.2.4.3. THE MARINE HOSES CARTEL AND THE
AIR CARGO CARTEL 45
2.2.5. TRANSNATIONAL CROSS-BORDER CARTELS 46
2.2.5.1. FIRST WAVE OF TRANSNATIONAL CARTELS 47
2.2.5.2. SECOND WAVE OF TRANSNATIONAL CARTELS 47
2.2.5.3. THE AUTO-PARTS CARTELS 50
2.3. SUMMARY 51
3. THEORY AND PRACTICE OF INTERNATIONAL COOPERATION 52
3.1. RATIONALE FOR COOPERATION 53
3.1.1. PHASES OF INTERNATIONAL COOPERATION IN CARTEL
INVESTIGATIONS 54
3.1.2. THE ROLE OF POLITICS IN INTERNATIONAL COOPERATION 56
3.2. TOOLS FOR INTERNATIONAL COOPERATION AND INFORMATION-SHARING 59
3.2.1. FORMAL COOPERATION 59
3.2.1.1. MEMORANDA OF UNDERSTANDING VS AGREEMENTS:
THE LEGAL PRINCIPLE OF COMITY 60
3.2.1.2. COMPETITION CHAPTERS IN REGIONAL
OR MULTILATERAL TRADE AGREEMENTS 61
3.2.2. INFORMAL COOPERATION 62
3.3. INTERNATIONAL ORGANISATIONS 63
3.3.1. THE WORK OF THE ORGANISATION FOR ECONOMIC
COOPERATION AND DEVELOPMENT (OECD) 64
3.3.2. THE WORK OF THE UNITED NATIONS CONFERENCE
ON TRADE AND DEVELOPMENT (UNCTAD) 66
3.3.3. THE WORK OF THE INTERNATIONAL COMPETITION
NETWORK (ICN) 70
3.4. SUMMARY 73
CONTENTS XIII
PART II
CHALLENGES OF CROSS-BORDER COOPERATION
IN MULTIJURISDICTIONAL CARTEL ENFORCEMENT
4. MULTINATIONAL VS TRANSNATIONAL CBCS 79
4.1. CHALLENGES IN MULTINATIONAL CBC ENFORCEMENT 80
4.1.1. OVERALL TRUST 80
4.1.1.1. LACK OF REPEATED PERSONAL INTERACTION
CAN BE FOUND AT THE GLOBAL LEVEL 82
4.1.1.2. LACK OF SHARED INTERESTS AND VALUES 83
4.1.1.3. LACK OF UNDERSTANDING 83
4.1.1.4. LACK OF JOINT ACTIVITIES 84
4.1.2. LEGAL CULTURE BARRIERS 85
4.1.3. DIVERGING SANCTIONS VS OPTIMAL DETERRENCE 87
4.2. CHALLENGES IN TRANSNATIONAL CBC ENFORCEMENT 88
4.2.1. LACK OF INCENTIVES FOR COOPERATION 88
4.2.1.1. FOR MATURE OR LARGE COMPETITION
AUTHORITIES 90
4.2.1.2. FOR YOUNG OR SMALL AUTHORITIES 91
4.2.1.3. FOR THE PARTIES, COMPANIES AND LAWYERS 92
4.2.2. DIVERGING LENIENCY REGIMES 93
4.2.2.1. LACK OF EFFECTIVE IMPLEMENTATION OF LENIENCY
PROGRAMMES IN YOUNG COMPETITION
AUTHORITIES 93
4.2.2.2. LACK OF TRUST BY THE LENIENCY APPLICANTS IN
PROVIDING A CONFIDENTIALITY WAIVER TO YOUNG
COMPETITION AUTHORITIES 94
4.2.2.3. LACK OF SPECIFIC COOPERATION ARRANGEMENTS
OF MUTUAL RECOGNITION IN LENIENCY 95
4.2.3. LACK OF AN INTERNATIONAL DEFINITION OF CONFIDENTIAL
INFORMATION 97
4.2.4. LACK OF PHYSICAL PRESENCE 100
4.3. SUMMARY 102
5. SPECIFIC ISSUES FOR YOUNG OR SMALL COMPETITION AUTHORITIES
IN INVESTIGATING REGIONAL CROSS-BORDER CARTELS 103
5.1. LACK OF EFFECTIVE REGIONAL COMPETITION AUTHORITIES 105
5.2. DIFFERENT LEGAL STANDINGS REGARDING CARTEL OFFENCES 107
5.2.1. DUAL CRIMINALITY 108
5.2.2. IMPLEMENTATION OF MUTUAL LEGAL ASSISTANCE
TREATIES (MLATS) 110
5.2.3. LIMITATIONS ON THE USE OF INFORMATION ILL
5.2.4. DIFFERENT LEVELS OF PROTECTION OF DUE PROCESS RIGHTS ILL
5.2.5. DIVERGING GOALS OF COMPETITION POLICY AND LAW 112
XIV CONTENTS
5.3. DIVERSE SET OF RULES CONCERNING THE POWERS
OF INVESTIGATION 112
5.4. DIVERSE ADJUDICATION TECHNIQUES 113
5.5. ISSUES RELATED TO EXPORT AND IMPORT CROSS-BORDER CARTEL
INVESTIGATIONS 114
5.5.1. EXPORT CBC INVESTIGATIONS 115
5.5.1.1. LACK OF INCENTIVES AND WILLINGNESS
TO INVESTIGATE EXPORT CROSS-BORDER CARTELS 115
5.5.1.2. LACK OF A COMPULSORY AGREEMENT
TO GATHER INFORMATION 116
5.5.2. IMPORT CBC INVESTIGATIONS 117
