Bibliographic record and links to related information available from the Library of Congress catalog.
Note: Contents data are machine generated based on pre-publication provided by the publisher. Contents may have variations from the printed book or be incomplete or contain other coding.
####Contents
I General Principles
1. The Economics of Competition
A. Introduction 1.01
B. Structure, Conduct, Performance 1.06
(1) Early Developments 1.06
(2) The Harvard School 1.09
(3) The Chicago School 1.12
(4) More Recent Developments 1.16
C. Static Welfare Analysis of Market Power 1.19
(1) Introduction 1.19
(2) Basic Microeconomic Concepts 1.24
(a) Consumer Surplus 1.25
(b) Production Costs 1.26
(c) Short Run Production Costs 1.28
(d) Profit Maximisation 1.33
(e) Long Run Production Costs 1.38
(f) Economies of Scale and Minimum Efficient Scale 1.40
(g) Entry Barriers 1.46
(h) Contestability 1.52
(3) Perfect Competition 1.54
(a) The Model 1.54
(b) The Effects 1.58
(4) Monopoly 1.61
(a) The Model 1.61
(b) The Effects 1.64
(5) Oligopoly 1.75
(a) Introduction 1.75
(b) Game Theory 1.80
(c) The Scope for Collusion Illustrated with the Prisoner's Dilemma 1.90
(d) Some Results 1.106
D. Dynamic Welfare Analysis of Market Power 1.117
(1) Innovation and Welfare 1.117
(2) Different Views 1.119
(3) Some Empirical Results 1.122
(4) The 'New Economy' 1.123
(5) Some Concluding Remarks 1.129
E. Market Definition 1.130
(1) Product Market Definition 1.135
(a) Demand-side Substitution 1.137
(b) The SSNIP Test 1.143
(c) Elasticity Concepts and the Diversion Ratio 1.149
(d) Supply-side Substitution 1.155
(2) The Relevant Geographic Market 1.164
(a) Demand-side Substitution 1.165
(b) Supply-side Substitution 1.167
(3) Specific Issues in the Context of Market Definition 1.170
(a) Chains of Substitution 1.171
(b) Price Discrimination 1.173
(c) Captive Production 1.176
(4) Further Considerations 1.179
(a) Market Definition in Practice 1.179
(b) Defining the Market: Not an End in Itself 1.183
F. Market Power and Dominance 1.185
(1) Market Power 1.186
(a) Concept 1.186
(b) Identification of (Static) Market Power 1.195
(2) Dominance 1.204
(a) Single Dominance 1.205
(b) Collective Dominance 1.211
(3) Enhancing Market Power 1.214
(a) Merger with a Competitor: Unilateral versus Coordinated Effects 1.216
(b) Exclusionary Strategies 1.229
G. Empirical Methods for Market Definition and the Assessment
of Market Power 1.238
(1) Analysis of Prices and Price Movements 1.242
(2) Analysis of Price Elasticities of Demand 1.254
(3) Critical Loss Analysis 1.277
(4) Price Concentration Analysis 1.283
(5) Event Analysis 1.289
(6) Analysis of Bidding Data 1.293
(7) Merger Simulation 1.304
2 The Enforcement System under Regulation 1/2003
A. The Legal Exception System 2.01
(1) Introduction 2.01
(2) The Aims of the System Change 2.04
(a) Increased Application of Articles 81 and 82 at Member State Level 2.05
(b) Commission Focus on Enforcement 2.09
(3) Self-assessment and Legal Certainty 2.12
(4) The Direct Effect of Articles 81 and 82 2.19
(5) Burden and Standard of Proof 2.24
B. The Relationship between Community Competition Law and National
Competition Law 2.28
(1) Introduction 2.28
(2) Article 3(1): The Obligation to Apply Articles 81 and 82 2.31
(a) Scope of Article 3(1) 2.32
(b) Primary Functions of Article 3(1) 2.38
(3) The Convergence Rule of Article 3(2) 2.43
(4) The Legal Consequences of Infringing Article 3(1) and 3(2) 2.49
(5) Article 3 and the Primacy Rule 2.52
(6) Exceptions to Article 3 2.55
(a) National Competition Laws 2.56
(b) National Laws Implementing Community Law Directives 2.62
(c) Member State Measures Covered by Article 86 of the Treaty 2.65
(d) National Merger Control Laws 2.67
(e) Criminal Sanctions on Natural Persons 2.69
C. Powers and Decisions of National Competition Authorities 2.74
(1) Introduction 2.74
(2) The National Competition Authority 2.75
(3) The Decisions of a National Competition Authority 2.78
(a) Article 5: Nothing More, Maybe Less 2.79
(b) The Decisions Listed in Article 5 2.83
(4) Triggering a Decision of a National Competition Authority 2.85
(a) The National Competition Authority Acts on its Own Initiative
or on a Complaint 2.85
(b) National Notification Systems 2.87
D. Commission Powers and Decisions 2.90
(1) Introduction 2.90
(2) Article 7: Finding and Termination of Infringements 2.93
(a) The Power to Find Infringements 2.94
(b) The Power to Impose Remedies 2.97
(c) Complaints 2.107
(3) Article 8: Interim Measures 2.110
(4) Article 9: Commitments 2.112
(a) Introduction 2.112
(b) The Nature of Article 9 Decisions 2.115
(c) The Purpose of Article 9 Decisions 2.120
(d) The Procedure for Adopting Article 9 Decisions 2.123
(e) Adoption of the Decision and Reopening of the Proceedings 2.129
(f) The Scope for Legal Challenges 2.135
(5) Article 10: Finding of Inapplicability 2.139
(a) Introduction 2.139
(b) The Nature and Purpose of Article 10 Decisions 2.140
(c) The Legal Effects of Article 10 Decisions 2.144
E. Co-operation Between Enforcers 2.148
(1) Introduction 2.148
(2) Co-operation within ECN 2.149
(a) The Sharing of Work Amongst the Competition Authorities 2.150
(b) The NCA's Request to another NCA to Carry Out an Investigation 2.154
(c) The Exchange of Information and its use in Evidence 2.157
(d) The Obligation of Professional Secrecy and the Need to Disclose
Information 2.185
(3) Consistent Application within ECN 2.203
(a) Introduction 2.203
(b) The Consultation Procedure in Article 11(4) 2.205
(c) Article 11(6): The Commission's Power to Withdraw a Case 2.219
(4) Consistent Application by National Courts 2.240
(a) The Competence of National Courts to Apply EC Competition Rules 2.240
(b) The Coherent Application of EC Competition Rules by National Courts 2.244
(c) The Co-operation between the Commission and the National Courts 2.260
3. Article 81
A. Introduction 3.01
B. General Scope of Article 81 3.02
(1) Scope 3.02
(2) Coal and steel 3.04
(3) Defence 3.05
(4) Environment and Culture 3.12
(5) Sport 3.16
C. Article 81(1) 3.23
(1) Undertakings 3.27
(a) Definition 3.27
(b) Professions 3.33
(c) Public Bodies Exception 3.38
(2) Agreements 3.47
(a) General Definition 3.47
(b) Requires At Least Two Undertakings 3.48
(c) Form Irrelevant 3.49
(d) Single Continuous Infringement Doctrine 3.57
(e) Tacit Acquiescence in Relation to the Particular Anti-Competitive
Measure in Question is the Minimum Requirement in Vertical Cases 3.67
