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2023 | OriginalPaper | Buchkapitel

7. Sanctions, Leniency and Amicable Settlements

verfasst von : Pranvera Këllezi

Erschienen in: Competition Law in Switzerland

Verlag: Springer International Publishing

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Abstract

This chapter contains the main provisions on sanctions and the criteria for the calculation of the fine, such as the basic amount of the fine, the duration of the infringement, and aggravating and mitigating circumstances. It also covers leniency applications for full or partial immunity, prior notification of restraints of competition and the procedural framework and conditions for amicable settlements. Finally, it sets out the administrative sanctions applicable to undertakings and the criminal sanctions applicable to individuals.

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Cf. Article 23 Regulation 1/2003.

FSC, judgment of 9 May 2023, 2C_395/2021, Naxoo, para 11.1.

Ordinance on Sanctions imposed for Unlawful Restraints of Competition (Cartel Act Sanctions Ordinance, CASO; RS 251.5).

COMCO Secretariat, Remarks on the Ordinance on Fines (Remarks on CASO). Available at https://www.weko.admin.ch/weko/en/home/rechtliches_dokumentation/communications.html. Accessed 18 May 2023.

COMCO Secretariat, Explanatory note and form of the Secretariat of 8 September 2014, Leniency program (voluntary report) (Explanatory note on the leniency program).

COMCO, Explanatory note and form of 21 October 2014, Notification of a restriction on competition.

Article 50 CartA. See Sect. 7.4.1 below.

FSC, judgment of 9 December 2019, 2C_985/2015, ATF/BGE 146 II 217 Preispolitik Swisscom ADSL.

See also FSC, judgment of 9 May 2023, 2C_395/2021, Naxoo, para 11.1.

FAC, judgment of 16 September 2016, B-581/2012 Nikon, para 8.2.6.

FAC, judgment of 4 September 2015, B-7633/2009, Preispolitik Swisscom ADSL, paras 69ff.

Idem, para 73.

FAC, judgment of 16 September 2016, B-581/2012 Nikon, para 8.2.

FAC, judgment of 9 August 2021, B-5130/2019 Strassenbau Graubünden/Schlub, para 8.1.3.

FAC, judgment of 9 August 2021, B-5130/2019 Strassenbau Graubünden/Schlub, para 8.2.2.

FAC, judgment of 25 June 2018, B-807/2012 Wettbewerbsabreden im Strassen- und Tiefbau im Kanton Aargau, ERNE, para 11.4.4.

FSC, judgment of 29 June 2012, case 2C_484/2010, ATF/BGE 139 I 72 Publigroupe.

Menarini Diagnostics S.R.L. v. Italy, ECHR judgment of 27 September 2011. See also Notably Sigma Radio Television v. Cyprus, ECHR judgment of 21 July 2011.

See the COMCO Secretariat’s notice of 28 February 2018 on amicable agreements, available at www.weko.admin.ch. Since the entry into force of direct sanctions, the Cartel Act no longer provides for a procedure similar to that of commitments under EU competition law, whereby a company undertakes to change its conduct without the risk of a fine and without the conduct having to be found illegal (see Article 9 of Regulation 1/2003, OJ 2003 L 1, p. 1).

Article 49a (1) CartA and Article 3 CASO.

FAC, judgment of 16 September 2016, B-581/2012 Nikon, paras 9.2ff, in particular 9.2.3.

FSC, judgment of 9 May 2023, 2C_395/2021, Naxoo, para 11.3.3.

FAC, judgment of 25 June 2018, B-807/2012 Wettbewerbsabreden im Strassen- und Tiefbau im Kanton Aargau, ERNE, paras 11.5.4.1 ff, in which the FAC confirmed the sanctioning of those who offered cover in a tender and those who benefited from it.

FSC, judgment of 9 December 2019, 2C_985/2015, Preispolitik Swisscom ADSL, ATF/BGE 146 II 217, para 9.2.2.3.

Idem.

Article 5(2) MCO reads “In calculating the total turnover of an undertaking concerned, the turnover from business activities between the undertakings mentioned in paragraph 1 shall not be taken into account.”

Remarks on CASO, Article 3.

COMCO decision of 21 September 2015, Swisscom WAN-Anbindung, LPC 2016/1, p. 128, para 594.

FAC, judgment of 4 September 2015, case B-7633/2009, Preispolitik Swisscom ADSL, paras 747–748, LPC 2015/3, p. 561. The FAC highlighted the fact that Swisscom had acted with gross negligence by failing to consider the explicit indications of the COMCO Secretariat regarding the application of the margin squeeze to the facts at hand, the apparent disproportion between the wholesale and retail prices for broadband products and the significant impact of its practice on the competitiveness of competitors in the retail market for broadband products.