5.5.2.1. LACK OF INCENTIVES AND WILLINGNESS
TO INVESTIGATE IMPORT CROSS-BORDER CARTELS 117
5.5.2.2. LIMITATIONS ON THE ADMISSIBILITY
OF FOREIGN EVIDENCE 119
5.6. SUMMARY 120
6. PAST SOLUTIONS TO COMBATTING CROSS-BORDER CARTELS 122
6.1. MOST COMMON SOLUTIONS TO IMPROVE MULTIJURISDICTIONAL
COOPERATION IN CROSS-BORDER CARTEL INVESTIGATIONS 123
6.1.1. EXTRATERRITORIAL APPLICATION OF COMPETITION LAWS 123
6.1.2. ADDRESSING DIFFERENCES IN LENIENCY APPLICATIONS
THROUGH ONE-STOP SHOP MODELS 126
6.1.3. OVERCOMING LEGAL BARRIERS THROUGH JOINT
INVESTIGATIVE TEAMS AND CROSS-APPOINTMENTS 128
6.1.4. ADDRESSING THE ISSUE OF CONFIDENTIAL INFORMATION
THROUGH INFORMATION GATEWAYS AND APPROPRIATE
SAFEGUARDS 128
6.1.5. ACHIEVING MORE COMPARABLE SANCTIONS AND REMEDIES
THROUGH COOPERATION AT THE COURT LEVEL 130
6.1.6. SUMMARY OF THE PREVIOUSLY PROPOSED SOLUTIONS 131
6.2. MOST COMMON PARTIAL SOLUTIONS TO IMPROVE COOPERATION
IN REGIONAL, EXPORT AND IMPORT CBC INVESTIGATIONS 132
6.2.1. SOLUTIONS PROPOSED FOR REGIONAL CBC INVESTIGATIONS 132
6.2.1.1. ADDRESSING THE ABSENCE OF EFFECTIVE REGIONAL
COMPETITION AUTHORITIES: THE INTERNATIONAL
PRIVATE LAW SOLUTION 132
6.2.1.2. ADDRESSING DIFFERENT LEGAL STANDINGS OF CARTEL
OFFENCES: APPOINTMENT OF ONE OR MORE LEAD
JURISDICTION(S) IN CROSS-BORDER CASES 135
6.2.1.3. ADDRESSING THE DIVERSE CRITERIA IN ADJUDICATION
TECHNIQUES: RECOGNITION OF DECISIONS MADE
BY AGENCIES OR COURTS IN OTHER JURISDICTIONS 136
CONTENTS XV
6.2.2. PROPOSED SOLUTION FOR EXPORT CBC INVESTIGATIONS 137
6.2.3. RECOGNITION OF FOREIGN EVIDENCE PROVIDED BY AFFECTED
EXPORTERS IN IMPORT CBC INVESTIGATIONS 139
6.3. SUMMARY 140
PART III
NOVEL PROPOSALS TO TARGET SELECTED
TYPES OF CROSS-BORDER CARTELS
7. CBCS IN LATIN AMERICA 147
7.1. COMPETITION LAW AND POLICY DEVELOPMENTS IN LATIN AMERICA 147
7.2. NATIONAL CARTEL CASES WITH REGIONAL CROSS-BORDER DIMENSIONS 151
7.2.1. FOUR CENTRAL ASPECTS OF ANTI-CARTEL ENFORCEMENT 151
7.2.1.1. THE LEGAL FRAMEWORK 152
7.2.1.2. INVESTIGATORY POWERS 153
7.2.1.3. LENIENCY PROGRAMMES 154
7.2.1.4. SANCTIONS, REMEDIES AND SETTLEMENTS 154
7.2.2. DOMESTIC CARTEL CASES IN THE REGION 155
7.3. CROSS-BORDER CARTELS IN LATIN AMERICA 158
7.3.1. MEXICO: THE LYSINE CARTEL (1998) 158
7.3.2. BRAZIL: THE VITAMINS CARTEL (2007) 159
7.3.3. COLOMBIA: THE AUTO-PARTS CARTEL (2012) 160
7.3.4. CHILE: THE SHIPPING CARTEL (2015) 160
7.3.5. COLOMBIA: THE SUGAR IMPORT CARTEL (2015) 161
7.3.6. BRAZIL: THE REFRIGERATION COMPRESSOR CARTEL (2016) 161
7.3.7. COLOMBIA: THE NAPPY CARTEL (2016) 162
7.3.8. PERU: THE ROLL-ON ROLL-OFF CARGO CARTEL (2017) 162
7.4. EXISTING EFFORTS OF CBC ENFORCEMENT IN LATIN AMERICA 163
7.4.1. BILATERAL AND REGIONAL TRADE AGREEMENTS 163
7.4.2. SUB-REGIONAL COMPETITION REGIMES AND PLATFORMS 166
7.4.2.1. THE CAN 166
7.4.2.2. THERECAC 168
7.4.2.3. THE MERCOSUR 169
7.4.3. PARALLEL DOMESTIC CARTEL INVESTIGATIONS 171
7.4.4. INFORMAL COOPERATION ARRANGEMENTS 175
7.5. SUMMARY 176
8. STRENGTHENING COOPERATION BETWEEN MATURE AND YOUNG COMPETITION
AUTHORITIES IN TRANSNATIONAL CROSS-BORDER CARTEL INVESTIGATIONS 178
8.1. INTRODUCING CALCULUS-BASED TRUST ACTIVITIES 179
8.1.1. CONCEPTUAL FRAMEWORK FOR TRUST DEVELOPMENT 179
8.1.1.1. DETERRENCE-BASED OR CALCULUS-BASED