(f) Formal Termination May Not be Sufficient 3.84
(g) The Single Economic Unit Doctrine (No Intra-Enterprise Conspiracy
in EC Law) 3.87
(h) Successor Undertakings 3.93
(i) Judicial Settlement 3.99
(3) Decisions by Associations of Undertakings 3.100
(4) Concerted Practices 3.103
(a) Definition 3.103
(b) Can a Concerted Practice be Inferred from Circumstantial Evidence
Alone? 3.113
(c) Vertical Concerted Practices 3.116
(5) Distinction Between Agreements and Concerted Practices 3.120
(6) State Compulsion 3.125
(7) 'which have as their object or effect the prevention, restriction or distortion
of competition within the common market' 3.129
(a) Restriction by Object 3.145
(b) Restriction by Object and Appreciability 3.158
(c) The Commission's Approach to Appreciability in Object Cases 3.162
(d) Restriction by Effect 3.165
(8) Restriction by Effect 3.167
(a) European Courts Broadly Endorsed the Commission's Traditional
Approach 3.169
(b) European Courts have Modified the Traditional Approach in a
Number of Important Ways 3.176
(c) Restrictions of Rivalry Must be Assessed in Their Market Context 3.177
(d) Ancillary Restraint Doctrine 3.181
(e) Exclusivity Necessary for Supply 3.214
(f) Appreciability 3.237
(g) Cumulative Effects Doctrine 3.243
(h) The Purpose of the Market Analysis 3.248
(i) Extent of Market Analysis 3.283
(j) Restrictive Clauses are Not a Necessary Condition for the Application
of Article 81(1) 3.289
(9) Commission's new policy 3.295
(a) Step 1 / The Counterfactuals 3.295
(b) Step 2 / Assessment of the Likely Effect of the Agreement Restraint
on Prices, Output, Innovation or the Variety or Quality of Goods
or Services 3.304
(c) Community Guidance on Market Power under Article 81 (1) 3.310
D. Jurisdiction 3.337
(1) General 3.337
(2) The Concept of Trade between Member States 3.340
(3) The Link Between Trade and the Agreement or Practice 3.344
(4) The Notion of 'May Affect' 3.347
(a) Introduction 3.347
(b) A Sufficient Degree of Probability 3.349
(c) An Influence on the Pattern of Trade 3.356
(5) Appreciability 3.365
(a) General Principles 3.365
(b) Quantification 3.368
(6) Assessment of Various Types of Agreement and Practices 3.379
(a) Introduction 3.379
(b) Agreements and Practices Concerning Imports and Exports and
Agreements and Practices in Several Member States 3.380
(c) Agreements and Practices Confined to the Whole or Part of a
Member State 3.381
(d) Agreements and Practices Covering Part of a Member State 3.384
(e) Agreements and Practices Involving Third Countries 3.387
E. Article 81(2) 3.393
F. The Article 81(3) Exception 3.395
(1) Introduction 3.395
(2) The Relationship Between Article 81(1) and Article 81(3) 3.400
(3) General Principles for the Application of Article 81(3)
(a) Introduction 3.403
(b) The Nature of the Benefits that Can be Taken into Account 3.406
(c) The Relevant Market as the Proper Framework for Applying
Article 81(3) 3.409
(d) The Temporal Application of Article 81(3) 3.412
(e) Block Exemptions 3.415
(4) The Four Conditions of Article 81(3) 3.420
(a) Introduction 3.420
(b) The First Test of Article 81(3): Efficiency Gains 3.421
(c) The Second Test of Article 81(3): Indispensability 3.436
(d) The Third Test of Article 81(3): A Fair Share for Consumers 3.442
(e) The Fourth Test of Article 81(3): No Elimination of Competition in
Respect of a Substantial Part of the Products in Question 3.453
4. Article 82
A. Introduction 4.01
(1) General 4.01
(2) Rationale for Article 82 4.09
(a) Alternative Approaches to Unilateral Conduct by Firms
Holding Substantial Market Power 4.16
(b) Approach Used in Article 82 of the EC Treaty 4.28
B. Dominant Position 4.34
(1) Market Power in the Sense of Article 82; What is 'Dominance'? 4.34
(2) Determining Dominance 4.42
(a) The Relevant Market 4.43
(b) Measuring Market Power: Market Shares 4.44
(c) Measuring Market Power: Price Elasticity of Demand 4.57
(d) Measuring Market Power: Profitability Measurement 4.59
(e) Other Factors to be Taken into Account in Determining
Dominance: Barriers to Entry and Expansion 4.60
(f) Structural Factors: Characteristics Inherent in the Relevant Market 4.62
(g) Structural Factors: Characteristics Specific to the Allegedly
Dominant Firm 4.81
(h) Behavioural Factors: Conduct of the Allegedly Dominant Firm 4.91
(i) Barriers to Expansion 4.97
(3) Particular Situations of Dominance 4.100
(a) Statutory Monopolies or Companies with Exclusive Rights 4.101
(b) Super-dominance? 4.103
(c) Dominance in Aftermarkets 4.105
(d) Collective Dominance 4.109
(e) Dominance and Neighbouring Markets 4.127
(f) Buyer's Dominance 4.131
(4) Dominant Position in a Substantial Part of the Common Market 4.135
C. Abuse 4.141
(1) General 4.141
(a) Abuse as an Objective Concept: Intent not Required 4.148
(b) Abuse by an undertaking in a Dominant Position 4.151
(2) Exclusionary abuses 4.152
(a) General Characteristics 4.152
(b) Competition on the Merits Distinguished 4.154
(c) Exclusionary Effect 4.160
(d) Types of Exclusionary Abuses 4.165
(3) Exploitative Abuses 4.358
(a) General Characteristics 4.358
D. Effect on Trade between Member States 4.410
E. Relationship between Article 81 and Article 82 4.411
F. Remedies 4.425
G. Fines 4.440
H. The Commission's December 2005 Discussion Paper 4.445
5. Mergers
A. Introduction to the Merger Regulation 5.01
(1) A Merger Control System for the European Union; From the
Original Merger Regulation to Regulation 139/2004 5.01
(a) The Original Merger Regulation 5.01
(b) The 2002/2003 Review Leading to the Adoption of the
New Merger Regulation 5.06
(c) Overview of the New EC Merger Control Regime 5.16
(2) Statistics 1990/2005 5.20
B. Jurisdiction 5.24
(1) Concept of a Concentration 5.24
(a) Introduction 5.24
(b) Concept of a Concentration: Article 3 of the Merger Regulation 5.27
(c) Multiple Transaction Concentrations 5.68
(2) Concept of Community Dimension 5.80
(a) Identifying the Undertakings Concerned (Article 1) 5.82
(b) Calculation of turnover (Article 5) 5.94
(3) Re-allocation of Jurisdiction ('Referrals') 5.110
(a) Introduction; The Concept and Rationale behind the System
for Referral of Cases 5.111
(b) General Substantive Considerations in Deciding Whether a
Referral is Warranted 5.116
(c) Pre-notification Referrals 5.120
(d) Post-notification Referrals 5.161
C. Substantive Assessment of Mergers 5.181
(1) The Substantive Test in the Merger Regulation 5.181
(a) The Purpose of Merger Control 5.181
