Promoting Compliance with Competition Law - OECD.org

1 Promoting Compliance with Competition Law 2011 The OECD Competition Committee held a roundtable on Promoting Compliance with Competition Law in June 2011. This document includes an executive summary of that discussion and the documents from the meeting: an issues paper by Jeremy West for the OECD and written submissions from Australia, Bulgaria, Canada, Chile, Denmark, the European Union, France, Germany, Indonesia, Japan, Korea, Mexico, New Zealand, Norway, Poland, Romania, the Russian Federation, South Africa, Sweden, Chinese Taipei, Turkey, the United Kingdom, the United States, BIAC as well as contributions from Joseph Murphy and Anne Riley. Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions, including Best Practice Guidelines (2009) Over the past 20 years, courts and Competition authorities have imposed fines and, in some jurisdictions, imprisonment with sharply increasing severity, yet there does not seem to be solid evidence that anti-competitive conduct particularly cartel conduct is declining in response.

2 Then again, it is impossible to observe the number of undetected cartels, so it is possible that deterrence has increased. The delegates identified and assessed numerous factors that influence Compliance , such as Competition advocacy, financial penalties, imprisonment, leniency programmes and the establishment of a culture of Competition . There was general agreement that authentic corporate Competition Compliance programmes can be helpful, but substantial variation among the delegates on whether and how such programmes should be rewarded. Unclassified DAF/COMP(2011)

3 20 Organisation de Coop ration et de D veloppement conomiques Organisation for Economic Co-operation and Development 30-Aug-2012 _____English, French DIRECTORATE FOR FINANCIAL AND ENTERPRISE AFFAIRS Competition COMMITTEE Promoting Compliance with Competition LAW JT03325658 Complete document available on OLIS in its original format This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area. DAF/COMP(2011)20 Unclassified English, FrenchCancels & replaces the same document of 29 August 2012 DAF/COMP(2011)20 2 DAF/COMP(2011)20 3 FOREWORD This document comprises proceedings in the original languages of a Roundtable on Promoting Compliance with Competition Law held by the Competition Committee in June 2011.

4 It is published under the responsibility of the Secretary General of the OECD to bring information on this topic to the attention of a wider audience. This compilation is one of a series of publications entitled " Competition Policy Roundtables". PR FACE Ce document rassemble la documentation dans la langue d'origine dans laquelle elle a t soumise, relative une table ronde sur la promotion des r gles de conformit avec le droit de la concurrence qui s'est tenue en juin 2011 dans le cadre du Comit de la concurrence. Il est publi sous la responsabilit du Secr taire g n ral de l'OCDE, afin de porter la connaissance d'un large public les l ments d'information qui ont t r unis cette occasion.

5 Cette compilation fait partie de la s rie intitul e "Les tables rondes sur la politique de la concurrence". Visit our Internet Site -- Consultez notre site Internet DAF/COMP(2011)20 4 DAF/COMP(2011)20 5 OTHER TITLES SERIES ROUNDTABLES ON Competition POLICY 1 Competition Policy and Environment OCDE/GD(96)22 2 Failing Firm Defence OCDE/GD(96)23 3 Competition Policy and Film Distribution OCDE/GD(96)60 4 Efficiency Claims in Mergers and Other Horizontal Agreements OCDE/GD(96)65 5 The Essential Facilities Concept OCDE/GD(96)113 6 Competition in Telecommunications OCDE/GD(96)114 7 The Reform of International Satellite Organisations OCDE/GD(96)123 8 Abuse of Dominance and Monopolisation OCDE/GD(96)131 9 Application of Competition Policy to High Tech Markets OCDE/GD(97)

6 44 10 General Cartel Bans: Criteria for Exemption for Small and Medium-sized Enterprises OCDE/GD(97)53 11 Competition Issues related to Sports OCDE/GD(97)128 12 Application of Competition Policy to the Electricity Sector OCDE/GD(97)132 13 Judicial Enforcement of Competition Law OCDE/GD(97)200 14 Resale Price Maintenance OCDE/GD(97)229 15 Railways: Structure, Regulation and Competition Policy DAFFE/CLP(98)1 16 Competition Policy and International Airport Services DAFFE/CLP(98)3 17 Enhancing the Role of Competition in the Regulation of Banks DAFFE/CLP(98)16 18 Competition Policy and Intellectual Property Rights DAFFE/CLP(98)18 19 Competition and Related Regulation Issues in the Insurance Industry DAFFE/CLP(98)20 20 Competition Policy and Procurement Markets DAFFE/CLP(99)3 21 Competition and Regulation in Broadcasting in the Light of Convergence DAFFE/CLP(99)1 22 Relations between Regulators and Competition Authorities DAFFE/CLP(99)8 23 Buying Power of Multiproduct Retailers DAFFE/CLP(99)