TRUST (CBT) 181
XVI CONTENT*
8.1.1.2. KNOWLEDGE-BASED TRUST (KBT) 181
5.1.1.3. IDENTIFICATION-BASED TRUST (IBT) 182
8.1.2. APPLICABILITY OF THE I RAMEWORK TO COMPETITION
AUTHORITIES 182
8.1.3. BUILDING TRUST IHROUGH TECHNICAL ASSISTANCE
AND CAPACITY-BUILDING 183
8.2. TOWARDS AN INTERNATIONAL BENCHMARK FOR THE DEFINITION
OL SHAMBLE INFORMATION 185
8.2.1. INFORMATION NEEDED FOR TRANSNATIONAL CBC
ENFORCEMENT 186
8.2.1.1. CRITERIA SET BY YOUNG COMPETITION
AUTHORITIES 187
8.2.1.2. CRITERIA USED TO ASSESS THE CONFIDENTIAL
INFORMATION BY YOUNG COMPETITION AUTHORITIES
IN LATIN AMERICA: COLOMBIA, CHILE AND PERU 188
8.2.1.3. TYPES OF INFORMATION I LANDLCD
BY THE AUTHORITY 190
8.2.1.4. SETTING THE BENCHMARK FOR SHARABLE
INFORMATION 190
8.2.2. ESTABLISHING (CONDITIONAL INFORMATION GATEWAYS
IN THE ABSENCE OF (EFFECTIVE) LENIENCY PROGRAMMES 191
8.3. STRENGTHENING THE ICN FOR SHARING NON-CONFIDENTIAL
INFORMATION 193
8.3.1. WEAVING THE UN MECHANISM INTO THE ICN 194
8.3.2. TOWARDS A VOLUNTARY CONSULTATION MECHANISM UNDER
SECTION 1.4 OF THE UN SET OF COMPETITION 199
8.1. SUMMARY 201
9. STRENGTHENING (COOPERATION AMONG YOUNG COMPETITION AUTHORITIES
IN REGIONAL CROSS-BORDER CARTEL INVESTIGATIONS 203
9.1. EROM CALCULUS-BASED TRUST (CRT) TO KNOWLEDGE-BASED
TRUST (KBT) 205
9.1.1. DEVELOPMENT OF TRUST IN SELECTED REGIONAL GROUPINGS 205
9.1.1.1. THE ANDEAN COMMUNITY 206
9.1.1.2. IHE CENTRAL AMERICAN NETWORK OF COMPETITION
AUTHORITIES (RECAC) 206
9.1.1.3. MERCOSUR 207
9.1.2. BUILDING TRUST AMONG YOUNG COMPETITION AUTHORITIES
FOR REGIONAL CBC INVESTIGATIONS 208
9.1.3. INTRODUCING AD-I LOC INFORMATION GATEWAYS AMONG
YOUNG COMPETITION AUTHORITIES 210
9.2. STRENGTHENING INFORMATION COOPERATION THROUGH
(COORDINATION GAMES 211
9.2.1. I HE PROBLEM OF COOPERATION VS THE PROBLEM
OF COORDINATION 212
(. M/I- !F XVII
9.2.2. IHE ASSURANCE OR STAG HUNT GAME 21-1
9.2.3. IHE BATTLE OF THE SEXES GAME 215
9.2.-1. APPLYING COORDINATION GAMES TO CISC ENFORCEMENT
AMONG YOUNG COMPETITION AUTHORITIES 216
9.2.5. PROMOTING INFORMAL COORDINATION THROUGH
COORDINATION GAMES IN LATIN AMERICA 218
9.2.5.1. IHE RATIONALE OF THE STAG HUNT GAME 218
9.2.5.2. SOLVING THE COORDINATION PROBLEM 218
9.2.5.3. A HYPOTHETICAL CASE: LHE AIRLINE SECTOR 21
9.3. SUMMARY AND OUTLOOK 222
10. CONCLUSIONS 223
10.1. BUILDING BLOCKS FOR INFECTIVE TRANSNATIONAL CBC INVESTIGATIONS
221
10.1.1. ON THE ISSUE OF TRUST DEVELOPMENT BETWEEN MATURE
OR LARGE AND YOUNG OR SMALL AUTHORITIES 221
10.1.2. ON THE ISSUE OF INCORPORATING A NEW CONCEPT
OF SHAMBLE INFORMATION 225
10.1.3. ON THE ISSUE OF THE PLATFORM PROPOSED 225
10.2. I ROM COOPERATION TO COORDINATION IN REGIONAL CBC
INVESTIGATIONS 226
10.2.1. ON THE ISSUE OF STRENGTHENING TRUST IN THE REGION 226
10.2.2. ON THE ISSUE OF INTRODUCING COORDINATION GAMES 226
10.3. TINAL REFLECTIONS
,.*-. /
BIBLIOGRAPHY 2M)
INDEX. 255
|
| adam_txt |
CONTENTS
FOREWORD VII
ACKNOWLEDGEMENTS IX
INTRODUCTION 1
CATCHING THE UNCATCHABLE 2
PATHWAYS TO COOPERATION IN CARTEL ENFORCEMENT 4
DISMANTLING PERCEPTIONS ABOUT CBCS IN THE DEVELOPING WORLD 5
PERCEPTION 1: YOUNGER OR SMALLER COMPETITION AUTHORITIES SHOULD
PRIORITISE GOING AFTER DOMESTIC CARTELS BEFORE INVESTIGATING
COMPLEX CBCS 5
PERCEPTION 2: CROSS-BORDER CARTELS ARE ALL THE SAME, AND THERE ARE
