Butterworths Competition Law Handbook

Part I Statutes, Etc; Fair Trading Act 1973, ss 93B, 94, 129, 132, 134, 135, 137-140, Sch 11; Competition Act 1980, ss 11, 11A-11D, 12, 15-17, 31-33; Company Directors Disqualification Act 1986, ss 9A-9E, 24-26; Competition Act 1998; Financial Services and Markets Act 2000, ss 95, 159-164, 302-312, 431, 433, Sch 14; Enterprise Act 2002, ss 1-209, 237-246, 273-281, Schs 1-4, 7, 8, 10, 14, 15, 24, 26; Part II Statutory Instruments; A. Procedural Matters; Enterprise Act 2002 (Super-complaints to Regulators) Order 2003, SI 2003/1368; OFT Registers of Undertakings and Orders (Available Hours) Order 2003, SI 2003/1373; Competition Act 1998 (Concurrency) Regulations 2004, SI 2004/1077; Competition Act 1998 (Appealable Decisions and Revocation of Notification of Excluded Agreements) Regulations 2004, SI 2004/1078; Competition Act 1998 and Other Enactments (Amendment) Regulations 2004, SI 2004/1261; Enterprise Act 2002 (Bodies Designated to make Super-complaints) Order 2004, SI 2004/1517; Competition Act 1998 (Office of Fair Trading's Rules) Order 2004, SI 2004/2751; B. Competition Commission; Competition Act 1998 (Competition Commission) Transitional, Consequential and Supplemental Provisions Order 1999, SI 1999/506; Competition Commission (Penalties) Order 2003, SI 2003/1371; C. Investigations and Penalties; Competition Act 1998 (Definition of Appropriate Person) Regulations 1999, SI 1999/2282; Competition Act 1998 (Small Agreements and Conduct of Minor Significance) Regulations 2000, SI 2000/262; Competition Act 1998 (Determination of Turnover for Penalties) Order 2000, SI 2000/309; D. Exclusions and Exemptions; Competition Act 1998 (Section 11 Exemption) Regulations 2001, SI 2001/2993; Competition Act 1998 (Land Agreements Exclusion and Revocation) Order 2004, SI 2004/1260; E. Merger Control; EEC Merger Control (Distinct Market Investigations) Regulations 1990, SI 1990/1715; Enterprise Act 2002 (Merger Prenotification) Regulations 2003, SI 2003/1369; Enterprise Act 2002 (Merger Fees and Determination of Turnover) Order 2003, SI 2003/1370; Enterprise Act 2002 (Protection of Legitimate Interests) Order 2003, SI 2003/1592; Enterprise Act 2002 (Anticipated Mergers) Order 2003, SI 2003/1595; F. Litigation; Competition Appeal Tribunal Rules 2003, SI 2003/1372 (Note); Part III OFT, Competition Commission and Other Guidelines; A. Competition Act 1998; OFT 401: Agreements and concerted practices (December 2004); OFT 402: Abuse of a dominant position (December 2004); OFT 403: Market definition (December 2004); OFT 404: Powers of investigation (December 2004); OFT 405: Concurrent application to regulated industries (December 2004); OFT 407: Enforcement (December 2004); OFT 408: Trade associations, professions and self-regulating bodies (December 2004); OFT 415: Assessment of market power (December 2004); OFT 417: The application of the Competition Act in the telecommunications sector (February 2000); OFT 419: Vertical agreements (December 2004); OFT 420: Land agreements (December 2004); OFT 421: Services of general economic interest exclusion (December 2004); OFT 422: Guidance on the application of the Competition Act 1998 in the water and sewerage sectors (March 2010); OFT 423: OFT's Guidance as to the appropriate amount of a penalty (December 2004); OFT 428: Application in the energy sector (January 2005); OFT 430: Application to services relating to railways (October 2005); OFT 442: Modernisation (December 2004); OFT 443: The Competition Act 1998 and public bodies (August 2004); OFT 451: Involving third parties in Competition Act investigations (April 2006); OFT 803: Leniency and no-action (December 2008); B. Enterprise Act 2002; OFT 510: Director disqualification orders in competition cases (June 2010); OFT 511: Market investigation references (March 2006); OFT 513: The cartel offence (April 2003); OFT 514: Super-complaints - Guidance for designated consumer bodies (July 2003); OFT 515: Powers for investigating criminal cartels (January 2004); OFT 516: Mergers - substantive assessment guidance (May 2003); OFT 516b: Revision to Mergers - substantive assessment guidance (November 2007); OFT 518: Overview of the Enterprise Act (June 2003); OFT 519: Market studies: Guidance on the OFT approach (June 2010); OFT 527: Mergers: Jurisdictional and procedural guidance (June 2009); OFT: Mergers fee information (September 2009); OFT: Enquiry letter template; OFT: Template initial undertakings; OFT; 