Build a Comparative Guide

1.1

Which legislative and regulatory provisions apply to cartels in your jurisdiction?

1.2

Do any special regimes apply to cartels in specific sectors?

1.3

Which authorities are responsible for enforcing the cartel legislation?

1.4

How active are the enforcement authorities in investigating and taking action against cartels in your jurisdiction? What are the statistics regarding past and ongoing cartel investigations? What key decisions have the enforcement authorities adopted most recently?

2.1

How is a ‘cartel’ defined in the cartel legislation?

2.2

What specific offences are defined in the cartel legislation?

2.3

Is liability under the cartel legislation civil, criminal or both?

2.4

Can both individuals and companies be prosecuted under the cartel legislation?

2.5

Can foreign companies be prosecuted under the cartel legislation?

2.6

Does the cartel legislation have extraterritorial reach?

2.7

What is the statute of limitations to prosecute cartel offences in your jurisdiction?

3.1

On what grounds may the enforcement authorities commence an investigation?

3.2

What investigatory powers do the enforcement authorities have in conducting their investigation?

3.3

To what extent may the enforcement authorities cooperate with their counterparts in other jurisdictions during their investigation? How common is such cooperation in practice?

3.4

Is there an opportunity for third parties to participate in the investigation?

3.5

What are the general rights and obligations of the enforcement authorities during the investigation?

3.6

What are the general rights and obligations of the target company during the investigation?

3.7

What principles of attorney-client privilege apply during a cartel investigation?

3.8

Are details of the investigation publicly announced? If so, what principles of confidentiality apply?

4.1

What initial steps do the enforcement authorities take to commence a cartel investigation?

4.2

Are dawn raids commonly conducted in your jurisdiction? If so, what are the pre-conditions for conducting a dawn raid? When, where and by whom are they conducted? Do the enforcement authorities have the power to search private as well as company premises?

4.3

What powers do officers have during the dawn raid? Are there any limitations on these powers?

4.4

What are the rights and obligations of the target company and any individuals targeted during a dawn raid?

4.5

What evidence can be seized during a dawn raid? Do the enforcement authorities have the power to interview witnesses and take statements during a dawn raid?

4.6

How can a company best prepare itself for dawn raids? What best practices should it follow in the event of a dawn raid?

4.7

What are the next steps in the cartel investigation following a dawn raid? What timeframe do these typically follow?

4.8

What factors will the enforcement authorities consider in assessing whether cartel activity has taken place?

4.9

In case of a finding of cartel activity, can the company seek to negotiate a settlement, plea bargain or similar resolution? If so, what is the process for doing so?

5.1

Is a leniency programme in place in your jurisdiction? If so, how does this function?

5.2

What are the benefits of applying for leniency, both for the first mover and for subsequent applicants?

5.3

What steps does a leniency application involve? What timeframe do these typically follow?

5.4

What are the rights and obligations of the applicant during the leniency application and over the course of its cooperation with the enforcement authorities?

5.5

Is the leniency programme open to individuals? Can employees or former employees benefit from a leniency application filed by their employer? Do the authorities operate a programme for individual whistleblowers separate to the leniency programme?

5.6

Can leniency be denied or revoked? If so, on what grounds?

6.1

What penalties may be imposed in criminal proceedings on companies? What penalties may be imposed on individuals?

6.2

What penalties may be imposed in civil proceedings on companies? What penalties may be imposed on individuals?

6.3

How are penalties in cartel cases determined? In deciding on the applicable penalties, will the enforcement authorities consider penalties imposed in other jurisdictions?

6.4

Can a defendant company pay the legal costs incurred by and/or penalties imposed on its employees?

7.1

Can the defendant company appeal the enforcement authorities’ decision? If so, which decisions of the authority can be appealed (eg, all decisions or just the final decision) and to which reviewing authority? What is the standard of review applied by the reviewing authority (eg, limited to errors of law or a full review of all facts and evidence)?

7.2

Can third parties appeal the enforcement authorities’ decision, and if so, in what circumstances?

8.1

Are private enforcement actions against cartels available in your jurisdiction? If so, where can they be brought?

8.2

Can private enforcement actions be brought against both companies and individuals?

8.3

Are class actions or other forms of collective action available in your jurisdiction?

8.4

What process do private enforcement actions follow?

8.5

What types of relief may be sought and what types of relief are most commonly awarded? How is the relief awarded determined?

8.6

Can the decision in a private enforcement action be appealed? If so, to which reviewing authority?

9.1

How would you describe the current cartel enforcement landscape and prevailing trends in your jurisdiction? Are any new developments anticipated in the next 12 months, including any proposed legislative reforms?

10.1

What would be your recommendations to companies faced with a cartel investigation and what potential pitfalls would you highlight?