ONE-SIZE-FITS-ALL SOLUTIONS 6
PERCEPTION 3: REGIONAL CBCS CAN ONLY BE SUCCESSFULLY TARGETED
BY EFFECTIVE REGIONAL COMPETITION AUTHORITIES 6
PERCEPTION 4: ANTI-CARTEL LAWS IN EMERGING MARKETS ARE STILL
IN THEIR INFANCY 6
PERCEPTION 5: TRUST IS THE FIRST ISSUE TO LOOK AT WHEN DEALING
WITH YOUNGER JURISDICTIONS 7
PERCEPTION 6: IN CARTEL ENFORCEMENT, ALL INFORMATION EXCHANGED
BY COMPETITION AUTHORITIES IS CONFIDENTIAL 7
TURNING A PAPER TIGER INTO AN EFFECTIVE HUNTER 7
METHODOLOGY AND EXPOSURE 8
PARTI
CROSS BORDER CARTELS
1. CONCEPTUAL FRAMEWORK 13
1.1. DEFINITION OF CROSS-BORDER CARTELS 13
1.1.1. CARTELS AS HORIZONTAL AGREEMENTS BETWEEN
COMPETITORS 13
1.1.2. OVERT (EXPLICIT) VS COVERT (TACIT) COLLUSION 16
1.1.3. PRIVATE VS PUBLIC CARTELS 18
1.1.4. INTERNATIONAL VS DOMESTIC CARTELS 19
XII CONTENTS
1.1.5. CBCS AND CAPS 19
1.1.6. HARMFUL EFFECTS OF CROSS-BORDER CARTELS 21
1.2. IMPLICATIONS OF THE SIZE AND MATURITY OF COMPETITION REGIMES
FOR CBC ENFORCEMENT 21
1.3. CBCS AND ALGORITHMS 25
1.4. SUMMARY 29
2. CLASSIFICATION OF CROSS-BORDER CARTELS 31
2.1. RATIONALE FOR THE CLASSIFICATION OF CBCS 31
2.2. TYPES OF CBCS 34
2.2.1. EXPORT CROSS-BORDER CARTELS 35
2.2.2. IMPORT CROSS-BORDER CARTELS 38
2.2.3. REGIONAL CROSS-BORDER CARTELS 39
2.2.4. MULTINATIONAL CROSS-BORDER CARTELS 40
2.2.4.1. THE LYSINE CARTEL (1992-95) 42
2.2.4.2. THE VITAMINS CARTEL (1990-99) 43
2.2.4.3. THE MARINE HOSES CARTEL AND THE
AIR CARGO CARTEL 45
2.2.5. TRANSNATIONAL CROSS-BORDER CARTELS 46
2.2.5.1. FIRST WAVE OF TRANSNATIONAL CARTELS 47
2.2.5.2. SECOND WAVE OF TRANSNATIONAL CARTELS 47
2.2.5.3. THE AUTO-PARTS CARTELS 50
2.3. SUMMARY 51
3. THEORY AND PRACTICE OF INTERNATIONAL COOPERATION 52
3.1. RATIONALE FOR COOPERATION 53
3.1.1. PHASES OF INTERNATIONAL COOPERATION IN CARTEL
INVESTIGATIONS 54
3.1.2. THE ROLE OF POLITICS IN INTERNATIONAL COOPERATION 56
3.2. TOOLS FOR INTERNATIONAL COOPERATION AND INFORMATION-SHARING 59
3.2.1. FORMAL COOPERATION 59
3.2.1.1. MEMORANDA OF UNDERSTANDING VS AGREEMENTS:
THE LEGAL PRINCIPLE OF COMITY 60
3.2.1.2. COMPETITION CHAPTERS IN REGIONAL
OR MULTILATERAL TRADE AGREEMENTS 61
3.2.2. INFORMAL COOPERATION 62
3.3. INTERNATIONAL ORGANISATIONS 63
3.3.1. THE WORK OF THE ORGANISATION FOR ECONOMIC
COOPERATION AND DEVELOPMENT (OECD) 64
3.3.2. THE WORK OF THE UNITED NATIONS CONFERENCE
ON TRADE AND DEVELOPMENT (UNCTAD) 66
3.3.3. THE WORK OF THE INTERNATIONAL COMPETITION
NETWORK (ICN) 70
3.4. SUMMARY 73
CONTENTS XIII
PART II
CHALLENGES OF CROSS-BORDER COOPERATION
IN MULTIJURISDICTIONAL CARTEL ENFORCEMENT
4. MULTINATIONAL VS TRANSNATIONAL CBCS 79
4.1. CHALLENGES IN MULTINATIONAL CBC ENFORCEMENT 80
4.1.1. OVERALL TRUST 80
4.1.1.1. LACK OF REPEATED PERSONAL INTERACTION
CAN BE FOUND AT THE GLOBAL LEVEL 82
4.1.1.2. LACK OF SHARED INTERESTS AND VALUES 83
4.1.1.3. LACK OF UNDERSTANDING 83
4.1.1.4. LACK OF JOINT ACTIVITIES 84
4.1.2. LEGAL CULTURE BARRIERS 85
4.1.3. DIVERGING SANCTIONS VS OPTIMAL DETERRENCE 87
4.2. CHALLENGES IN TRANSNATIONAL CBC ENFORCEMENT 88
4.2.1. LACK OF INCENTIVES FOR COOPERATION 88
4.2.1.1. FOR MATURE OR LARGE COMPETITION
AUTHORITIES 90
4.2.1.2. FOR YOUNG OR SMALL AUTHORITIES 91
4.2.1.3. FOR THE PARTIES, COMPANIES AND LAWYERS 92
