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2016 | OriginalPaper | Buchkapitel

4. Reducing Antitrust Violations: Do Codes of Conduct and Compliance Training Make a Difference?

verfasst von : Peter Kotzian, Thomas Stöber, Barbara E. Weißenberger

Erschienen in: Competition Law Compliance Programmes

Verlag: Springer International Publishing

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Abstract

In the light of an increasing severity of antitrust enforcement it is of paramount importance to ensure employees’ adherence to competition laws. In many firms, codes of conduct and compliance training are part of intense and widespread efforts to address this issue. Still, violations of antitrust laws occur, making headlines, and causing substantial financial and reputational damages. This raises the questions how effective codes of conduct and compliance training are, and how they must be designed to prevent antitrust incidents best. This chapter answers these questions based on new data obtained from a factorial survey in a European multinational firm. Our results indicate that managers are sometimes unaware that some business situations may constitute a violation of antitrust laws. Codes of conduct along with supplementary compliance training improve this awareness. However, they should be complemented by further compliance measures.

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Vorheriges Kapitel Results of a Survey in Germany, Austria, and Switzerland on How to Prevent Violations of Competition Laws
Nächstes Kapitel Compliance and Incentive Contracts
Anhänge
Nur mit Berechtigung zugänglich
Fußnoten
1
The actual tradeoff between financial gains and the financial and non-financial costs might show that cartels pay off.
 
2
Violations of antitrust regulations are in Germany unlawful, but not criminal, so criminal law does not apply, which strongly affects the possible sanctions actors would have to face. In the US, antitrust violations are criminal. We chose the term unlawful, to cover both situations.
 
3
In the case of the cartel among suppliers of optical disc drives, the EU found that “The companies were aware that their behavior was illegal and tried to conceal their contacts and to evade detection of their arrangements. For example, they avoided naming the competitors concerned in their internal correspondence but used abbreviations or generic names. The cartelists also avoided leaving traces of anticompetitive arrangements by preferring face-to-face meetings and ensured that the competitors’ discussions were not revealed to customers. Some of them met in places where they could not be easily spotted, including in parking lots or cinemas.” European Commission (2015).
 
4
A firm with a specific corporate culture may, on the one hand, install a certain code, and on the other hand, attract certain managers as employees, who chose the firm specifically because of its corporate culture, making the causal link between the code and ethically correct behaviour problematic. The code’s effectiveness can only be established, if it affects the behaviour of a randomly chosen group of managers.
 
5
Social desirability was measured using the Impression Management Scale developed by Winkler et al. (2006), based on earlier work by Paulhus (1984, 1991). Including the measurement indicates persistent and strong effects of social desirability in the study, indicating that controlling for social desirability is obligatory in studies conducted in the workplace setting. Social desirability is, perhaps little surprisingly, much less of an issue in studies using student samples.
 
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Metadaten
Titel
Reducing Antitrust Violations: Do Codes of Conduct and Compliance Training Make a Difference?
verfasst von
Peter Kotzian
Thomas Stöber
Barbara E. Weißenberger
Copyright-Jahr
2016
Buch
Competition Law Compliance Programmes

Print ISBN: 978-3-319-44632-5

Electronic ISBN: 978-3-319-44633-2

Copyright-Jahr: 2016

DOI
https://doi.org/10.1007/978-3-319-44633-2_4