546: Memorandum of understanding between the Office of Fair Trading (OFT) and the National Casework Division (NCD), Crown Office, Scotland (June 2009); OFT 547: Memorandum of understanding between the Office of Fair Trading and the Director of the Serious Fraud Office (October 2003); OFT1254/CC2: Merger Assessment Guidelines (September 2010); DTI Guidance on the operation of the public interest merger provisions relating to newspaper and other media mergers; Memorandum of understanding between the Office of Fair Trading and the Competition Commission on. the variation and termination of merger, monopoly and market undertakings and orders under the Fair Trading Act 1973 and the Enterprise Act 2002 (February 2009); CC1: Competition Commission: Rules of Procedure (March 2006); CC2: Merger References: Competition Commission Guidelines (June 2003: Note); CC3: Market Investigation References: Competition Commission Guidelines (June 2003); CC4: General Advice and Information (March 2006); CC5: Statement of Policy on Penalties (June 2003); CC6: Chairman's Guidance to Groups (March 2006); CC7: Chairman's Guidance on Disclosure of Information in Merger and Market Inquiries (July 2003); CC8: Merger Remedies: Competition Commission Guidelines (November 2008); CC9: Water merger references; Competition Commission Guidelines (December 2004); CC12: Disclosure of information by the Competition Commission to other public authorities (April 2006); Competition Commission: Template Interim Undertakings (Completed Merger); Competition Commission: Suggested best practice for submissions of technical economic analysis from parties to the Competition Commission; C. Miscellaneous; OFT 953: Prioritisation Principles (October 2008); OFT 1234: Transparency - a statement on the OFT's approach (May 2010); Addresses of the Regulators; Part IV EU Materials; A. General; Consolidated Version of the Treaty on the Functioning of the European Union, Arts 101-109; Commission Notice on the definition of relevant market for the purposes of Community competition law (1997); 2001/462/EC: Commission Decision on the terms of reference of hearing officers in certain competition proceedings; Commission Notice on agreements of minor importance which do not appreciably restrict competition under Article 81(1) of the Treaty establishing the European Community (de minimis) (2001); 1/2003/EC: Council Regulation on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty; 2003/361/EC: Commission Recommendation concerning the definition of micro, small and medium-sized enterprises; 773/2004/EC: Commission Regulation relating to the conduct of proceedings by the Commission pursuant to Articles 81 and 82 of the EC Treaty; Commission Notice - Guidelines on the effect on trade concept contained in Articles 81 and 82 of the Treaty (2004); Commission Communication - Guidelines on the application of Article 81(3) of the Treaty (2004); Commission Notice on the rules for access to the Commission file in cases pursuant to Articles 81 and 82 of the EC Treaty, Articles 53, 54 and 57 of the EEA Agreement and Council Regulation (EC) No 139/2004 (2005); 1184/2006/EC: Council Regulation applying certain rules of competition to the production of, and trade in, agricultural products (Codified version); Commission Communication: Guidance on the Commission's enforcement priorities in applying Article 82 of the EC Treaty to abusive exclusionary conduct by dominant undertakings (2009); B. Cooperation Agreements; 2821/71/EEC: Council Regulation on the application of Article 85(3) of the Treaty to categories of agreements, decisions and concerted practices; 2658/2000/EC: Commission Regulation on the application of Article 81(3) of the Treaty to categories of specialisation agreements; 2659/2000/EC: Commission Regulation on the application of Article 81(3) of the Treaty to categories of research and development agreements; Commission Notice - Guidelines on the applicability of Article 81 of the EC Treaty to horizontal cooperation agreements (2001); C. Vertical Agreements; 19/65/EEC: Council Regulation on application of Article 85(3) of the Treaty to certain categories of agreements and concerted practices; 1400/2002/EC: Commission Regulation on the application of Article 81(3) of the Treaty to categories of vertical agreements and concerted practices in the motor vehicle sector; 772/2004/EC: Commission Regulation on the application of Article 81(3) of the Treaty to categories of technology