(b) Article 2; The Test for Assessing Mergers under the
Merger Regulation 5.182
(2) The Assessment of Market Concentration 5.208
(a) Market Shares 5.210
(b) The Herfindahl-Hirschnan (HHI) Index 5.215
(c) Indicative Thresholds 5.216
(3) Types of Cases and their Anti-competitive Effects 5.219
(a) Horizontal Mergers 5.220
(b) Vertical Mergers 5.274
(c) Conglomerate Mergers 5.287
(d) Other Factors Affecting the Competitive Assessment of the Merger 5.307
(4) The Assessment of Spill-over Effects in Cooperative Joint Ventures 5.331
(a) Meaning of 'Spill-over' Effects 5.331
(b) Framework for Assessment of Spill-over Effects under
the Merger Regulation 5.332
(c) Considerations Relevant to an Assessment of Spill-over Effects 5.337
(5) Ancillary Restrictions 5.345
(a) Introduction 5.345
(b) Ancillary Restrictions in Acquisitions 5.353
(c) Ancillary Restrictions in Joint Ventures 5.357
(6) Remedies 5.360
(a) General Considerations 5.360
(b) Divestiture Remedies 5.366
(c) Non-divestiture Remedies 5.382
D. Merger Regulation Procedure 5.385
(1) Overview; The Basic Features of the Merger Regulation Procedure 5.385
(a) Legal and Soft-law Instruments Governing Merger Proceedings 5.386
(b) The Basic Procedural Features of EU Merger Control 5.394
(c) The Principal Actors in EU Merger Proceedings 5.396
(d) Synopsis of Timetable of a Merger Proceeding 5.411
(2) The Pre-Notification Stage 5.413
(a) Role and purpose 5.413
(b) Confidentiality 5.415
(c) Informal Consultations on Jurisdiction ('Notifiability') 5.421
(d) Informal Consultations on Referrals 5.423
(e) International Dimension 5.424
(f) Discussions on the Content and Timing of a Notification
of a Case and Substantive Issues 5.427
(g) Draft Form CO and Completeness of Notification; Waivers 5.432
(3) Notification 5.437
(a) The Obligation to Notify; Who Must Notify; Article 4(1) 5.437
(b) When to Notify; Triggering Event and Deadline 5.439
(c) Notification Forms; Form CO, Short Form CO 5.441
(d) Submitting the Notification; Formalities; The Merger Registry 5.450
(e) Effective Date of Notification; Completeness of Notification 5.456
(f) Incorrect Information in the Notification; Fines 5.461
(g) Withdrawal of Notification 5.463
(h) Suspensory Effect; Article 7 5.470
(4) Phase I 5.479
(a) Publication in the Official Journal 5.480
(b) Deadlines and Timetable 5.481
(c) The Phase I Investigation 5.486
(d) The Phase I State of Play Meeting and Remedies 5.507
(e) The Article 6 Decision 5.509
(f) Revocation of Article 6 Decision 5.516
(5) Phase II 5.518
(a) Overview of Phase II Timetable 5.519
(b) Deadlines and Extensions 5.526
(c) The Post-Article 6(1)(c) State of Play Meeting 5.533
(d) The Phase II Investigation; Information Gathering; Triangular
Meetings; Early Review of Key Documents 5.534
(e) The Pre-Statement of Objections('Pre-SO') State of Play Meeting 5.543
(f) The Scrutiny Panel 5.544
(g) The Statement of Objections 5.548
(h) Procedural Rights Following the Statement of Objections;
Rights of Defence 5.556
(i) The Reply to the SO (Timing and Content) 5.565
(j) Access to the File 5.569
(k) The Oral Hearing 5.593
(l) The Post-SO and Pre-Advisory Committee State of Play Meetings 5.605
(m) Submission of Remedies 5.608
(n) The Advisory Committee 5.616
(o) The Article 8 Decision 5.624
(p) Revocation of Article 8 Decision 5.631
(6) Enforcement Powers 5.633
(a) Fines and Periodic Penalties 5.633
(b) Dissolution Orders and Interim Orders; Articles 8(4)-8(5) 5.640
(7) Due Process and Judicial Review 5.645
(a) Introduction 5.645
(b) Jurisdiction of the CFI to Review Merger Decisions 5.649
(c) Grounds of Appeal 5.650
(d) Which Decisions can be Appealed 5.654
(e) Who can Bring an Appeal 5.660
(f) Timing and Procedure for Appeal 5.664
(g) Standard and Role of Judicial Review 5.673
(h) Procedure Following Annulment 5.682
6. Article 86; Exclusive Rights and other Anti-competitive State Measures
A. Introduction 6.01
B. Article 86(1): State Measures in Respect of Public or Privileged
Undertakings 6.08
(1) Addressees and Regulatory Content 6.08
(2) State Measures 6.10
(3) Related to Public or Privileged Undertakings 6.15
(4) Contrary to Another Provision of the EC Treaty 6.50
(5) Article 86(1) in Combination with the Competition Rules Addressed
to Undertakings 6.53
(a) Article 86(1) in Combination with Article 82 6.54
(b) Article 86(1) in Combination with Article 81 6.89
(6) Article 86(1) in Combination with the Treaty Rules Addressed
to the Member States 6.94
(a) The Double Function of Article 86(1) 6.94
(b) Article 86(1) in Combination with the Rules on Free Movement of
Goods; Articles 28 and 31 6.100
(c) Article 86(1) in Combination with the Rules on Freedom to Provide
Services and on Establishment; Articles 43 and 49 6.122
(7) Direct Effect 6.130
C. Article 86(2): Services of General Economic Interest and Other
Public Interest Objectives 6.131
(1) The Undertakings to which Article 86(2) Relates 6.133
(2) Article 86(2) as an Exception Applicable to the Behaviour of
Undertakings and to State Measures 6.157
(3) Conditions for the Application of Article 86(2) 6.160
(4) Invocation of Article 86(2) and Burden of Proof 6.207
(5) Relationship between Article 86(2) and Other Exceptions 6.209
(6) Relationship between Article 86(2) and Article 16 6.213
D. Article 86(3): Procedural Rules Applying to Anti-Competitive
State Measures 6.217
(1) Article 86(3) Decisions 6.218
(2) Article 86(3) Directives 6.240
II Specific Practices
7. Other Horizontal Agreements
A. Introduction 7.01
(1) Definition of Horizontal Agreements and Practices 7.01
(2) Classification of Horizontal Agreements and Practices 7.02
(3) Use of Commission Decisions 7.05
B. Co-operation Agreements 7.06
(1) Introduction 7.06
C. Joint Ventures 7.15
(1) Definition and Constitution of a Joint Venture 7.15
(2) Distinction between Cooperative and Concentrative Joint Ventures 7.23
(3) The Rationale Behind the Difference in Treatment between Concentrative
and Cooperative Joint Ventures 7.25
(4) The Application of Article 81(1) by the Commission to Cooperative
Joint Ventures prior to the Entry into Force of the 1997 Amendment
to the First Merger Regulation 7.37
(5) The Notion and Role of Potential Competition in Assessing the
Validity of Joint Ventures under Article 81 7.52
(6) Conditions Leading to the Incentive to Coordinate (Spillover Effects) 7.62
(7) Direct Contractual Restrictions between Parents 7.86
