This Glossary matches the list of keywords used by Concurrences search engine. Each keyword is automatically updated by the most recent EU and national case laws from the e-Competitions Bulletin and Concurrences Review. The definitions are excerpt from DG COMP’s Glossary of terms used in EU competition policy (© European Union, 2002) and the OECD’s Glossary of industrial organisation economics and competition law (© OECD, 1993).

Right against self-incrimination

"In the Orkem-judgment (para. 34) the ECJ stated that the “Commission may not compel an undertaking to provide it with answers which might involve an admission on its part of the existence of an infringement which it is incumbent upon the Commission to prove” The precise distinction between self incriminating questions and lawful questions may sometimes be difficult to draw. However the following indications might be helpful. Whether a question is of a self-incriminating nature or not should be assessed from an objective perspective (average and reasonable respondent) rather than the perspective of the individual addressee (subjective perspective). It is not relevant which information the Commission already has in its possession when asking a question. This approach ensures an objective interpretation of the law, consistent with the principle of legal certainty. It is recommended to assess whether a company can answer a question truthfully without an admission of guilt." © European Commission

Related EU and national case law

Jean-Michel Vertut Dawn raids: The French Competition Authority issues a non-restrictive definition of an obstructive practice during a dawn raid (Akka)

22 May 2019

Les pratiques d’obstruction aux investigations ou à l’instruction de procédures ouvertes devant les autorités de concurrence étant de nature à les mettre en échec, elles sont sanctionnables en elles-mêmes. Ainsi, l’art. 23 § 1 du règlement 1/2003 prévoit notamment la possibilité pour la Commission de (...)

Marcin Mleczko The Polish Supreme Court provides guidance on setting fines for resale price maintenance and recognizes the privilege against self-incrimination in the national competition law (Polifarb Cieszyn – Wrocław)

13 June 2017

Introductory remarks In its decision of 18 September 2006, the President of the Office of Competition and Consumer Protection (hereinafter referred to as the ’President of UOKiK’) imposed fines on Polifarb Cieszyn - Wrocław S.A. (hereinafter referred to as ’PCW’) Praktiker Polska, OBI, Castorama, (...)

Francesco Martucci Lift of professional secrecy: The French Legislator strengthens the cooperation between the gambling regulator and three others regulation authorities to enable the professional secrecy to be lifted

9 December 2016

Dans la loi dite Sapin, une disposition permet de renforcer la coopération entre l’Autorité de régulation des jeux en ligne (ARJEL) et trois autres autorités de régulation. L’article 76 de cette loi introduit trois nouvelles dispositions après l’article 39 de la loi n° 2010-476 du 12 mai 2010 relative à (...)

Alain Ronzano Professional secrecy: Advocate General Szpunar invites the Court of Justice of the European Union to allow the Commission to publish factual information relating to the infringement disclosed to the Commission as part of leniency proceedings

21 July 2016

Le 21 juillet 2016, l’avocat général Szpunar a présenté ses conclusions dans l’affaire C-162/15 (Evonik Degussa GmbH contre Commission européenne). Il s’y prononce en faveur du rejet du pourvoi introduit par Evonik Degussa GmbH demandant l’annulation de l’arrêt du 28 janvier 2015, Evonik (...)

Alain Ronzano Requests of information: The Advocate General Nils Wahl invites the Court of Justice of the European Union to set aside the Tribunal’s approach of the Commission’s practice and adopt a position more respectful of companies’ rights (HeidelbergCement/Schwenk Zement/Buzzi Unicem/Italmobiliare)

15 October 2015

CJUE, Avocat général, 15 octobre 2015, conclusions dans les affaires C-247/14 (HeidelbergCement), C-248/14 (Schwenk Zement), C-267/14 (Buzzi Unicem), et C-268/14 (Italmobiliare) Le 15 octobre 2015, l’avocat général Nils Wahl a présenté ses conclusions dans les affaires C-247/14 (HeidelbergCement / (...)

UK Competition Authority The UK Competition and Markets Authority hands a provisional decision and proposes solutions to resolve competition concerns on the payday lending market

9 October 2014

CMA sets out proposals to lower payday loan costs* The CMA has set out proposals to increase price competition between payday lenders and help borrowers get a better deal. These proposals have been developed in light of the Financial Conduct Authority’s (FCA) price cap proposals announced this (...)

