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起訴猶予合意(DPA) 企業犯罪の司法取引に関する法と実務

Deferred Prosecution Agreements: The Law and Practice of Negotiated Corporate Criminal Penalties

Polly Sprenger

1 vol. liii, 561pp. Hardbound. 2015.(Law in Practice)

Sweet & Maxwell. ISBN: 9780414033979

¥34,105

在庫あり

2014年に英国で導入されたDPAについて、制定の経緯から利用が適切なケース、手続、コンプライアンスについて、国際的な適用可能性や米国法との比較も加味して法と実務を解説。

【主な内容】

企業の犯罪行為の訴追:DPAの背景/企業の刑事責任/国際的なDPA適用/2013年刑事・裁判所法/成文化された手続:米国モデルとの違い/責任のある犯罪/第一警告と内部捜査/自己申告/秘匿特権と開示/DPAの下で課される一般的な条件/裁判所の承認/違反、食い違い、経過/グローバルな解決、等

【Table of Contents】

1. INTRODUCTION

1. Prosecuting Corporate Criminality: the background of DPAs

2. Corporate criminal liability models

3. Costs and risks of corporate prosecutions

4. Public benefits of holding corporations to account

5. Development of the DPA

6. The Thompson Memorandum and the development of prosecuting criteria

7. The UK model: power to the judges

8. Procedure for obtaining a UK DPA

9. Content of a UK DPA

10. The future

2. CORPORATE CRIMINAL LIABILITY

1. Introduction

2. History of corporate criminal liability in the UK

3. US Model: Respondeat Superior

4. UK Model: Identification principle

5. Delegation and attribution

6. Problems associated with the identification principle

7. Aggregation principle

8. Corporate Culture Model

9. “Failure to prevent” offences

10. European models of corporate criminal liability and sentencing

11. Collateral consequences: the Arthur Andersen principle

3. NEGOTIATED SETTLEMENTS IN THE US AND OTHER JURISDICTIONS

1. Introduction

2. Negotiated settlements in the US

3. Plea bargaining

4. Introduction of corporate deferred prosecution agreements

5. Negotiated settlements in other countries

4. OTHER FORMS OF UK NEGOTIATED AGREEMENTS

1. Introduction

2. UK Procedure on plea agreements and ‘indications on sentence’

3. Alternative disposals in the UK prior to DPAs

5. THE CRIME AND COURTS ACT 2013

1. Introduction

2. Background

3. Provisions of section 45 and Schedule 17

6. PROCEDURE FOR ENTERING INTO A UK DEFERRED PROSECUTION AGREEMENT

1. Overview

2. Preliminary approach and negotiations

3. Final hearing

4. Procedure on obtaining court approval

7. CODES AND GUIDELINES

1. Introduction

2. The DPA Code

3. Sentencing Guidelines

4. The Code for Crown Prosecutors

5. Bribery Act guidance

6. Joint Guidance on Corporate Prosecutions

7. Criminal Procedure Rules Part 12

8. US Attorney’s Manual: Principles of Corporate Prosecutions

8. AMENABLE OFFENCES

1. Introduction

2. Fraud and theft offences

3. Money laundering offences

4. Bribery and corruption offences

5. Forgery and counterfeiting offences

6. Direct and indirect tax offences

7. Companies Act offences

8. Financial Services and Markets Act 2000

9. Ancillary offences

9. THE FIRST ALERT AND INTERNAL INVESTIGATION

1. Introduction

2. The internal investigation

3. Evidence collection

4. Whistle-blowing programs

10. SELF-REPORTING

1. Introduction

2. SFO Guidance on self-reporting

3. Treatment of self-reporting under the DPA Code

4. Treatment of self-reporting under the Sentencing Guidelines

5. Content of the self-report

6. Credit for self-reporting in the US

11. STATEMENT OF FACTS

1. Introduction

2. Effect of the statement of facts

3. Content of the statement of facts

4. Future use of the statement of facts

5. Non-contradiction clauses

6. Impact on associated civil proceedings

12. PRIVILEGE AND DISCLOSURE

1. Introduction

2. Legal professional privilege: issues to consider

3. Government provisions to protect legal professional privilege

4. Historic principles of LPP

5. Legal advice privilege

6. Litigation privilege

7. Privilege and original documents

8. Expert evidence

9. Internal communications

10. Employee of other witness interviews

11. Barko v Halliburton

12. DPA Code: the principle of “co-operation”

13. Collateral Waiver

14. Public disclosure

15. Other prosecution applications for material held by the corporation

16. Co-operation and waiver of privilege: a US perspective

17. Prosecution disclosure

18. Conclusion

13. COMMON TERMS IMPOSED UNDER DPA

1. Introduction

2. Attempts to formalise the US process

3. The UK position on terms

4. Admission of conduct in the US and the UK

5. Financial penalties in the US

6. Appointment of an independent monitor

7. Removal or appointment of certain staff

8. Implementation of compliance programs

9. Co-operation

14. COURT ENDORSEMENT

1. Introduction

2. UK judicial objection to negotiated settlements

3. Court powers under Crime and Courts Act 2013 Schedule 17

4. Court approval: other powers

5. Judicial objections in the US

6. Third party interests

15. BREACH, VARIATION AND ELAPSE

1. Introduction

2. Breach of DPA

3. Variation of DPA

4. Discontinuance of proceedings on expiry of DPA

16. GLOBAL SETTLEMENTS

1. Introduction

2. The challenges of negotiating a global settlement

3. When “global” means “domestic”

4. Global settlements in the UK

5. United States v Siemens

6. Future of global settlements

APPENDICES

A: The DPA Code

B: Criminal Procedure Rules Part 12