(8) Spillovers under the Merger Regulation 7.87
D. Research and Development Agreements 7.107
(1) Introduction 7.107
(2) Application of Article 81(1) to R&D Agreements 7.113
(3) Grounds for Exemption 7.172
(4) Duration of Exemption 7.211
E. Joint Production Agreements 7.213
(1) Legislation 7.213
(2) Application of Article 81(1) 7.227
(3) Application of Article 81(3) 7.244
F. Joint Selling Agreements 7.252
(1) Introduction 7.252
(2) Application of Article 81(1) to Joint Selling Agreements 7.260
(3) Application of Article 81(3) to Joint Selling Agreements 7.283
(4) Practices Restricted to a National Market 7.296
G. Joint Buying Agreements 7.301
(1) Introduction 7.301
(2) Buyer Power; Definition 7.311
(3) The Existence of Buyer Power 7.319
(4) Relevant Markets and Substantive Assessment 7.332
H. Information Exchange Agreements 7.355
(1) Introduction 7.355
(2) Information Exchange; Criteria for Assessment 7.365
I. Standardisation Agreements 7.385
(1) Introduction 7.385
(2) Agreements on Standards under the 2001 Horizontal Guidelines 7.389
J. Environmental Agreements 7.403
(1) Introduction 7.403
(2) Environmental Agreements under the 2001 Horizontal Guidelines 7.406
8. Cartels
A. Introduction 8.01
B. Typology of Cartel Arrangements and Common Features of Collusion 8.14
(1) Typology of Cartel Arrangements 8.14
(a) Direct or Indirect Fixing of Purchase or Selling Prices or
any other Trading Conditions 8.15
(b) Limitation or Control of Production, Markets, Technical
Development or Investment 8.27
(c) Sharing of Markets, Customers or Sources of Supply 8.36
(d) Co-ordinated Boycotts, Bans on Imports, Concerted Refusal to Deal 8.44
(e) Exchange of Commercially Sensitive Information 8.48
(f) The Problem of 'Tacit Collusion' 8.52
(2) Common Features of Collusion 8.58
(a) Factors Conducive to the Establishment of Cartels 8.59
(b) Organisational Aspects of Cartels 8.64
(c) Running the Business of Collusion 8.80
C. Investigating Hardcore Cartels 8.94
(1) The Initiation of a Case: Information Sources 8.94
(a) Market Monitoring and Information from Other Investigations 8.95
(b) Information Received from Other Authorities 8.99
(c) Complaints (Formal and Informal) 8.102
(d) Informants/Whistleblowers 8.103
(e) Applications under the Leniency Notice 8.104
(2) Leniency: Inducing Insiders to Break Rank 8.105
(a) Rationale and Origins of the EC Leniency Policy 8.105
(b) The 1996 Leniency Notice 8.113
(c) The 2002 Leniency Notice and its 2006 revision 8.126
(3) The Commission's Powers of Investigation: Information Requests,
Interviews, Inspections 8.258
(a) Preliminary Observations 8.258
(b) General Aspects of the Commission's Fact-finding Powers 8.266
(c) Requests for Information; Article 18 8.309
(d) Interviews (The Power to Take Statements); Article 19 8.323
(e) Inspections of Business Premises; Article 20 8.329
(f) Inspections on Other Premises (Private Homes); Article 21 8.416
(g) European and International Co-operation in Cartel Investigations 8.433
D. The Finding of Infringement 8.449
(1) The Procedure Leading to a Final Decision 8.449
(a) The Statement of Objections 8.452
(b) Access to the File 8.457
(c) The Oral Hearing 8.464
(d) The Role of the Hearing Officer 8.466
(e) The Final Commission Decision 8.468
(f) Appealing the Decision 8.476
(g) 'Direct Settlements' for Cartel Cases? 8.480
(2) Evidence in Cartel Cases 8.487
(a) The Burden of Proof 8.491
(b) The Standard of Proof 8.508
(c) Admissibility of Evidence 8.510
(d) Factors Determining the Value of Evidence 8.522
(e) Types of Evidence 8.541
(3) Establishing Liability 8.553
(a) The 'Undertaking' as the Infringing Entity 8.553
(b) Attribution of Liability to the Undertaking as a Whole: Underlying
Reasons 8.557
(c) Principal Grounds for Liability: Actual Involvement in the
Infringement 8.559
(d) Liability in Cases of Succession 8.570
(e) Voluntary Acceptance of Liability by the Acquiring Company 8.577
(f) Determination of Liability and the Application of the Leniency Notice 8.578
E. Sanctions Against Cartel Participants 8.580
(1) Introduction 8.580
(a) In Search of the Optimal Regime of Sanctions Against Cartel
Behaviour under EC Law 8.581
(b) The Legal Framework Governing the Commission's Powers to
Impose Fines 8.590
(c) Evolution of the Commission's Fining Policy 8.599
(2) Setting the Fine under the 1998 Guidelines: Practice of the Commission 8.624
(a) Evaluating the 'objective' gravity of the cartel 'as a whole':
the 'general starting amount' 8.625
(b) Individualising Objective Responsibility: the 'Individual Starting
Amount' 8.654
(c) Taking into Account Duration: From the 'Starting Amount' to the
'Basic Amount' 8.698
(d) Individualising 'Subjective' Responsibility: Aggravating and Mitigating Circumstances 8.707
(e) Calculating the Statutory Maximum of 10 Per Cent of Annual Group
Turnover 8.777
(f) Application of the Leniency Notice 8.784
(g) 'Other factors' to be Taken into Account 8.785
(3) The 2006 Guidelines 8.808
(a) Main Features of the 2006 Guidelines 8.808
(b) Detailed Overview of the Method of Setting Fines under the 2006
Guidelines 8.812
(4) Enforcing the Fine 8.835
(5) Judicial Review of the Fines 8.845
(6) Towards a More Effective Community System of Sanctions? 8.855
(a) Is the Community's System of Fines Sufficiently Deterrent? 8.856
(b) Should Private Enforcement be Encouraged? 8.859
(c) Should Cartel Behaviour be Criminalised? 8.868
F. Conclusion 8.876
9. Vertical Agreements
A. Introduction 9.01
(1) Applicability of Article 81 to Vertical Restraints 9.01
(2) History of the Application of Article 81 to Vertical Restraints 9.05
(3) Theory of Active/Passive Sales 9.09
(4) System of Block Exemption Regulations 9.12
(5) Green Paper on Vertical Restraints 9.15
(6) Two New Council Regulations 9.18
(a) Extension of the Power to Block Exempt 9.19
(b) Definition of a Vertical Agreement 9.20
(c) Disapplication of a Block Exemption Regulation 9.23
(d) Withdrawal of a Block Exemption Regulation by
Member States 9.26
(e) A New Block Exemption Regulation and Guidelines 9.27
B. When is a Vertical Restraint Likely to Fall within the Scope of
Article 81(1)? 9.28
(1) General 9.28
(2) Agreement between Undertakings 9.29
(a) Unilateral Acts versus Agreements 9.30
(b) Agreements between Separate Undertakings 9.38
(3) Object or Effect of Restricting Competition and Appreciability 9.40
(a) Restriction by Object and Appreciability 9.44
(b) Restriction by Effect and Appreciability 9.51