Christoph Krüger The German Federal Court of Justice recognizes that information which became known to lawyers in the process of acquiring new clients may be subject to the right to refuse testimony

18 February 2014

In its decision of 18 February 2014, the Federal Court of Justice (the “Court”) considered the right to refuse testimony to apply to any information which became known to a lawyer in the course of two telephone calls he made for the purpose of the acquisition of a new client. As a consequence, (...)

Michelle Booth The Canadian Superior Court allows the enforcement of the letters rogatory issued by a US District Court to obtain evidence as regards an allegation of price-fixing of foam (Neuwirth / DeCosta)

14 January 2014

Criminal Investigations and Cross Border Litigation Not A Bar to US Depositions* The Superior Court of Ontario recently granted an application for the enforcement of letters rogatory to take evidence of, and compel the production of documents by, two non- party Ontario residents in a (...)

Mark Griffiths The Botswana Competition Commission refuses to confirm settlement due to lack of evidence in connection with the respondent’s involvement in the alleged bid rigging food cartel (Ya Raheem)

17 September 2013

Due process arguments come to the fore as the Botswana Competition Authority gears itself for enforcement* In September and October, the Botswana Competition Commission (Commission) took its first two rulings on cartel enforcement. Both rulings have a keen (if not almost exhaustive) focus on (...)

Emanuela Matei The EU Court of Justice dismisses the appeal supported by pleas on the violation of fundamental rights in elevators cartel case (Schindler)

18 July 2013

I. Background The Schindler Group is a leading supplier of elevators, escalators and related services. Schindler’s operations cover 140 countries worldwide and involve a large number of national subsidiaries, including Schindler Belgium, Schindler Luxembourg, Schindler Netherlands and Schindler (...)

Daniel G. Swanson, Pablo Figueroa, Peter Alexiadis The EU Court of Justice rules on the compatibility of the antitrust procedure with the fundamental rights of the EU in elevators cartel case (Schindler)

18 July 2013

The Schindler Ruling of the Court of Justice of the European Union: Potential Implications for Fundamental Rights and EU Competition Law* I. Background Defense counsel in European antitrust proceedings have long bemoaned the fact that “fundamental rights” did not effectively find their way (...)

Alain Ronzano Cartel: The CJEU rejects the appeal directed against the General Court’s judgement in the methacrylates cartel (Quinn)

30 May 2013

Par arrêt rendu le 30 mai 2013, la Cour de justice de l’Union a rejeté le pourvoi introduit par les sociétés Quinn Barlo Ltd, Quinn Plastics NV et Quinn Plastics GmbH contre l’arrêt adopté par le Tribunal le 30 novembre 2011, dans l’affaire T-208/06 (Quinn Barlo e.a. / Commission), qui avait réduit de 9 (...)

Emanuela Matei The Romanian Supreme Court rejects an appeal on points of law relying on claims of non-compliance with the right to inviolability of domicile brought against an order for unannounced inspections conducted under the Article 101 TFEU (BRD-Group Société Générale)

11 April 2013

The irremediable impairment of the rights of defence may arise from the disregard of the right to the inviolability of domicile Introduction ...whilst it is true that the rights of the defence must be observed in administrative procedures which may lead to the imposition of penalties, it is (...)

Emanuela Matei The Danish Competition and Consumer Authority issues new guidelines concerning access to justice in competition law matters

8 April 2013

1. Introduction In March 2013 Danish Competition and Consumer Authority has issued new guidelines concerning access to justice in competition law matters. The formulation is direct and pedagogically constructed. The addressees are advised on how to bring a complaint against an undertaking and (...)

German Competition Authority The German Competition Authority confirms its searches at the premises of three companies in the steel industry

28 February 2013

Bundeskartellamt confirms searches at three companies in the steel industry* The Bundeskartellamt confirms that on 28 February 2013 it carried out searches at three companies in the steel industry. The authority followed up the suspicion that companies on the market for the sale of steel strip (...)

Alain Ronzano Disclosure of documents :The Cour de cassation refuses to send to the Constitutional Council a question related to the disclosure of documents by the criminal judge (Aximum)

28 November 2012

Le 28 novembre 2012, la Chambre commerciale de la Cour de cassation a rendu un arrêt dans la cadre du pourvoi en cours dans l’affaire de la signalisation routière. Statuant sur la question prioritaire de constitutionnalité présentée par la société Aximum, la Cour de cassation a estimé que la question (...)