COMCO decision of 23 February 2015 Tunnelreinigung, LPC 2015/2, p. 193, para 296; COMCO decision of 19 August 2019 Bauleistungen Graubünden, LPC 2020/4a, p. 1721, para 585.

COMCO decision of 23 May 2022 Concessionari Volkswagen, para 608.

COMCO decision of 29 January 2018 Gerätebenzin, LPC 2018/2, p. 347, para 100.

COMCO decision of 27 May 2013 Marché du livre écrit en français, LPC 2018/2, p. 245, paras 732 ff.

FSC, judgment of 28 June 2016, 2C_180/2014, Gaba, ATF/BGE 143 II 297, para 9.7.3. FSC, judgment of 24 October 2017, 2C_63/2016, BMW.

COMCO decision of 20 August 2012 Altimum, LPC 2016/2, p. 384, para 334. The fine in this case was set aside by the FSC on procedural grounds.

COMCO decision of 2 November 2009 Hors-Liste Medikamente: Preise von Cialis, Levitra und Viagra, LPC 2010/4, p. 649, para 371.

FSC, judgment of 9 December 2019, case 2C_985/2015, Preispolitik Swisscom ADSL, ATF/BGE 146 II 217, para 9.2.3.2. The COMCO had applied a basic amount of 10%, and the FAC had reduced it to 8%.

EU Commission, Guidance on the Commission’s enforcement priorities in applying Article 82 of the EC Treaty to abusive exclusionary conduct by dominant undertakings, JO 2009 C 45, p. 7.

FSC, judgment of 9 December 2019, case 2C_985/2015, Preispolitik Swisscom ADSL, ATF/BGE 146 II 217, para 9.2.3.3 (free translation, references omitted). The FSC refers here to “die abstrakte Gefährdungspotential”, which we have translated as “abstract potential threat”.

See Sect. 5.3.3.6, referring to FSC, judgment of 2 November 2022, case 2C_596/2019, SIX DCC, para 10.2.3. As explained above, we have translated ‘Gefährdungstatbestand’ as ‘risk-based conduct’.

Remarks on CASO, Article 2 paragraph 1 and Article 3 paragraph b).

Article 4 CASO.

FSC, judgment of 9 May 2023, 2C_395/2021, Naxoo, para 11.3.

COMCO decision of 23 May 2023 Concessionari Volkswagen, paras 528.

Article 5(1) CASO.

Remarks on CASO, Article 5 paragraph 1 lit. c).

Article 6(1) CASO.

COMCO decision of 23 May 2023 Concessionari Volkswagen, paras 542 et 543.

FAC, judgment of 5 June 2023, B-4596/2019 CA Auto Finance Suisse SA, para 9.6.27.

Article 5(2) CASO.

Remarks on CASO, Article 5 paragraph b).

Article 6(2) CASO.

Cf. Sect. 7.2.3.1 above on the basic amount.

FAC, judgment of 16 September 2016, B-581/2012, Nikon, para 9.2.2.

Remarks on CASO, Article 3 paragraph c).

Cf. Commission Notice on Immunity from fines and reduction of fines in cartel cases, OJ 2006, C 298, p. 11.

Article 8(1)(a) and 3 CASO.

Explanatory note on leniency program, para 9. Remarks on CASO, Article 8 paragraph 1 lit. a).

Ibidem.

Article 8(1)(b), (3) and (4) CASO.

Explanatory note on leniency program, para 14.

Explanatory note on leniency program, para 5. Remarks on CASO, Article 8 paragraph 1.

Explanatory note on leniency program, para 6.

Article 8(2) CASO.

COMCO Secretariat, Remarks on CASO, Article 2 paragraph 2 lit. a).

Explanatory note on leniency program, para 21a.

COMCO Secretariat, Remarks on CASO, Article 2 paragraph 2 lit. b).

Idem, Article 2 paragraph 2 lit. d).

Idem, Article 8 paragraph 1 lit. c).

Explanatory note on leniency program, para 23.

Article 9(1) CASO. Explanatory note on leniency program, para 5.

Explanatory note on leniency program, para 13.

For the content of the Marker and other practical advice applicable to searches and inspections, see Explanatory note on leniency program, paras 26 and 30.

Explanatory note on leniency program, para 34.

Article 9(2) CASO.

COMCO Secretariat, Remarks on CASO, Article 9 paragraph 2.

Article 9(3) CASO.

Explanatory note on leniency program, para 41.

Article 10 CASO.

Article 11 CASO.