4.2.2. DIVERGING LENIENCY REGIMES 93
4.2.2.1. LACK OF EFFECTIVE IMPLEMENTATION OF LENIENCY
PROGRAMMES IN YOUNG COMPETITION
AUTHORITIES 93
4.2.2.2. LACK OF TRUST BY THE LENIENCY APPLICANTS IN
PROVIDING A CONFIDENTIALITY WAIVER TO YOUNG
COMPETITION AUTHORITIES 94
4.2.2.3. LACK OF SPECIFIC COOPERATION ARRANGEMENTS
OF MUTUAL RECOGNITION IN LENIENCY 95
4.2.3. LACK OF AN INTERNATIONAL DEFINITION OF CONFIDENTIAL
INFORMATION 97
4.2.4. LACK OF PHYSICAL PRESENCE 100
4.3. SUMMARY 102
5. SPECIFIC ISSUES FOR YOUNG OR SMALL COMPETITION AUTHORITIES
IN INVESTIGATING REGIONAL CROSS-BORDER CARTELS 103
5.1. LACK OF EFFECTIVE REGIONAL COMPETITION AUTHORITIES 105
5.2. DIFFERENT LEGAL STANDINGS REGARDING CARTEL OFFENCES 107
5.2.1. DUAL CRIMINALITY 108
5.2.2. IMPLEMENTATION OF MUTUAL LEGAL ASSISTANCE
TREATIES (MLATS) 110
5.2.3. LIMITATIONS ON THE USE OF INFORMATION ILL
5.2.4. DIFFERENT LEVELS OF PROTECTION OF DUE PROCESS RIGHTS ILL
5.2.5. DIVERGING GOALS OF COMPETITION POLICY AND LAW 112
XIV CONTENTS
5.3. DIVERSE SET OF RULES CONCERNING THE POWERS
OF INVESTIGATION 112
5.4. DIVERSE ADJUDICATION TECHNIQUES 113
5.5. ISSUES RELATED TO EXPORT AND IMPORT CROSS-BORDER CARTEL
INVESTIGATIONS 114
5.5.1. EXPORT CBC INVESTIGATIONS 115
5.5.1.1. LACK OF INCENTIVES AND WILLINGNESS
TO INVESTIGATE EXPORT CROSS-BORDER CARTELS 115
5.5.1.2. LACK OF A COMPULSORY AGREEMENT
TO GATHER INFORMATION 116
5.5.2. IMPORT CBC INVESTIGATIONS 117
5.5.2.1. LACK OF INCENTIVES AND WILLINGNESS
TO INVESTIGATE IMPORT CROSS-BORDER CARTELS 117
5.5.2.2. LIMITATIONS ON THE ADMISSIBILITY
OF FOREIGN EVIDENCE 119
5.6. SUMMARY 120
6. PAST SOLUTIONS TO COMBATTING CROSS-BORDER CARTELS 122
6.1. MOST COMMON SOLUTIONS TO IMPROVE MULTIJURISDICTIONAL
COOPERATION IN CROSS-BORDER CARTEL INVESTIGATIONS 123
6.1.1. EXTRATERRITORIAL APPLICATION OF COMPETITION LAWS 123
6.1.2. ADDRESSING DIFFERENCES IN LENIENCY APPLICATIONS
THROUGH 'ONE-STOP SHOP MODELS 126
6.1.3. OVERCOMING LEGAL BARRIERS THROUGH JOINT
INVESTIGATIVE TEAMS AND CROSS-APPOINTMENTS 128
6.1.4. ADDRESSING THE ISSUE OF CONFIDENTIAL INFORMATION
THROUGH INFORMATION GATEWAYS AND APPROPRIATE
SAFEGUARDS 128
6.1.5. ACHIEVING MORE COMPARABLE SANCTIONS AND REMEDIES
THROUGH COOPERATION AT THE COURT LEVEL 130
6.1.6. SUMMARY OF THE PREVIOUSLY PROPOSED SOLUTIONS 131
6.2. MOST COMMON PARTIAL SOLUTIONS TO IMPROVE COOPERATION
IN REGIONAL, EXPORT AND IMPORT CBC INVESTIGATIONS 132
6.2.1. SOLUTIONS PROPOSED FOR REGIONAL CBC INVESTIGATIONS 132
6.2.1.1. ADDRESSING THE ABSENCE OF EFFECTIVE REGIONAL
COMPETITION AUTHORITIES: THE INTERNATIONAL
PRIVATE LAW SOLUTION 132
6.2.1.2. ADDRESSING DIFFERENT LEGAL STANDINGS OF CARTEL
OFFENCES: APPOINTMENT OF ONE OR MORE LEAD
JURISDICTION(S) IN CROSS-BORDER CASES 135
6.2.1.3. ADDRESSING THE DIVERSE CRITERIA IN ADJUDICATION
TECHNIQUES: RECOGNITION OF DECISIONS MADE
BY AGENCIES OR COURTS IN OTHER JURISDICTIONS 136
CONTENTS XV
6.2.2. PROPOSED SOLUTION FOR EXPORT CBC INVESTIGATIONS 137
6.2.3. RECOGNITION OF FOREIGN EVIDENCE PROVIDED BY AFFECTED
EXPORTERS IN IMPORT CBC INVESTIGATIONS 139
6.3. SUMMARY 140
PART III
NOVEL PROPOSALS TO TARGET SELECTED
TYPES OF CROSS-BORDER CARTELS
7. CBCS IN LATIN AMERICA 147
7.1. COMPETITION LAW AND POLICY DEVELOPMENTS IN LATIN AMERICA 147