Emanuela Matei The EU General Court confirms that fact-finding measures conducted under article 20(4) of the Regulation No 1/2003 do not bring about a distinct change of the legal position of the applicant, thus may not be the subject of an action for annulment (Nexans)

14 November 2012

I. Introduction The applicants in the present case seek the annulment of Commission decision of 9 January 2009 ordering them to submit to an inspection in accordance with article 20(4) of Regulation No 1/2003 as well as the way in which it was executed. In the context of an investigation the (...)

Bruce Lyons The UK Competition Authority consults on the introduction of a new structure concerning investigation decisions under the Competition Act 1998

28 March 2012

Article published on Centre for Competition Policy blog. OFT’s Proposed Reforms Fall Short of Ensuring Independence in Antitrust Decision Making* The OFT is currently consulting on its proposed new investigation procedures in competition cases. Much of what is proposed is very good – but the (...)

Jeffrey May The US DoJ obtains guilty plea by two Japanese suppliers of automotive electrical components imposing a $548 M fine for their involvement in price fixing and bid rigging conspiracies in the auto parts sales (Automotive component suppliers’ cartel)

30 January 2012

Fines Mounting in Department of Justice Auto Parts Cartel Investigation* The Department of Justice today announced a total of $548 million in fines resulting from a second round of charges in the government’s ongoing investigation into collusive activity in the auto parts industry. Two more (...)

Arthur Braun The Czech Competition Authority hands out penalties to five participants in a bid rigging cartel in the construction industry (Inzet)

26 August 2011

Penalty for first Czech Bid Rigging Case Confirmed by Court* Bid rigging has for a long time been a merely theoretical example of criminal liability in Czech Antitrust law without any actual cases decided. Until 2010 with the introduction of criminal liability for hard-core horizontal cartels, (...)

Jeffrey May The US DoJ obtains guilty plea for obstruction of justice engaged through false documents submission in connection with a merger investigation in the automated teller machine (ATM) industry (Nautilus Hyosung)

15 August 2011

Submission of Altered Documents in Merger Review Leads to Criminal Charges* Automated teller machine maker Nautilus Hyosung Holdings Inc. has been charged with obstruction of justice for submitting false documents to the government in its attempt to obtain U.S.antitrust approval of its (...)

Pedro Callol The Spanish Competition Authority closes with commitments proceedings initiated against two companies for alleged restrictive practices in the printed advertising sector (Vocento / Godό)

30 June 2011

On 30 June 2011 the NCC has decided to close a formal proceeding opened ex officio against Corporación Vocento S.A.U. and Vocento, S.A. (VOCENTO) and Publipress Media, S.L.U. and Grupo Godó de Comunicaciones S.A. (GODÓ) for possible restrictive practices under Article 1 SCA. The practices (...)

Eric Barbier de la Serre The EU General Court reduces fines imposed to a cartelist and its subsidiaries in the methacrylates sector (Arkema France)

7 June 2011

Unlimited jurisdiction: the end of a misnomer?* The past decade has seen a flurry of articles published trying to make sense of the degree of control that the EU Courts exercise on complex economic reasoning. By contrast, much less has been written about the Courts’ unlimited jurisdiction on (...)

Jeffrey H. Newhouse, Ryan D. Fahey The US DoJ announces that a company agreed to plead guilty and to pay a fine in a color display tube price-fixing cartel (Samsung)

18 March 2011

On March 18, 2011, the DOJ announced that Samsung SDI (“Samsung”) agreed to plead guilty in a color display tube (“CDT”) price-fixing conspiracy and to pay a $32 million criminal fine. On the same day, the DOJ filed a one-count felony information in the US District Court for the Northern District (...)

Hugh Sandler The US DoJ obtains guilty pleas in the aftermarket auto lights investigation

8 February 2011

On February 8, 2011 the DOJ filed its first charge in its ongoing investigation into an alleged global cartel involving the aftermarket auto lights industry. The defendant, Polo Shu-Sheng Hsu, agreed to serve six months in prison and pay a $25,000 fine for his participation in the conspiracy. (...)