Remarks on CASO, Article 11 paragraph 2.

Article 12(2) CartA.

Explanatory note on leniency program, para 21a.

Article 12(3) CartA. See Explanatory note on leniency program, para 20.

Article 13 CASO.

Remarks on CASO, Article 12 paragraph 2.

Article 14 CASO.

Remarks on CASO, Article 14 paragraph 2.

Explanatory note on leniency program, paras 47ff.

The Data Protection Act applied to moral persons until the entry into force of the new Data Protection Act in September 2023.

SFC, judgment of 18 March 2021 in cases 2C_1040/2018 and 2C_1051/2018, ATF/BGE 147 II 227, para 7.4.2.

Idem, para 7.5.2.

Explanatory note on leniency program, para 46.

Agreement between the European Union and the Swiss Confederation concerning cooperation on the application of their competition laws, OJUE L 347, 3.12.2014, p. 3; RS 0.251.268.1.

Article 43(1) DEBA.

Article 5 (2) Cst and Article 2 (2) CASO.

FSC, judgment of 28 June 2016, 2C_180/2014, Gaba, ATF/BGE 143 II 297, para 9.7.2.

For a situation discussed by courts, see FAC, judgment of 2 April 2020, B-823/2016, Music Hug, para 6.

Article 55(2) APA.

100

Article 80 (2)(2) DEBA.

101

Article 104 (1) CO (applicable by analogy). Compound interest for default is prohibited in Switzerland.

102

See for instance in other areas of enforcement of administrative decisions FSC, judgment of 18 May 2016, case 5D_13/2016, para 2.3.3; FSC, judgment of 31 March 2022, 5A_825/2021, ATF/BGE 148 III 225, para 4.2.1.

103

FSC, Judgment of 26 September 2016, 2C_916/2014 and 2C_917/2014, ATF/BGE 143 II 8, paras 7 and 8.

104

See CJEU of 22 October 2015, AC-Treuhand, C-194/14 P, ECLI:EU:C:2015:717.

105

COMCO Secretariat, Remarks on the Ordinance on Fines, Article 15.

106

Article 19 CASO.

107

FSC, judgment of 12 December 2008, ATF/BGE 135 II 60, para 3.4.

108

Article 17 CASO. See Explanatory note on notifications of a restriction on competition, para 5.

109

Article 18 CASO.

110

See Explanatory note on notifications of a restriction on competition, para 22.

111

See Explanatory note on notifications of a restriction on competition, paras 11 ff.

112

See Explanatory note on notifications of a restriction on competition, paras 14 et 29.

113

This is for instance the case when a global and lasting agreement is found.

114

FAC, judgment of 9 August 2021, B-5119/2019 Strassenbau Graubünden/Centorame, para 5.2.4. Cf. Article 25 (3) Regulation 1/2003 which contains a similar rule.

115

See Remarks on CASO, Article 4.

116

FSC, judgment of 2 November 2022, 2C_596/2019, SIX DCC, para 6.4.1.

117

COMCO Secretariat, Note of 28 February 2018 on Amicable Settlements (Note on amicable settlements).

118

Note on amicable settlements, para 13.

119

Commission Notice on the conduct of settlement procedures in view of the adoption of Decisions pursuant to Article 7 and Article 23 of Council Regulation 1/2003 in cartel cases, OJ 2008, C 167, p. 1.

120

FSC, judgment of 29 June 2012, 2C_484/2010, Publigroupe, ATF/BGE 139 I 72. See also Sect. 5.3.1.

121

FAC, judgment of 5 June 2023, B-4596/2019 CA Auto Finance Suisse SA, para 1.2.

122

Note on amicable settlements, para 11.

123

Note on amicable settlements, para 12.

124

Note on amicable settlements, para 12.

125

Article 52 Cartel Act.

126

COMCO decision of 28 June 2021, LPC 2021/3, p. 688. The procedural costs of approximately CHF 19,000 were shared equally between the two subsidiaries.

127

FAC, judgment of 16 February 2023, B-3882/2021, LPC 2023/1, p. 163.

128

Article 57 CartA.

129

Article 54 Cartel Act.

130

Article 56 (1) CartA.

131

Article 55 CartA.

132

Article 56 (2) CartA.

Titel: Sanctions, Leniency and Amicable Settlements
verfasst von: Pranvera Këllezi
Verlag: Springer International Publishing
Buch: Competition Law in Switzerland
Print ISBN: 978-3-031-45116-4

Electronic ISBN: 978-3-031-45117-1

Copyright-Jahr: 2023
DOI: https://doi.org/10.1007/978-3-031-45117-1_7

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