(4) May Affect Trade between Member States and Appreciability 9.58
(5) De Minimis Notices of the Commission 9.59
(a) De Minimis and the Commission Guidelines on the Effect on
Trade Concept 9.65
(b) Application of De Minimis to Hardcore Restrictions 9.66
(6) Analysis of Leading Cases on Vertical Restraints 9.68
(a) Restrictions by Object 9.69
(b) Restrictions by Effect 9.101
(7) Conclusion 9.126
C. Cumulative Effect 9.130
(1) Foreclosure 9.131
(2) Assessment Required to Find a Cumulative Effect which Falls within the
Scope of Article 81(1) 9.132
(a) Effect of the Network 9.133
(b) Other Factors 9.134
(c) Significant Contribution 9.140
(d) The 2001 De Minimis Notice 9.145
(3) Does a Finding of a Restrictive Effect for a Network of an Undertaking
Apply to each of its Constituents? 9.146
(a) Quantification of Contribution 9.150
(4) The Guidelines 9.155
(a) Withdrawal of the BER1 9.155
(b) Disapplication of the BER2 9.156
(c) Analysis of Different Categories of Vertical Restraints 9.157
(5) Exemption under Article 81(3) 9.158
(a) Non-exemptable Foreclosure 9.158
(b) Exemptable Foreclosure 9.159
D. The New Block Exemption Regulation and Guidelines 9.163
(1) Background 9.163
(2) The De Minimis Notice 9.167
(3) Agency Agreements 9.168
(a) Introduction 9.168
(b) The Role of Financial Risk: 2005 Judgment of the Court of First
Instance in the Daimler Chrysler case 9.172
(c) Agency and the 2000 Guidelines on Vertical Restraints 9.182
(4) The Underlying Philosophy of the BER and the Guidelines 9.187
(5) The Scope of the BER and Guidelines 9.191
(a) Definition of Vertical Agreements 9.191
(b) Vertical Agreements between Competitors 9.193
(c) Vertical Agreements Concluded by Associations of Retailers 9.197
(d) Vertical Agreements Containing IPR Provisions 9.200
(e) The Interface between the BER and other Block Exemption
Regulations 9.205
(6) Hardcore Restrictions under Article 4 BER 9.206
(a) Vertical Price Fixing under Article 4(a) BER 9.210
(b) Territorial and Customer Sales Restrictions under Article 4(b) BER 9.213
(c) Internet Sales and Selling by Catalogue; Territorial and Customer Sales Restrictions under Article 4 9.223
(d) Selective Distribution Systems; Territorial and Customer Sales
Restrictions under Article 4 9.226
(e) The Combination of Exclusive and Selective Distribution 9.229
(f) Aftermarkets 9.231
(7) Excluded Restrictions 9.232
(a) Non-compete Obligations Exceeding Five Years 9.234
(b) Post-term Non-compete Obligations 9.238
(c) Boycott under Selective Distribution 9.240
(d) Recent Commission Decisions on the Hardcore Provisions under
Article 4 BER 9.241
(8) Transitional Period and Expiry Date of the BER 9.261
(9) Withdrawal of the BER 9.262
(10) Disapplication of the BER 9.264
(11) Market Definition and Market Share Calculation 9.266
(12) The Framework of Analysis for Individual Assessment 9.280
E. Analysis of Different Categories of Vertical Restraints 9.298
(1) Single Branding 9.298
(a) Market Position of the Supplier 9.304
(b) Incidence of the Single Branding Obligation 9.306
(c) Duration of the Single Branding Obligation 9.307
(d) Market Position of Competitors 9.308
(e) Barriers to Entry 9.310
(f) Countervailing Power 9.311
(g) Level of Trade 9.312
(2) Exclusive Distribution 9.318
(a) Supplier's Market Position 9.321
(b) Competitors' Market Position 9.322
(c) Buying Power 9.323
(d) Level of Trade 9.324
(e) Maturity of the Market 9.325
(3) Exclusive Customer Allocation 9.329
(4) Selective Distribution 9.331
(a) Nature of the Product 9.334
(b) Supplier's Market Position 9.335
(c) Competitors' Market Position 9.336
(d) Barriers to Entry 9.338
(e) Buying Power 9.339
(f) Maturity of the Market 9.340
(5) Franchising 9.342
(6) Exclusive Supply 9.343
(a) Buyer's Market Share 9.344
(b) Duration of the Agreement 9.345
(c) Competitors' Market Position 9.346
(d) Countervailing Power 9.347
(e) Level of Trade and Nature of the Product 9.348
(7) Tying 9.350
(a) Supplier's Market Position on the Tying Market 9.352
(b) Competitor's Market Position on the Tying Market 9.353
(c) Buying Power 9.354
(8) Recommended and Maximum Resale Price 9.357
(a) Market Position of the Supplier 9.358
(b) Market Position of Competitors 9.359
10. Intellectual Property
A. Introduction 10.01
(1) Overview 10.01
(2) Purpose of Intellectual Property Rights 10.04
(3) The Relationship between Intellectual Property Protection and EC Law 10.09
(a) Intellectual Property Protection and the Free Movement Provisions 10.10
(b) Intellectual Property Protection and the Competition Rules 10.11
(4) Form of the Following Analysis 10.15
B. Intellectual Property Rights and EC Law 10.16
(1) Introduction 10.16
(2) Existence v Exercise and the Specific Subject Matter of an Intellectual
Property Right 10.19
(a) Existence and Exercise 10.19
(b) Specific Subject Matter 10.21
(3) The Specific Subject Matter of Intellectual Property Rights 10.22
(a) Patents 10.23
(b) Know-how 10.24
(c) Copyright 10.29
(d) Trademarks 10.32
(e) Plant Breeders' Rights 10.34
(4) Exhaustion of Intellectual Property Rights 10.36
(a) Exhaustion Requires Consent 10.36
(b) For a Sale to Exhaust Intellectual Property Rights it is not Necessary
for that Sale to be Made in a Jurisdiction where it Enjoys Intellectual
Property Right Protection 10.40
(c) Exhaustion Requires the Consent of the Right Holder even if
the Goods were Lawfully Put on the Market in Another Member
State without that Consent 10.42
(d) Exhaustion Depends on the Specific Subject Matter of the Right
in Question 10.45
(e) Exhaustion for the Purposes of EC Law Requires Use in the EEA 10.50
(f) Exhaustion and Licensing under the Competition Rules 10.55
(5) Exhaustion Concept in EC Intellectual Property Legislation 10.57
C. Technology Transfer Agreements 10.58
(1) Introduction 10.58
(2) The Basic Framework and Underlying Philosophy of the TTBER and
the Guidelines 10.61
(3) The Scope of the TTBER and the Guidelines 10.66
(a) Agreements for the Production of Contract Products 10.67
(b) Technology Transfer Agreements 10.70
(c) The Interface between the TTBER and other Block Exemptions 10.76
(4) Competitors versus Non-competitors 10.80
(5) The Hardcore Restrictions 10.90
(a) Price Fixing 10.95
(b) Output Limitations 10.97
(c) Territorial and Customer Sales Restrictions 10.98
(d) Restrictions on the Use of Own Technology or to do R&D 10.110
(6) Excluded Restrictions 10.112
(7) The Safe Harbours 10.117
(8) Withdrawal and Disapplication 10.122