7 21 24 Promoting Competition in Postal Services DAFFE/CLP(99)22 25 Oligopoly DAFFE/CLP(99)25 26 Airline Mergers and Alliances DAFFE/CLP(2000)1 27 Competition in Professional Services DAFFE/CLP(2000)2 28 Competition in Local Services: Solid Waste Management DAFFE/CLP(2000)13 29 Mergers in Financial Services DAFFE/CLP(2000)17 DAF/COMP(2011)20 6 30 Promoting Competition in the Natural Gas Industry DAFFE/CLP(2000)18 31 Competition Issues in Electronic Commerce DAFFE/CLP(2000)32 32 Competition in the Pharmaceutical Industry DAFFE/CLP(2000)29 33 Competition Issues in Joint Ventures DAFFE/CLP(2000)33 34 Competition Issues in Road Transport DAFFE/CLP(2001)10 35 Price Transparency DAFFE/CLP(2001)22 36 Competition Policy in Subsidies and State Aid DAFFE/CLP(2001)24 37 Portfolio Effects in Conglomerate Mergers DAFFE/COMP(2002)5 38 Competition and Regulation Issues in Telecommunications DAFFE/COMP(2002)

8 6 39 Merger Review in Emerging High Innovation Markets DAFFE/COMP(2002)20 40 Loyalty and Fidelity Discounts and Rebates DAFFE/COMP(2002)21 41 Communication by Competition Authorities DAFFE/COMP(2003)4 42 Substantive Criteria Used for the Assessment of Mergers DAFFE/COMP(2003)5 43 Competition Issues in the Electricity Sector DAFFE/COMP(2003)14 44 Media Mergers DAFFE/COMP(2003)16 45 Universal Service Obligations DAF/COMP(2010)13 46 Competition and Regulation in the Water Sector DAFFE/COMP(2004)20 47 Regulating Market Activities by Public Sector DAF/COMP(2004)36 48 Merger Remedies DAF/COMP(2004)21 49 Cartels: Sanctions Against Individuals DAF/COMP(2004)39 50 Intellectual Property Rights DAF/COMP(2004)24 51 Predatory Foreclosure DAF/COMP(2005)14 52 Competition and Regulation in Agriculture.

9 Monopsony Buying and Joint Selling DAF/COMP(2005)44 53 Enhancing Beneficial Competition in the Health Professions DAF/COMP(2005)45 54 Evaluation of the Actions and Resources of Competition Authorities DAF/COMP(2005)30 55 Structural Reform in the Rail Industry DAF/COMP(2005)46 56 Competition on the Merits DAF/COMP(2005)27 57 Resale Below Cost Laws and Regulations DAF/COMP(2005)43 58 Barriers to Entry DAF/COMP(2005)42 59 Prosecuting Cartels Without Direct Evidence of Agreement DAF/COMP/GF(2006)7 60 The Impact of Substitute Services on Regulation DAF/COMP(2006)18 61 Competition in the Provision of Hospital Services DAF/COMP(2006)20 62 Access to Key Transport Facilities DAF/COMP(2006)29 63 Environmental Regulation and Competition DAF/COMP(2006)30 DAF/COMP(2011)20 7 64 Concessions DAF/COMP/GF(2006)6 65 Remedies and Sanctions in Abuse of Dominance Cases DAF/COMP(2006)19 66 Competition in Bidding Markets DAF/COMP(2006)31 67 Competition and Efficient Usage of Payment Cards DAF/COMP(2006)32 68 Vertical Mergers DAF/COMP(2007)21 69 Competition and Regulation in Retail Banking DAF/COMP(2006)33 70 Improving Competition in Real Estate Transactions DAF/COMP(2007)36 71 Public Procurement - The Role of Competition Authorities in Promoting Competition DAF/COMP(2007)

10 34 72 Competition , Patents and Innovation DAF/COMP(2007)40 73 Private Remedies DAF/COMP(2006)34 74 Energy Security and Competition Policy DAF/COMP(2007)35 75 Plea Bargaining/Settlement of Cartel Cases DAF/COMP(2007)38 76 Competitive Restrictions in Legal Professions DAF/COMP(2007)39 77 Dynamic Efficiencies in Merger Analysis DAF/COMP(2007)41 78 Guidance to Business on Monopolisation and Abuse of Dominance DAF/COMP(2007)43 79 The Interface between Competition and Consumer Policies DAF/COMP/GF(2008)10 80 Facilitating Practices in Oligopolies DAF/COMP(2008)24 81 Taxi Services Regulation and Competition DAF/COMP(2007)42 82 Techniques and Evidentiary Issues in Proving Dominance/Monopoly Power DAF/COMP(2006)35 83 Managing Complex Mergers DAF/COMP(2007)44 84 Potential Pro-Competitive and Anti-Competitive Aspects of Trade/Business Associations DAF/COMP(2007)45 85 Market Studies DAF/COMP(2008)34 86 Land Use Restrictions as Barriers to Entry DAF/COMP(2008)25 87 Construction Industry DAF/COMP(2008)36 88 Antitrust Issues Involving Minority Shareholdings and Interlocking Directorates DAF/COMP(2008)30 89 Fidelity and Bundled Rebates and Discounts DAF/COMP(2008)29 90 Presenting Complex Economic Theories to Judges DAF/COMP(2008)