transfer agreements; Commission Notice - Guidelines on the application of Article 81 of the EC Treaty to technology transfer agreements (2004); 330/2010/EU: Commission Regulation on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of vertical agreements and concerted practices; Commission Notice - Guidelines on vertical restraints (2010); 461/2010/EU: Commission Regulation on the application of Article; 101(3) of the Treaty on the Functioning of the European Union to categories of vertical agreements and concerted practices in the motor vehicle sector; Commission Notice - Supplementary guidelines on vertical restraints in agreements for the sale and repair of motor vehicles and for the distribution of spare parts for motor vehicles; D. Insurance; 1534/91/EEC: Council Regulation on the application of Article 85(3) of the Treaty to certain categories of agreements, decisions and concerted practices in the insurance sector; 267/2010/EU: Commission Regulation on the application of Article 101(3) of the Treaty on the Functioning of the European Union to certain categories of agreements, decisions and concerted practices in the insurance sector; Communication from the Commission on the application of Article 101(3) of the Treaty on the Functioning of the. European Union to certain categories of agreements, decisions and concerted practices in the insurance sector (2010); E. Transport; 95/93/EEC: Council Regulation on common rules for the allocation of slots at Community airports; Commission Communication on the application of Regulation (EEC) No 95/93 on common rules for the allocation of slots at Community airports, as amended (2008); Commission Communication - Guidelines on the application of Article 81 of the EC Treaty to maritime transport services (2008); 1008/2008/EC: European Parliament and Council Regulation on common rules for the operation of air services in the Community (Recast); 80/2009/EC: European Parliament and Council Regulation on a code of conduct for computerised reservation systems and repealing Council Regulation (EEC) No 2299/89; 169/2009/EC: Council Regulation applying rules of competition to transport by rail, road and inland waterway; 246/2009/EC: Council Regulation on the application of Article 81(3) of the Treaty to certain categories of agreements, decisions and concerted practices between liner shipping companies (consortia); 487/2009/EC: Council Regulation on the application of Article 81(3) of the Treaty to certain categories of agreements and concerted practices in the air transport sector; 906/2009/EC: Commission Regulation on the application of Article 81(3) of the Treaty to certain categories of agreements, decisions and concerted practices between liner shipping companies (consortia); F. Enforcement; Commission Guidelines on the method of setting fines imposed pursuant to Article 15(2) of Regulation No 17 and Article 65(5) of the ECSC Treaty (1998) (Note); Commission Guidelines on the method of setting fines imposed pursuant to Article 23(2)(a) of Regulation No 1/2003 (2006); Joint Statement of the Council and the Commission on the Functioning of the Network of Competition Authorities (2002); Commission Notice on immunity from fines and reduction of fines in cartel cases (2006); Commission Notice on cooperation within the network of competition authorities (2004); Commission Notice on the co-operation between the Commission and the courts of the EU Member States in the application of Articles 81 and 82 EC (2004); Commission Notice on the handling of complaints by the Commission under Articles 81 and 82 of the EC Treaty (2004); Commission Notice on informal guidance relating to novel questions concerning Articles 81 and 82 of the EC Treaty that arise in individual cases (Guidance letters) (2004); European Competition Network: Model Leniency Programme (2006); 622/2008/EC: Council Regulation amending Regulation (EC) No 773/2004, as regards the conduct of settlement procedures in cartel cases; 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 (EC) No 1/2003 in cartel cases (2008); G. Concentrations; 139/2004/EC: Council Regulation of 20 January 2004 on the control of concentrations between undertakings; 802/2004/EC: Commission Regulation of 21 April 2004 implementing Council Regulation (EC) No 139/2004 on the control of concentrations between undertakings; Commission Notice - Guidelines on the assessment of horizontal mergers under the Council Regulation on the control of