(9) Application Outside the Scope of the Block Exemption 10.126
(a) Introduction 10.126
(b) Royalty Obligations 10.131
(c) Exclusive Licenses and Sales Restrictions 10.134
(d) Output Restrictions 10.139
(e) Field of Use Restrictions 10.142
(f) Captive Use Restrictions 10.147
(g) Tying and Bundling 10.149
(h) Exclusive Dealing 10.153
(i) Settlements 10.156
(j) Licensing of Future Developments 10.158
(10) Technology Pools 10.159
(a) The Nature of the Pooled Technologies 10.161
(b) Competition Concerns relating to the Creation of the Pool 10.164
(c) Assessment of Individual Restraints 10.167
D. Trademark Licences 10.170
(1) Licences and Assignments 10.171
(a) Territorial Protection 10.171
(b) Prohibition on Competing Products 10.177
(c) No-challenge Clauses (Ownership) 10.179
(d) No-challenge Clauses (Validity) 10.180
(e) Prohibition on Sub-licensing or Assignment 10.182
(f) Quality Control Measures 10.183
(2) Trademark Delimitation Agreements 10.184
(a) Market Partitioning 10.185
(b) Confusion of Marks 10.187
E. Copyright 10.188
(1) Introduction 10.188
(a) Community Directives Relating to Copyright 10.188
(2) Territorial Protection through Exclusive Licences 10.196
(a) Collective Refusals to License 10.198
(b) Specific Subject Matter of Copyright and Article 81(1) 10.201
(3) Collecting Societies 10.203
(a) Artists' Licences to a Collecting Society 10.203
(b) Licensing Agreements between Collecting Societies 10.204
(c) Licences from Collecting Societies to Manufacturers 10.207
F. Article 82 10.209
(1) Introduction 10.209
(2) Intellectual Property and Market Definition 10.211
(3) Intellectual Property and Dominance 10.220
(4) Abuse 10.223
(a) Refusals to License Intellectual Property Rights 10.225
(b) Licensing of Intellectual Property Rights and Article 82 10.250
(c) Misuse of Regulatory Process 10.254
(d) Conclusions on Abuses 10.255
III Special Sectors
11. Financial Services
A. Introduction 11.01
B. Banking 11.09
(1) Introductory/Preliminary Remarks 11.09
(2) Banking other than Payment Systems 11.12
(a) Price Agreements 11.12
(b) Other Issues 11.18
(3) Payment Systems 11.19
(a) Introduction on Payment Systems 11.19
(b) Cross-border Transfers: Competition and Regulation 11.25
(c) Pricing Issues (Wholesale and Retail) 11.30
(d) Non-price Issues 11.54
C. Capital Markets 11.65
(1) The Consolidation of European Capital Markets and the Role of
Competition Law 11.65
(2) Commission Practice in the Sector of Financial Markets Infrastructure 11.72
(a) The First Cases 11.72
(b) Clearstream 11.73
(c) Euronext 11.88
(3) Latest Priorities; Towards a Pro-active Enforcement of Competition
Law in Capital Markets 11.91
D. Insurance 11.92
(1) Introductory/Preliminary Remarks 11.92
(a) Some Characteristics of Insurance 11.92
(b) The Commission's Antitrust Policy in the Insurance Sector 11.97
(c) Market Definition Issues in the Insurance Sector 11.102
(2) Agreements on Prices 11.105
(3) Jointly Produced Statistics and Studies 11.108
(4) Standard Policy Clauses 11.111
(5) Co-insurance and Co-reinsurance Pools 11.116
(a) Pools in the Block Exemption 11.117
(b) Commission Decisions and other Cases on Pools 11.120
(c) Conclusions on Pools 11.125
(6) Security Devices 11.126
(7) Agreements on Settlement of Claims and on Registers of Aggravated Risks 11.127
(8) Other Recent Insurance Cases 11.129
E. Social Security 11.134
(1) Introductory/Preliminary Remarks on Social Security 11.134
(2) Social Security Organisations as 'Undertakings' 11.139
(a) Organisations not Qualified as Undertakings 11.142
(b) Organisations Qualified as Undertakings 11.150
(3) Exclusive Rights 11.154
(4) Future Prospects 11.162
F. Current Initiatives; Sector Enquiries 11.164
12. Energy
A. General Introduction 12.01
(1) Constitutional Framework 12.06
(a) Current EC Treaty and Draft Constitution 12.06
(b) The Euratom Treaty 12.12
(2) Economic and Political Background of Liberalisation 12.17
(a) Expected Benefits from Liberalisation 12.17
(b) The Need for a Combination of Regulatory and Antitrust
Instruments 12.23
(3) Legislative Context 12.27
(a) The Choice between Harmonisation Directives and Article 86
Directives 12.27
(b) Liberalisation: A Progressive Process 12.29
(c) Evolution of the Legal Framework 12.32
(4) Interaction between Sectoral Directives and Antitrust Enforcement 12.62
(a) Introduction 12.62
(b) Reciprocal Limitations by Sectoral Legislation and Antitrust Law 12.69
(c) Respective Strengths of Competition and Regulatory Measures 12.72
(5) Special Characteristics of Energy Markets 12.77
(a) Structure of Energy Markets 12.77
(b) Impact of Infrastructure and Investment Needs 12.86
(6) Impact of State Involvement 12.90
(7) Stranded Costs 12.92
(8) State Aid Enforcement in the Energy Sector 12.97
B. Security of Supply and Public Service Obligations 12.102
(1) Introduction to the Security of Supply Issue 12.102
(2) Security of Supply in the Context of Article 86 EC 12.106
(a) Pre-liberalisation Precedents 12.106
(b) Formalising Public Service Obligations in Energy Legislation 12.109
C. Commission Enforcement Policy in the Energy Sector 12.116
(1) From Formal Decisions to Settlements and Back Again 12.116
(2) When will the Effects of Liberalisation be felt by Consumers? 12.121
D. Market Definitions in the Energy Sector 12.123
(1) The Gas Sector 12.127
(a) The Product Concerned 12.127
(b) The Product and Geographic Markets 12.131
(2) The Electricity Sector 12.156
(a) The Product Concerned 12.156
(b) The Product and Geographic Markets 12.161
E. Assessment of Vertical Agreements in the Light of Article 81 EC 12.174
(1) Introduction 12.174
(2) Vertical Restraints in Supply Relationships 12.181
(a) Restraints Imposed on the Buyer 12.184
(b) Restraints on the Supplier 12.244
(c) Other Possible Vertical Restraints 12.259
(3) Vertical Restraints in Transport Relationships 12.262
(a) Territorial Restrictions 12.264
(b) Use Restrictions 12.269
(c) Long-term capacity reservations 12.272
(d) Restraints in Storage Contracts and LNG Terminals 12.283
F. Assessment of Horizontal Agreements in the Light of
Article 81 EC 12.284
(1) Introduction 12.284
(2) Competition Problems and Benefits arising from Horizontal
Agreements 12.287
(3) Main Types of Horizontal Agreements in the Energy Sector 12.291
(a) Demarcation Contracts 12.293
(b) Non-compete Clauses under the Guise of 'Use Restrictions' 12.298
(c) Exchange of Confidential Business Information 12.300
(d) Joint Production 12.305