7.2. NATIONAL CARTEL CASES WITH REGIONAL CROSS-BORDER DIMENSIONS 151
7.2.1. FOUR CENTRAL ASPECTS OF ANTI-CARTEL ENFORCEMENT 151
7.2.1.1. THE LEGAL FRAMEWORK 152
7.2.1.2. INVESTIGATORY POWERS 153
7.2.1.3. LENIENCY PROGRAMMES 154
7.2.1.4. SANCTIONS, REMEDIES AND SETTLEMENTS 154
7.2.2. DOMESTIC CARTEL CASES IN THE REGION 155
7.3. CROSS-BORDER CARTELS IN LATIN AMERICA 158
7.3.1. MEXICO: THE LYSINE CARTEL (1998) 158
7.3.2. BRAZIL: THE VITAMINS CARTEL (2007) 159
7.3.3. COLOMBIA: THE AUTO-PARTS CARTEL (2012) 160
7.3.4. CHILE: THE SHIPPING CARTEL (2015) 160
7.3.5. COLOMBIA: THE SUGAR IMPORT CARTEL (2015) 161
7.3.6. BRAZIL: THE REFRIGERATION COMPRESSOR CARTEL (2016) 161
7.3.7. COLOMBIA: THE NAPPY CARTEL (2016) 162
7.3.8. PERU: THE ROLL-ON ROLL-OFF CARGO CARTEL (2017) 162
7.4. EXISTING EFFORTS OF CBC ENFORCEMENT IN LATIN AMERICA 163
7.4.1. BILATERAL AND REGIONAL TRADE AGREEMENTS 163
7.4.2. SUB-REGIONAL COMPETITION REGIMES AND PLATFORMS 166
7.4.2.1. THE CAN 166
7.4.2.2. THERECAC 168
7.4.2.3. THE MERCOSUR 169
7.4.3. PARALLEL DOMESTIC CARTEL INVESTIGATIONS 171
7.4.4. INFORMAL COOPERATION ARRANGEMENTS 175
7.5. SUMMARY 176
8. STRENGTHENING COOPERATION BETWEEN MATURE AND YOUNG COMPETITION
AUTHORITIES IN TRANSNATIONAL CROSS-BORDER CARTEL INVESTIGATIONS 178
8.1. INTRODUCING CALCULUS-BASED TRUST ACTIVITIES 179
8.1.1. CONCEPTUAL FRAMEWORK FOR TRUST DEVELOPMENT 179
8.1.1.1. DETERRENCE-BASED OR CALCULUS-BASED
TRUST (CBT) 181
XVI CONTENT*
8.1.1.2. KNOWLEDGE-BASED TRUST (KBT) 181
5.1.1.3. IDENTIFICATION-BASED TRUST (IBT) 182
8.1.2. APPLICABILITY OF THE I'RAMEWORK TO COMPETITION
AUTHORITIES 182
8.1.3. BUILDING TRUST'IHROUGH TECHNICAL ASSISTANCE
AND CAPACITY-BUILDING 183
8.2. TOWARDS AN INTERNATIONAL BENCHMARK FOR THE DEFINITION
OL''SHAMBLE INFORMATION' 185
8.2.1. INFORMATION NEEDED FOR TRANSNATIONAL CBC
ENFORCEMENT 186
8.2.1.1. CRITERIA SET BY YOUNG COMPETITION
AUTHORITIES 187
8.2.1.2. CRITERIA USED TO ASSESS THE CONFIDENTIAL
INFORMATION BY YOUNG COMPETITION AUTHORITIES
IN LATIN AMERICA: COLOMBIA, CHILE AND PERU 188
8.2.1.3. TYPES OF INFORMATION I LANDLCD
BY THE AUTHORITY 190
8.2.1.4. SETTING THE BENCHMARK FOR SHARABLE
INFORMATION 190
8.2.2. ESTABLISHING (CONDITIONAL INFORMATION GATEWAYS
IN THE ABSENCE OF (EFFECTIVE) LENIENCY PROGRAMMES 191
8.3. STRENGTHENING THE ICN FOR SHARING NON-CONFIDENTIAL
INFORMATION 193
8.3.1. WEAVING THE UN MECHANISM INTO THE ICN 194
8.3.2. TOWARDS A VOLUNTARY CONSULTATION MECHANISM UNDER
SECTION 1.4 OF THE UN SET OF COMPETITION 199
8.1. SUMMARY 201
9. STRENGTHENING (COOPERATION AMONG YOUNG COMPETITION AUTHORITIES
IN REGIONAL CROSS-BORDER CARTEL INVESTIGATIONS 203
9.1. EROM CALCULUS-BASED TRUST (CRT) TO KNOWLEDGE-BASED
TRUST (KBT) 205
9.1.1. DEVELOPMENT OF TRUST IN SELECTED REGIONAL GROUPINGS 205
9.1.1.1. THE ANDEAN COMMUNITY 206
9.1.1.2. 'IHE CENTRAL AMERICAN NETWORK OF COMPETITION
AUTHORITIES (RECAC) 206
9.1.1.3. MERCOSUR 207
9.1.2. BUILDING TRUST AMONG YOUNG COMPETITION AUTHORITIES
FOR REGIONAL CBC INVESTIGATIONS 208
9.1.3. INTRODUCING AD-I LOC INFORMATION GATEWAYS AMONG
YOUNG COMPETITION AUTHORITIES 210
9.2. STRENGTHENING INFORMATION COOPERATION THROUGH
(COORDINATION GAMES 211
9.2.1. 'I HE PROBLEM OF COOPERATION VS THE PROBLEM
OF COORDINATION 212
(. M/I- !F XVII