concentrations between undertakings (2004); Commission Notice on a simplified procedure for treatment of certain concentrations under Council Regulation (EC) No 139/2004 (2005); Commission Notice on restrictions directly related and necessary to concentrations (2005); Commission Notice on case referral in respect of concentrations (2005); Best Practices on the conduct of EC merger control proceedings (2004); Decision of EEA Joint Committee of 8 June 2004 amending Annex XIV (competition), Protocol 21 (on the implementation of competition rules applicable to undertakings), Protocol 22 (concerning the definition of 'undertaking' and 'turnover' (Article 56)) and Protocol 24 (on cooperation in the field of control of concentrations) to the EEA Agreement (No 78/2004); Decision of EEA Joint Committee of 8 June 2004 amending Annex XIV (competition), Protocol 21 (on the implementation of competition rules applicable to undertakings), and Protocol 24 (on cooperation in the field of control of concentrations) to the EEA Agreement (No 79/2004); DG Competition Information Note on Art 6(1)c 2nd sentence of Regulation 139/2004 (abandonment of; concentrations) (2004); Best Practice Guidelines: Explanatory Notes on the Commission's Model Texts for Divestiture Commitments and the Trustee Mandate under the EC Merger Regulation (2003); Best Practice Guidelines: Model Text for Divestiture Commitments (2003); Best Practice Guidelines: Model Text for the Trustee Mandate (2003); Case team allocation request - Mergers (2008); Communication pursuant to Article 3(2) of Commission Regulation (EC) No 802/2004 implementing Council Regulation (EC) No 139/2004 on the control of concentrations between undertakings (2006); Commission Consolidated Jurisdictional Notice under Council Regulation (EC) No 139/2004 on the control of concentrations between undertakings (2008); Commission Notice - Guidelines on the assessment of non-horizontal mergers. under the Council Regulation on the control of concentrations between undertakings (2008); Commission Notice on remedies acceptable under Council Regulation (EC) No 139/2004 and under Commission Regulation (EC) No 802/2004 (2008); Best practice guidelines on market share ranges in non-confidential versions of merger decisions (2008); Procedure for controlling merger operations between enterprises; Commission Communication Pursuant to Article 23(1) of Commission Regulation (EC) No 802/2004 implementing Council Regulation (EC) No 139/2004 on the control of concentrations between undertakings (2004); Merger Correspondence; US-EU Merger Working Group: Best Practices on Cooperation in Merger Investigations; European Competition Authorities: Principles on the application, by National Competition Authorities within the ECA, of Articles 4(5) and 22 of the EC Merger Regulation (2005); Commission Holidays (2010-2011); Exchange rates to calculate the turnover; Provision of address details in electronic format for Commission market investigations; H. State Aid; Commission Communication on State aid elements in sales of land and buildings by public authorities (1997); Guidelines on National Regional Aid for 2007-2013; 994/98/EC: Council Regulation on the application of Articles 92 and 93 of the Treaty establishing the European Community to certain categories of horizontal state aid; 659/99/EC: Council Regulation laying down detailed rules for the application of Article 93 of the EC Treaty; 794/2004/EC: Commission Regulation implementing Council Regulation (EC) No 659/1999 laying down detailed rules for the application of Article 93 of the EC Treaty; Commission Notice - Details of arrangement for the electronic transmission of State aid notifications including addresses together with the arrangements for the protection of confidential information (2005); Communication from the Commission - Community guidelines on state aid for rescuing and restructuring firms in difficulty (2004); Community framework for State aid in the form of public service compensation (2005); 2005/842/EC: Commission Decision on application of Article 86(2) of EC Treaty to State aid in the form of public service compensation granted to certain undertakings entrusted with the operation of services of general economic interest; Communication from the Commission - Community Guidelines on financing of airports and start-up aid to airlines departing from regional airports (2005); Community Guidelines on state aid to promote risk capital investments in small