(e) Combined Production and Commercialisation Ventures
and Pure Joint Sales Practices 12.315
(f) Joint Purchasing 12.337
(g) Joint Construction and Management of Energy Infrastructure 12.344
G. Abusive Practices in the Energy Sector 12.369
(1) Introduction 12.369
(2) Dominance and Market Power below that Level 12.372
(3) Abuse 12.379
(a) Introduction 12.379
(b) Excessive Pricing 12.380
(c) Discrimination 12.389
(d) Denial of Access to the Network 12.400
(e) Long-term Contracts 12.416
H. Merger Policy in the Energy Area 12.428
(1) Introduction 12.428
(2) Significant Impediment of Effective Competition 12.437
(a) Transmission Markets 12.438
(b) Upstream Supply Markets 12.442
(c) Downstream Supply Markets 12.444
(3) Remedies 12.455
(a) Divestiture 12.458
(b) Auctions 12.462
(c) Termination Rights for Long-term Contracts 12.466
(4) Small Market Fallacy 12.467
13. Communications (telecoms, media, and internet)
A. Introduction 13.01
(1) Scope of the Chapter 13.01
(2) Structure of the Chapter 13.05
B. Regulatory Framework 13.13
(1) Telecommunications 13.16
(a) Liberalisation 13.16
(b) Sector Specific Regulation 13.24
(2) Media 13.27
(3) Competition Rules and Sector Specific Regulation 13.28
(a) Competition Law as a Limit on the Role of Sector Specific
Regulation 13.29
(b) Relevance of Sector Specific Regulation to an Appraisal under
the Competition Rules 13.36
C. Procedural Issues 13.40
(1) Merger Control 13.41
(a) Regulatory Jurisdiction of National Authorities 13.41
(2) Complaints 13.43
(a) Community Interest 13.43
(b) Other Options Available to Complainants 13.44
(c) Procedures under the 2002 Regulatory Framework 13.45
(d) Commission's Position 13.46
(e) Safeguarding Complainants' Rights 13.48
(f) Relevance of Timing to Community Interest 13.50
(g) Cross-border/Pan-European Dimension 13.52
(h) Interim Measures 13.54
D. Content 13.59
(1) Content Creation 13.63
(a) Market Definition 13.63
(b) Competition Issues 13.65
(2) Content Packaging 13.72
(a) Market Definition 13.72
(b) Competition Issues 13.81
(3) Content Distribution 13.122
(a) Market Definition 13.122
(b) Competition Issues 13.124
E. Transmission 13.143
(1) Introduction to Transmission Networks 13.148
(a) Circuit Switched Networks 13.150
(b) Packet Switched Networks 13.151
(c) Network Elements 13.152
(d) Local Networks and Customer Access Networks 13.156
(e) Networks and Market Definition 13.157
(2) Right to Build Transmission Networks 13.159
(3) Backbone Transmission Markets 13.160
(a) Market Definition 13.160
(4) Customer Access Infrastructure 13.174
(a) Product Market Definition 13.175
(b) Geographic Market Definition 13.182
(c) Strengthening of Dominance on Customer Access
Infrastructure Markets 13.199
(5) Internet and Interactive Services 13.201
(a) Market Definition 13.201
(b) Competition issues 13.209
(6) Access to Transmission Networks 13.213
(a) Third Party Access to Transmission Networks 13.214
(b) Access Pricing 13.261
F. Set Top Boxes 13.270
(1) Overview 13.272
(a) Implications of Introduction of Digital Television 13.274
(b) Proprietary Set Top Boxes and Technical Services 13.275
(c) Structure of Technical Services Market 13.279
(2) Market Definition 13.282
(a) Narrower markets 13.287
(b) Geographic markets 13.289
(3) Competition Issues 13.290
(a) Creation or Strengthening of Dominance on Other Markets 13.299
(4) Access to Set Top Boxes underArticle 82 13.308
(a) Bundling 13.309
(b) Excessive Pricing 13.310
(c) Price Discrimination 13.311
(d) 'Simulcrypt' 13.312
G. Retail 13.313
(1) Market Definition 13.315
(a) Product Markets in Telecommunications 13.315
(b) Product Markets in the Internet Sector 13.324
(c) Product Markets in the Television Sector 13.330
(d) Geographic Markets 13.339
(2) Competition Issues 13.342
(a) Telecommunications 13.344
(b) Television 13.361
14. Transport
A. Introduction 14.01
(1) Economic Significance of the Transport Sector 14.01
(2) Regulatory Framework 14.05
B. Air Transport 14.12
(1) Introduction 14.12
(2) Legal Framework 14.13
(3) Market Definition 14.16
(a) Air Transport of Passengers 14.16
(b) Air Transport of Cargo 14.21
(c) Distribution of Air Transport 14.23
(4) Airline Alliances and Mergers 14.25
(a) Introduction 14.25
(b) Assessment under Article 81(1) of the Treaty 14.28
(c) Assessment under Article 81(3) of the Treaty 14.30
(d) Commitments 14.43
(5) Hardcore Restrictions and Abuses 14.60
(a) Market Sharing 14.60
(b) Exclusionary Practices 14.62
(6) Block Exemptions in the Aviation Sector 14.72
(a) General Remarks 14.72
(b) IATA Tariff Conferences 14.74
(c) IATA Slot Allocation and Airport Scheduling Conferences 14.79
(d) Review 14.82
(7) International Aspects 14.84
(a) Effective Enforcement Tools 14.84
(b) Bilateral Air Service Agreements 14.86
(c) Towards an EU-US Open Aviation Area Agreement 14.89
C. Maritime Transport 14.92
(1) General Remarks 14.92
(2) Market Definition 14.95
(3) Council Regulation 4056/86 14.99
(a) Introduction 14.99
(b) Block Exemption for Liner Shipping Conferences; Article 3
of Regulation 4056/86 14.101
(c) The Scope of the Block Exemption 14.104
(d) Exempted Activities 14.109
(e) Conditions and Obligations 14.119
(f) Monitoring (Articles 7 and 8) 14.121
(g) Article 82 14.122
(h) Revised TACA Principles and Outstanding Issues 14.123
(i) Review 14.125
(4) Maritime Cabotage and Tramp Vessel Services 14.126
(5) Consortia (Regulation 823/2000) 14.133
(a) Background 14.133
(b) Legislation 14.134
(c) Consortia and Conferences 14.135
(d) Scope and Exempted Activities 14.137
(e) Conditions 14.141
(f) Commission Practice 14.148
D. Inland Transport 14.149
(1) Introduction 14.149
(a) Transport of Goods by Road 14.150
(b) Transport of Passengers by Road 14.152
(c) Inland Waterways 14.154
(d) Transport of Goods by Rail 14.157
(2) EU Liberalisation in the Railway Sector 14.163
(a) The Railway Packages 14.164
(3) Legal Framework for Competition in Inland Transport 14.175
(a) Regulation 1017/68 14.175
(b) Dividing Line between Regulation 1017/68 and other Regulations 14.182
(4) Market Definition 14.189
(a) Freight 14.190
(b) Passenger Transport 14.196
(5) Prohibited Agreements and Behaviour 14.200
(6) Article 3 of Regulation 1017/68; Technical Agreements 14.212
(7) Article 4 of Regulation 1017/68; Exemption for Groups of Small
and Medium-Sized Companies 14.217
(8) Conditions for Exemption 14.219
(a) Cases in which an Exemption was Granted 14.220
(b) Cases in which an Exemption was Withheld 14.223