9.2.2. 'IHE ASSURANCE OR 'STAG HUNT' GAME 21-1
9.2.3. 'IHE BATTLE OF THE SEXES GAME 215
9.2.-1. APPLYING COORDINATION GAMES TO CISC ENFORCEMENT
AMONG YOUNG COMPETITION AUTHORITIES 216
9.2.5. PROMOTING INFORMAL COORDINATION THROUGH
'COORDINATION GAMES' IN LATIN AMERICA 218
9.2.5.1. 'IHE RATIONALE OF THE STAG HUNT GAME 218
9.2.5.2. SOLVING THE COORDINATION PROBLEM 218
9.2.5.3. A HYPOTHETICAL CASE:'LHE AIRLINE SECTOR 21
9.3. SUMMARY AND OUTLOOK 222
10. CONCLUSIONS 223
10.1. BUILDING BLOCKS FOR INFECTIVE 'TRANSNATIONAL CBC INVESTIGATIONS
221
10.1.1. ON THE ISSUE OF TRUST DEVELOPMENT BETWEEN MATURE
OR LARGE AND YOUNG OR SMALL AUTHORITIES 221
10.1.2. ON THE ISSUE OF INCORPORATING A NEW CONCEPT
OF 'SHAMBLE' INFORMATION 225
10.1.3. ON THE ISSUE OF THE PLATFORM PROPOSED 225
10.2. I'ROM COOPERATION TO COORDINATION IN REGIONAL CBC
INVESTIGATIONS 226
10.2.1. ON THE ISSUE OF STRENGTHENING TRUST IN THE REGION 226
10.2.2. ON THE ISSUE OF INTRODUCING COORDINATION GAMES 226
10.3. TINAL REFLECTIONS ""
,.*-. /
BIBLIOGRAPHY 2M)
INDEX. 255 |
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| ctrlnum | (DE-599)KXP1683586379 |
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| id | DE-604.BV046786013 |
| illustrated | Illustrated |
| index_date | 2024-07-03T14:51:28Z |
| indexdate | 2024-07-10T08:53:46Z |
| institution | BVB |
| isbn | 9781509933686 |
| language | English |
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| physical | xvii, 277 Seiten Illustrationen |
| publishDate | 2020 |
| publishDateSearch | 2020 |
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| publisher | Hart |
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| series | Hart studies in competition law |
| series2 | Hart studies in competition law |
| spelling | Horna, Pierre Martín 1978- Verfasser (DE-588)1057433241 aut Fighting cross-border cartels the perspective of the young and small competition authorities Pierre Horna Oxford Hart 2020 xvii, 277 Seiten Illustrationen txt rdacontent n rdamedia nc rdacarrier Hart studies in competition law Volume 25 Based on author's thesis (doctoral - Graduate Institute of International and Development Studies (Geneva, Switzerland) 2018) issued under title: Cartels in Latin America : a cross-border competition assessment 2003 Conceptual Framework -- Classification of Cross-Border Cartels -- Theory and Practice of International Cooperation -- Multinational vs Transnational CBCs -- Specific Issues for Young or Small Competition Authorities in Investigating Regional Cross-Border Cartels -- Past Solutions to Combatting Cross-Border Cartels -- CBCs in Latin America -- Strengthening Cooperation between Mature and Young Competition Authorities in Transnational Cross-Border Cartel Investigations -- Strengthening Cooperation Among Young Competition Authorities in Regional Cross-Border Cartel Investigations -- Conclusions "This book is the first detailed treatment of the approaches taken to enforce competition laws against cross-border cartels (CBCs) from the perspective of young and small competition authorities (more than 70% of the total number of authorities worldwide). No other legal or inter-disciplinary scholarship exists in the market that deals with the issue of