Mae A. Stiles The US DoJ obtains guilty plea for price-fixing in the ready-mix cement industry investigation (Tri-State Ready Mix)

7 December 2010

On December 1, 2010, a third ready-mix cement company executive pled guilty to charges of conspiracy to suppress and eliminate competition in the ready-mix cement industry. The charges stem from a Department of Justice investigation of price-fixing in the ready-mix cement industry in Iowa and (...)

Adrienne M. Hollander, Christina Petrella, Melissa S. Geller The US DoJ issues indictments and fines in air-cargo price-fixing investigation (Florida West International Airways)

3 December 2010

Since October 2010, federal grand juries across the United States have returned indictments for conspiracy to fix prices in the air cargo industry against 11 former executives and one corporation. Most recently, on December 2, 2010, Florida West International Airways, Inc. was indicted in U.S. (...)

George W. Mustes The US DoJ issues indictments and announces guilty pleas for price-fixing cartel in the thin-film transistor liquid crystal display panels sector (TFT-LCD Investigation)

14 October 2010

On October 14, 2010, the former vice president of sales and marketing for Chi Mei Optoelectronics Corp. (“Chi Mei”), Hsin-Tsung Wang, was indicted on price-fixing charges relating to the sale of thin-film transistor liquid crystal display panels (“TFT-LCD”), which are commonly used in televisions, (...)

Akua A. Asare The US DoJ obtains guilty plea by a former employee of a national bank for bid-rigging and fraud conspiracies in municipal bond probe (Bank of America)

9 September 2010

Douglas Lee Campbell, a former senior vice president in Bank of America’s municipal derivatives group, has pled guilty to conspiracy to restrain trade, conspiracy, and wire fraud for engaging in bid-rigging and fraud conspiracies in connection with more than 200 guaranteed investment contracts (...)

Christoph Stock, Stefan Thomas The Karlsruhe Higher Regional Court rules on key issues of private damages actions against hardcore cartels, decides on the indirect customer’s right to claim and addresses the challenging task of quantifying antitrust damages (Carbonless paper cartel)

11 June 2010

Introduction Private enforcement in hardcore-cartels cases is getting in motion. In Germany, within less than one year two actions for damages against participants in hardcore-cartels were successful. After the decision of the Berlin Higher Regional Court in the “Berliner Transportbeton”-case (...)

Renato Nazzini The UK High Court allows a defendant’s application to strike out the representative element of the claim in an action seeking relief from damages (Emerald Supplies Limited / British Airways)

8 April 2009

Emerald Supplies Ltd v British Airways Plc considered the availability of representative proceedings under the English and Welsh Civil Procedure Rules (’CPR’) . Before setting out the facts of the case and the decision of the High Court, which is currently being appealed, it may be useful briefly (...)

Alain Ronzano Non-contractual liability of the Community: The EU Court of Justice Advocate General Ruiz-Jarabo Colomer suggests the Court to annul the General Court’s judgement regarding the non-contractual liability of the Community (Schneider Electric)

3 February 2009

On se souvient que le Tribunal de première instance des Communautés européennes avait dans un arrêt rendu le 11 juillet 2007 fait droit partiellement au recours introduit par l’entreprise française Schneider en responsabilité non contractuelle de la Communauté au titre de l’opposition de cette (...)

Gabriel Bleser The highest Luxembourg administrative Court confirms the investigative powers of the competition authorities

20 March 2008

I. Background On 15 November 2007, the Luxembourg administrative tribunal (Tribunal administratif) (the “Tribunal”) rejected an action for annulment (hereinafter the “Action”) of a decision by the Competition Inspectorate (Inspection de la Concurrence) (the “Inspectorate”), by virtue of which the (...)

Armando Martins Ferreira The Lisbon Commercial Court annulled twice Portuguese Competition Authority’s decisions convicting eleven flour milling companies for alleged cartel (Cerealis, Cerealis Moagens, Moagem Ceres, Granel)

12 February 2008

In January 2004, following the news on the near-30% rise in bread price, the Competition Authority decided to open an investigation. After several searches, the Authority concluded that between December 2000 and September 2004 flour price increases were uniform as to the amount, date of (...)