(9) Abuse of Dominant Position 14.225
E. Transport Infrastructure 14.242
(1) Airport Infrastructure 14.242
(a) Introduction 14.242
(b) Discriminatory Landing Fees 14.244
(c) Access to Airport Services (Ground-handling) 14.248
(2) Maritime Infrastructure 14.252
(3) Railway Infrastructure 14.256
(a) General 14.256
(b) Trans-European Network 14.257
15. Motor Vehicles
A. Introduction 15.01
(1) The Characteristics of the Motor Vehicle Sector 15.04
(2) The Situation Pre-1985 15.05
(3) Regulation 123/85 and Regulation 1475/95 15.06
(4) The Evaluation Report on Regulation 1475/95 and Decisions
Enforcing Regulation 1475/95 15.08
(5) Effects of a Possible Application of Regulation 2790/1999 to
the Car Sector 15.11
B. Overview of Regulation 1400/2002 15.15
(1) The Essential Features of the New Regulation 15.15
(2) Legal Basis and Procedure for Adoption 15.16
(3) Structure of the Regulation 15.20
(4) Scope of Application 15.29
(5) Application to the Ten New Member States and within the EEA 15.34
C. Sales of New Vehicles 15.36
(1) Definition of Motor Vehicles and of Vertical Agreements 15.36
(2) Choice between Selective Distribution and Exclusive Distribution of
New Motor Vehicles 15.37
(3) Market Share Thresholds 15.65
(4) Protection of Distributors' Independence 15.72
(5) Reorganisation of the Link between Sales and After Sales Servicing 15.86
(6) The Link between the Distribution of New Motor Vehicles and
the Distribution of Spare Parts 15.91
D. After Sales Servicing 15.92
(1) Authorised Repairers 15.92
(2) Spare Parts Distribution 15.126
(3) Independent Operators, in Particular Independent Repairers 15.145
E. Procedural Issues 15.156
(1) Entry into Force, Transitional Period, and Expiry 15.156
(2) Withdrawal of the Benefit of the Regulation 15.162
(3) Non-application of the Regulation 15.164
(4) Monitoring and Evaluation Report 15.166
IV state aid
16. State Aid
A. Definition of State Aid 16.02
(1) Aid Granted by the State or through State Resources 16.05
(a) Origin of the Resources 16.06
(b) Imputability to the State 16.09
(2) Advantage to a Firm or Firms 16.11
(a) The Private Investor Principle 16.15
(3) Selectivity 16.28
(a) Taxation and State Aid 16.34
(4) Distortion of Competition and Effect on Trade 16.43
(a) The De Minimis Regulation 16.52
(b) The 2004 Commission's Proposals to Deal with Small Amounts
of Aid and with Aid with Limited Effects on Intra-community Trade 16.53
B. Compatibility of State Aid with the Common Market 16.56
(1) Introduction 16.56
(2) Compatibility Ex Lege: Block Exemption Regulations 16.58
(a) Aid for SMEs 16.60
(b) Aid for Employment 16.66
(c) Aid for Training 16.74
(3) Compatibility Declared by the Commission on the Basis of
Article 87(2) EC 16.79
(a) Aid having a Social Character granted to Individual Consumers 16.80
(b) Aid to make good Damage caused by Natural Disasters or
Exceptional Occurrences 16.81
(c) Aid to compensate for the Economic Disadvantages caused by the
Division of Germany 16.88
(4) Compatibility Declared by the Commission on the Basis of
Article 87(3)EC; Commission Guidelines 16.90
(a) Aid to Promote the Economic Development of Areas where the
Standard of Living is Abnormally Low or where there is Serious Underemployment (Article 87(3)(a)) 16.91
(b) Aid to promote the Execution of an Important Project of
Common European Interest (Article 87(3)(b)) 16.92
(c) Aid to remedy a Serious Disturbance in the Economy of a
Member State (Article 87(3)(b)) 16.94
(d) Aid to promote Culture and Heritage Conservation
(Article 87(3)(d)) 16.98
(e) Aid to facilitate the Development of Certain Economic
Activities or of Certain Economic Areas (Article 87(3)(c)) 16.99
(5) Compatibility Declared by the Council 16.204
(a) Article 88(2) 16.204
(6) Sectoral Aid 16.209
(7) Services of General Economic Interest 16.211
(a) Introduction: Definition and Legal Basis 16.211
(b) Role of the Commission: Safeguard against Distortions
of Competition 16.224
(c) Before 'Altmark': Compensation and State Aid Approach 16.226
(d) The Altmark Judgment 16.235
(e) Analysis of Altmark: Positive Effects and Open Questions 16.243
(f) Legislative Consequences of Altmark 16.257
(g) Conclusions 16.268
C. Notification and Assessment of State Aid 16.271
(1) Objective of the Notification and Assessment Procedure 16.271
(2) Legal Basis and the Principle of Notification Requirement 16.274
(3) Consequences of Violation of Notification Requirement 16.278
(4) Exemptions from the Notification Requirement 16.282
(5) Steps in the Notification and Assessment Procedure 16.287
(a) Preparation and Filing of Notification 16.288
(b) Preliminary Investigation (Phase A) 16.291
(c) Formal Investigation Proceedings (Phase B) 16.295
(d) Review of Decisions by European Courts 16.304
(6) Use of the Prescribed Forms 16.307
(7) Delays and Mistakes in the Notification Procedure and
How to Avoid Them 16.314
D. State Aid Enforcement; Recovery of Unlawful State Aid 16.322
(1) Introduction 16.322
(2) Legal Basis and General Principles of Recovery 16.329
(a) Legal Basis of Recovery 16.329
(b) Immediate and Effective Recovery According to National Laws 16.332
(c) Imposition of Compound Interest 16.339
(d) Defences against Recovery 16.344
(3) Specific Problems and Situations of Recovery 16.350
(a) Domestic Motivation for Recovery 16.350
(b) The Correct Addressee for the Recovery Claim 16.359
(c) Separation of Competences between Commission and
Domestic Courts 16.368
(4) Conclusions 16.371
E. Judicial Review in State Aid Matters and the Role of the Courts 16.375
(1) Introduction: Forms of Legal Protection 16.375
(2) Legal Protection within the Commission's Administrative Procedure 16.383
(3) Legal Protection through the European Courts 16.392
(a) General Information about Pending Cases 16.393
(b) Action for Annulment 16.399
(c) Other Court Actions 16.402
(d) Locus Standi 16.409
(e) Challengeable Acts 16.410
(f) The Scope of Judicial Control 16.413
(4) Protection of Third Parties (Competitors) in National Courts 16.419
(a) General: Legal Basis and Division of Tasks between Commission
and National Courts 16.420
(b) Court Proceedings to Stop the Granting of the Aid and Recovery 16.430
(c) Claim for Damages 16.433
(5) Conclusions 16.437
Library of Congress Subject Headings for this publication:
Restraint of trade -- European Union countries.
Antitrust law -- European Union countries.
Competition, Unfair -- European Union countries.