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米国反トラスト法コンプライアンス 2017年版

Designing an Effective Antitrust Compliance Program, 2017 Edition

William Hannay

1 vol. 590 p. Paper., 2017年9月刊(年1回刊行) (Corporate Compliance Series)

Thomson Reuters (CBC), USA. ISBN: 9780314849380

¥125,907

在庫あり

米国反トラスト法コンプライアンス・プログラムの構築と効果的運用を実務に沿って解説。書式やチェックリストも掲載。

【主な内容】

競合他社との取りきめ/顧客との協定/M&A/独占/価格差別/適用除外/特殊な業界規則/反トラスト手続/執行/EU競争法/プログラムの構築とモニタリング/リスクと費用のアセスメント/動機づけとしての連邦量刑指針の利用/文書マニュアル/従業員教育/内部調査/文書保管プログラム、等

【Table of Contents】

CHAPTER 1. NECESSITY OF A COMPLIANCE PROGRAM

I. OBJECTIVES OF A COMPLIANCE PROGRAM

*Overview

*Objective one: Teach the red flags

*Objective two: Encourage questions

II. OVERVIEW OF APPLICABLE LAW

A. FEDERAL

*Principal federal statutes

*The Sherman Act

*The Clayton Act

*Discriminatory pricing

*Tying and exclusive dealing

*Mergers and acquisitions

*Section 8 of the Clayton Act

*The Federal Trade Commission Act

B. STATE

*State antitrust laws

C. INTERNATIONAL

*Introduction

*European Union competition law

*National competition laws –France / Italy / Germany / UK / Canada / Mexico / Brazil / Japan / Australia / China / Russia

III. AREAS OF PARTICULAR COMPLIANCE CONCERN

A. INTRODUCTION

*Overview

B. AGREEMENTS WITH COMPETITORS

*Violations generally

*What constitutes “conspiracy”?

*Price-fixing: More than just fixing prices

*Exchanges of information between competitors

*Allocating markets or customers

*Joint ventures and other permissible collaborations

*Boycotts and concerted refusals to deal

*Avoiding improper competitor contacts

C. AGREEMENTS WITH CUSTOMERS

*Rationale for vertical restraints

*Vertical price fixing

*Customer and territorial restrictions

*Dual distribution

*Tying arrangements

*Exclusive dealing arrangements

D. MERGERS AND ACQUISITIONS

*Compliance in the merger context

*Merger law basics

*Premerger notification: The Hart-Scott-Rodino Act

*Antitrust issues during the due-diligence phase

E. MONOPOLY AND MONOPOLIZATION

*Monopolies and Section 2

*Monopolization

*Attempted monopolization

F. DISCRIMINATION IN PRICE AND PROMOTION

*Robinson-Patman Act - Overview

*Meeting competition in the modern world

*Promotional allowances and services

*Buyer liability for price discrimination

G. EXEMPTIONS FROM THE ANTITRUST LAWS

*Lobbying and political action

*Labor-management relations

*Regulated industries: Uncertain world of exemptions

H. SPECIAL INDUSTRY RULES

*Government contracting

*Insurance industry

*Health care industry

*Intellectual property

I. MISCELLANY OF ANTITRUST PROCEDURAL ISSUES

*Foreign trade

*Limits on civil actions - Statute of limitation

*Arbitration

*Special governmental investigatory powers

*National Cooperative Research and Production Act

IV. ENFORCEMENT OF FEDERAL ANTITRUST LAWS

*Government enforcement of antitrust laws

*Civil actions by private parties

CHAPTER 2. ESTABLISHING AND MONITORING A COMPLIANCE PROGRAM

I. GETTING STARTED

*Understanding basics

*Selecting experienced antitrust counsel

*Emphasizing personal responsibility

II. RISK ASSESSMENT AND COST ASSESSMENT

*Selling compliance to management

*Typical objections to compliance programs

*Pro-competitive response to management opposition

*Benefits of compliance program

*Compliance programs as legal defense

III. SENTENCING GUIDELINES AS MOTIVATION MODEL

*Overview of sentencing guidelines

*Guidelines' criteria for an effective program

*The limits of mitigation

*An alternative: DOJ “leniency” program

*Canadian Competition Bureau's bulletin

CHAPTER 3. COMPONENTS OF A COMPLIANCE PROGRAM

I. WRITTEN COMPLIANCE MATERIALS

*Corporate policy: Basic building block

*Compliance manual or handbook

*An alternative to the written manual

*Customizing materials

*Format and distribution

*Special supplements

*Beware two-edged sword

II. EMPLOYEE EDUCATION AND TRAINING

*Structure of training session

*Content of training session

*Using audio-visual aids in training

*Web-based alternatives to traditional “classroom” training

*Interface with traditional counseling

*Factoring in new legal developments

III. PROGRAM MONITORING AND IMPLEMENTATION

*Self-enforcement by certification of compliance

*Monitoring employees

*Disciplinary and corrective measures to enforce the rules

*Disciplinary and corrective measures to prevent abuse of the reporting program

*Compliance officer

*Internal reporting channels

*Crisis Management: When system fails

IV. PROGRAM AUDITS, FORMAL AUDITS AND INTERNAL INVESTIGATIONS

*Program auditing

*Formal antitrust audit/investigation

*Planning audit or internal investigation

*Upjohn and protecting the attorney-client privilege

*Work product protection

*Self-evaluative privileges

V. CONDUCTING INTERNAL INVESTIGATION

*Beware of witness tampering

*Avoid conflicts of interest

*Treat “hot documents” carefully

*Providing counsel to employee

VI. DOCUMENT RETENTION PROGRAMS

*Designing document retention program

*Written document retention policies

VII. AUDITING PARTICIPATION IN TRADE ASSOCIATIONS

*Membership: Cost-benefit analysis

*Find out what association does

*Establish liaison with association counsel

*Review association's preventive medicine

*Develop internal training program

CHAPTER 4. APPENDIX OF FORMS AND EXHIBITS

I. FEDERAL MATERIALS

*Excerpts of principal United States antitrust statutes

*Excerpts from United States Sentencing Guidelines

*Gary Spratling, Deputy Assistant Attorney General, United States Department of Justice, Antitrust Division: Corporate leniency policy

*Valuation of Transactions Reportable under The Hart-Scott-Rodino Act

*Instructions for the 2011 revision to the Antitrust Improvements Act notification and report form

*Antitrust Improvements Act notification and report form for certain mergers and acquisitions (2011 revision)

*Antitrust enforcement and the consumer

*Antitrust Compliance Programs: An Address by William J. Kolasky

*Sherman Act violations of $10 million or more

II. STATE LAW SURVEYS

*State antitrust statutes

*Corporate mergers, acquisitions, liquidations and dissolutions (regulations)

III. SAMPLE COMPLIANCE MATERIALS

A. INDIVIDUAL COMPANIES

*Cooper Industries

*Dow Chemical Company

*ITT Hartford—General guidelines

*Newell Company

*Sundstrand Corporation

B. TYPE OF COMPANY

*Food industry company

*Chemical company

*Distributor of communications materials

TRAINING MATERIALS

*Compliance information from Commonwealth Films