a taxonomy of CBCs combined with young/small competition authorities' problems. The book looks at the extent of the harms caused by CBCs and issues associated with tackling them at a transnational level. It explains why past solutions to problems with cooperation have failed and proposes novel ideas on how to improve cooperation and coordination in certain types of CBC investigations (transnational and regional CBCs). The proposals are based on primary-source information and observations made by the author as part of his work in the UN, and interviews with leading enforcers from young, small, old and large jurisdictions. Young/small competition authorities, competition lawyers and economists, scholars and students within the fields of competition law and international law, and those interested in international cooperation and coordination in the area of cartel enforcement in emerging markets will greatly benefit from this book. It is clearly structured and extensively referenced, providing a valuable guide to the topic"-- Wettbewerbspolitik (DE-588)4065839-9 gnd rswk-swf Kartell (DE-588)4029785-8 gnd rswk-swf Cartels / Developing countries Wettbewerbspolitik (DE-588)4065839-9 s Kartell (DE-588)4029785-8 s DE-604 Erscheint auch als Online-Ausgabe, ePDF 978-1-50993-370-9 Erscheint auch als Online-Ausgabe, ePub 978-1-50993-369-3 Hart studies in competition law Volume 25 (DE-604)BV040263538 25 SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=032195064&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Horna, Pierre Martín 1978- Fighting cross-border cartels the perspective of the young and small competition authorities Hart studies in competition law Wettbewerbspolitik (DE-588)4065839-9 gnd Kartell (DE-588)4029785-8 gnd |
| subject_GND | (DE-588)4065839-9 (DE-588)4029785-8 |
| title | Fighting cross-border cartels the perspective of the young and small competition authorities |
| title_auth | Fighting cross-border cartels the perspective of the young and small competition authorities |
| title_exact_search | Fighting cross-border cartels the perspective of the young and small competition authorities |
| title_exact_search_txtP | Fighting cross-border cartels the perspective of the young and small competition authorities |
| title_full | Fighting cross-border cartels the perspective of the young and small competition authorities Pierre Horna |
| title_fullStr | Fighting cross-border cartels the perspective of the young and small competition authorities Pierre Horna |
| title_full_unstemmed | Fighting cross-border cartels the perspective of the young and small competition authorities Pierre Horna |
| title_short | Fighting cross-border cartels |
| title_sort | fighting cross border cartels the perspective of the young and small competition authorities |
| title_sub | the perspective of the young and small competition authorities |
| topic | Wettbewerbspolitik (DE-588)4065839-9 gnd Kartell (DE-588)4029785-8 gnd |
| topic_facet | Wettbewerbspolitik Kartell |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=032195064&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| volume_link | (DE-604)BV040263538 |
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