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HOME＞課徴金減免申請に関わる問題＞International Cartel 2015
| International Cartel 2015 |
| 国際カルテルの執行概観（2015） |
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2015年を基準時として国際カルテルの執行状況を纏めてみました。反トラスト法・競争法の重点執行分野は国や地域により異なります。これは、反トラスト法・競争法の執行が競争政策を前提とする以上避けえない帰結ですが、カルテルの執行が重点項目であることについては、多くの国や地域で共通性があるといえます。南米や南アフリカ、中国、オーストラリア、インドなども執行がなされている地域に含まれています。日本以外の国と地域での事業活動を考える際、まずは、カルテルをコンプライアンスの重点分野とすべき理由はここにあるといえます。
米国量刑ガイドラインに記載されている効果的なコンプライアンス・プログラムが存在すると認定されるための各要素は以下の通りです。
The organization shall establish standards and procedures to prevent and detect criminal conduct.
Board of directors shall be knowledgeable about the content and operation of the compliance and ethics program and shall exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.
High-level personnel such as directors or officers shall ensure that organization has an effective compliance and ethics program, and specific individual within high-level personnel shall be assigned overall responsibility for the compliance and ethics program.
Specific individual within the organization shall be delegated day-to-day operational responsibility for the compliance and ethics program. Individual with operational responsibility shall report periodically to high-level personnel and, as appropriate, to the board of directors, or an appropriate subgroup of the board of directors, on the effectiveness of the compliance and ethics program. To carry out such operational responsibility, such individual shall be given adequate resources, appropriate authority, and direct access to the board of directors or an appropriate subgroup of the board of directors.
The organization shall use reasonable efforts not to include within the substantial authority personnel of the organization any individual whom the organization knew, or should have known through the exercise of due diligence, has engaged in illegal activities or other conduct inconsistent with an effective compliance and ethics program.
The organization shall take reasonable steps to communicate periodically and in a practical manner its standards and procedures, and other aspects of the compliance and ethics program, to the members of board of directors, other high level personnel such as officers, employees and (if appropriate) agent of the organization by conducting effective training programs and otherwise disseminating information appropriate to such individuals' respective roles and responsibilities.
The organization shall take reasonable steps to ensure that the organization's compliance and ethics program is followed, including monitoring and auditing to detect criminal conduct, to evaluate periodically the effectiveness of the organization's compliance and ethics program, and to have and publicize a system, which may include mechanisms that allow for anonymity or confidentiality, whereby the organization's employees and agents may report or seek guidance regarding potential or actual criminal conduct without fear of retaliation.
The organization's compliance and ethics program shall be promoted and enforced consistently throughout the organization through appropriate incentives to perform in accordance with the compliance and ethics program, and appropriate disciplinary measures for engaging in criminal conduct and for failing to take reasonable steps to prevent or detect criminal conduct.
After criminal conduct has been detected, the organization shall take reasonable steps to respond appropriately to the criminal conduct and to prevent further similar criminal conduct, including making any necessary modifications to the organization's compliance and ethics program.
The organization shall periodically assess the risk of criminal conduct and shall take appropriate steps to design, implement, or modify each requirement.
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