Dirk Hamann, Gabriel Bleser The Luxembourg Administrative Tribunal rules on the prohibition of self-incrimination in cartel investigation procedures

15 November 2007

I. Introduction On 15 November 2007, the Luxembourg administrative tribunal (Tribunal administratif) (“Tribunal”) rejected an action for annulment (hereinafter the “Action”) filed against a decision adopted by the Competition Inspectorate (Inspection de la concurrence) (“Inspectorate”), by virtue (...)

Michel Debroux Burden of proof: The ECJ upholds the CFI judgment in the seamless steel beam case (Dalmine...)

12 May 2007

ECJ, 25 January 2007, Dalmine v. Commission, case C-407/04 P ECJ, 25 January 2007, Salzgitter Mannesmann v. Commission, case C-411/04 P ECJ, 25 January 2007, Sumitomo Metal Industries and Nippon Steel v, Commission, joined cases C-403/04 P and C-405/04 P Par trois arrêts prononcés le 25 janvier (...)

Hanns Peter Nehl The Austrian Highest Court of Appeal confirms obligation to reply fully to the NCA sector inquiries’ requests for information (Austrian cash & carry)

11 October 2006

By judgment of 11 October 2006 in Case 16 Ok 8/06, the Austrian Highest Court of Appeal in competition matters (Oberster Gerichtshof als Rekursgericht in Kartellrechtssachen) confirmed the judgment of 10 April 2006, Case 29 Kt 80/05-33, of the Vienna High Court in competition matters (...)

Miguel Mendes Pereira, Nuno Carrolo dos Santos The Lisbon Commerce Court confirms decision against shipping agents association for price-fixing but reduces the amount of fines (AGEPOR)

28 July 2006

In January 2006 the Portuguese Competition Authority (PCA) fined AGEPOR, a Portuguese shipping agents association, € 195.000 for price fixing. AGEPOR appealed against the decision to the Lisbon Commerce Court. AGEPOR grounded its appeal both on procedural and substantive arguments. First, the (...)

Michel Debroux Fining guidelines - Leniency: AG Geelhoed clarifies the concept of spontaneous cooperation and on the duty to answer to requests for documents (Graphite Electrodes)

19 January 2006

Précisions sur la notion de coopération spontanée et sur l’obligation de répondre à des demandes de communication de documents AG Geelhoed Opinion, 19 Jan. 2006, cases C-301/04 P and C-308/04 P Dans l’affaire dite Electrodes de graphite, commentée dans cette revue (Concurrences, n° 1-2004, Chronique (...)

Bernard Amory, Francesca Marchini Càmia Applying for leniency before the EC Commission: Lateral effects in foreign and national jurisdictions (French)

26 September 2005

NB: Altough this article does not concern a specific EU member State, the editor has agreed to publish it in this e-Bulletin taking into account its strong interest for the implementation of the leniency programs in the EU (see on this subject, the review Concurrences, n° 3-2005, pp. 12-27) (...)

Fabien Zivy Self-incrimination - Leniency: The ECJ holds that firms cannot be forced to self-incriminate, but suggests that they are encouraged to do so (Acerinox - ThyssenKrupp)

14 July 2005

Clémence: Les entreprises ne peuvent pas être contraintes à s’incriminer, mais elles sont vivement incitées à le faire ECJ, 14 July 2005, Acerinox v. Commission, case C-57/02 P ECJ, 14 July 2005, ThyssenKrupp Stainless and ThyssenKrupp Acciai speciali Terni v. Commission, Joined cases C-65/02 P and (...)

Marc van der Woude Personality of sanctions: The ECJ reaffirms a strict interpretation of the principle of personality of sanctions (ThyssenKrupp)

14 July 2005

Dans l’affaire extra d’alliage, la Cour confirme l’arrêt du Tribunal et rappelle que le principe de personnalité des sanctions impose une interprétation restrictive de toute déclaration dérogeant à ce principe (CJCE, 14 juillet 2005, “extra d’alliage”, aff. jtes C-65/02 P et C-73/02 P) (v. égal. Chron. (...)

Dutch Competition Authority The Netherlands Competition Authority imposes fines on company for refusal to allow the interview of certain employees (Heijmans Beton- en Waterbouw)

3 September 2002

NMa Fines Heijmans for Refusal to Co-operate* The Netherlands Competition Authority (NMa) has imposed a fine of three times EUR 4,500 (four-thousand-five-hundred euros) on Heijmans Beton- en Waterbouw for its refusal to allow NMa to interview certain of its employees. This is the maximum fine (...)

Paloma Martínez-Lage Sobredo The Spanish Competition Authority defines the scope of protection of legal privilege (Pepsi-Cola / Coca-Cola)

22 July 2002

The Tribunal de Defensa de la Competencia (TDC) issued on 22 July 2002 a decision in which it established that documents created by companies in the context of their defence in competition proceedings before the European Commission did not have to be delivered to the Servicio de Defensa de la (...)

Glossary

A

Absolute territorial protection • Abuse of dominant position • Abuse of economic dependence • Access to essential facility • Access to information • Access to the file • Agency agreement • Agent • Agreement (notion) • Amicus curiae • Ancillary restraints • Annulment • Anticompetitive objet or effect • Anticompetitive practices • Applicable law • Arbitration

B

Barriers to entry • Bid rigging • Block exemption (Regulation) • Boycott • Brand competition • Burden of proof • Business secrets • Buyer power

C

Cartel • Clearance phase I (merger) • Clearance phase II (merger) • Collecting society • Collective dominance • Collective redress (class action) • Competence • Competition policy • Competition policy • Complaint • Compliance programme • Compulsory license • Concerted practices • Concession • Concurrent jurisdiction • Consumers protection • Consumers’ associations • Control (change) • Control (notion) • Cooperation Agreement • Cooperation between competition authorities • Coordinated effects • Copyright • Corporate group • Corruption • Criminal sanctions • Cross subsidisation

D

Damages • Dawn raids • De minimis notice • Direct effect • Discriminatory practices • Distribution agreement • Dominance (notion)

E

ECHR • Economic analysis • Economic efficiency • Effect on trade between Member States • Effective judicial protection • Environmental protection • Essential facility • European Competition Network (ECN) • Excess prices • Exchanges of information • Exclusive distribution • Exclusive purchasing agreement • Exclusive right (Art. 106 TFEU) • Exclusivity clause • Exhaustion • Extra-territoriality

F

Failing firm defence • Fine • Fine mitigating • Foreign direct investment (FDI) • Franchising • FRAND

G

Geographic market • Group purchasing organization • Gun jumping

H

Hard core restrictions • Horizontal agreement

I

Independence and impartiality • Individual exemption • Institutions • Intellectual property right • Interim measures • International competition network (ICN) • Investigations / inquiries • Investigations/ inquiries

J

Joint control • Joint venture • Judicial review

L

Legal privilege • Leniency • Licensing • Limitation period • Low prices

M

Mandatary (distribution) • Margin squeeze • Market economy investor • Market power • Market share • Media pluralism • Merger (notion) • Merger (prohibition) • Merger (withdrawal) • Minority shareholdings • Misinformation

N

Ne bis in idem • Non-competition clause • Notification • Nullity

O

Oligopoly

P

Parallel imports (parallel trade) • Passing-on • Pay-for-delay • Periodic penalty payment • Politique de concurrence • Predatory pricing • Preliminary ruling (Art. 267 TFUE) • Price discrimination • Price-fixing agreement • Prices • Principle of effectiveness • Principle of equal treatment • Principle of equivalence • Principle of proportionnality • Privacy • Private enforcement • Privatization • Procedural autonomy • Professional association • Public procurement • Public undertaking

R

Referral (merger) • Refusal to deal • Regulated prices • Relevant market • Remedies (antitrust) • Request for information • Resale price maintenance (RPM) • Resale-below-cost • Right against self-incrimination • Rights of defence • Rule of reason

S

Sector inquiry • Selective distribution • Services of general economic interest • Single branding • Sole control • Spill-over effects • Standard-Essential Patent (SEP) • State action defense • State aid (compatibility) • State aid (existing aid) • State aid (notification) • State aid (notion) • State aid (recovery) • State aid (tax exemption) • State aid (tax ruling) • State aid (unlawful aid) • State measure • Sudden break of established business relationships

T

Test SIEC (merger) • Test SLC (merger) • Transfer of technology • Transfer pricing • Trustee (mergers) • Turnover threshold (merger) • Tying or tied selling

U

Undertaking (notion) • Unfair competition • Universal service

V

Vertical agreement • Vertical restraints (or restrictions)