and medium-sized enterprises (2006); 2006/111/EC: Commission Directive on the transparency of financial relations between Member States and public undertakings as well as on financial transparency within certain undertakings; 1857/2006/EC: Commission Regulation on the application of Articles 87 and 88 of the Treaty to State aid to small and medium-sized enterprises active in the production, processing and marketing of agricultural products; 1998/2006/EC: Commission Regulation of 15 December 2006 on the application of Articles 87 and 88 of the Treaty to de minimis aid; Community Framework for State Aid for Research and Development and Innovation (2006); Vademecum Community Rules on State Aid (2008); Commission Notice towards an effective implementation of Commission decisions ordering Member States to recover unlawful and incompatible State aid (2007); Commission Notice on the application of Articles 87 and 88 of the EC Treaty to State aid in the form of guarantees (2008); Communication from the Commission - Community guidelines on State aid for railway undertakings (2008); Commission Notice - Community Guidelines on State Aid for Environmental Protection (2008); Communication from the Commission on the revision of the method for setting the reference and discount rates (2008); 800/2008/EC: Commission Regulation declaring certain categories of aid compatible with the common market in application of Articles 87 and 88 of the Treaty (General block exemption Regulation); Communication from the Commission: The application of State aid rules to measures taken in relation to financial institutions in the context of the current global financial crisis (2008); Communication from the Commission: The recapitalisation of financial institutions in the current financial crisis: limitation of aid to the minimum necessary and safeguards against undue distortions of competition (2009); Communication from the Commission: Temporary Community framework for State aid measures to support access to finance in the current financial and economic crisis (2009); Communication from the Commission on the treatment of impaired assets in the Community banking sector (2009); Commission Notice on the enforcement of State aid law by national courts (2009); Commission Notice on a simplified procedure for treatment of certain types of State Aid (2009); Code of Best Practice for the conduct of State aid control procedures (2009); Communication from the Commission on the return to viability and the assessment of restructuring measures in the financial sector in the current crisis under the State aid rules (2009); Communication from the Commission: Criteria for an In-Depth Assessment of Regional Aid to Large Investment Projects (2009); Part V UK and. EU Court Materials; A. UK Courts; Competition Appeal Tribunal Rules 2003, SI 2003/1372; Competition Appeal Tribunal: Guide to Proceedings (2005); Practice Direction: Competition Law: Claims Relating to the Application of Articles 81 And 82 of the EC Treaty and Chapters I and II of Part I of the Competition Act 1998; B. EU Courts; Protocol (No 3) on the statute of the Court of Justice of the European Union (2008); Consolidated Version of the Rules of Procedure of the Court of Justice (2010); Consolidated Version of the Rules of Procedure of the General Court (2010); Notes for the guidance of Counsel in written and oral proceedings before the Court of Justice of the European Communities (2009); Appendix; Mergers: Exceptions to the duty to refer and undertakings in lieu - OFT Draft guidance consultation document; Good practice in the design and presentation of consumer survey evidence in merger inquiries: OFT consultation document; A guide to the OFT's Competition Act 1998 investigation procedures: A consultation paper; Proposal for a European Parliament and Council Regulation amending Council Regulation (EC) No 994/98 of 7 May 1998 on the application of Articles 92 and 93 of the Treaty establishing the European Community to certain categories of horizontal state aid; Common Principles for an Economic Assessment of the Compatibility of State Aid under Article 87(3); Best Practices on the conduct of proceedings concerning Articles 101 and 102 TFEU (Consultation); Best Practices for the Submission of Economic Evidence and Data Collection in Cases Concerning the Application of Articles 101 and 102 TFEU and in Merger Cases (Consultation); Guidance on procedures of the Hearing Officers in proceedings relating to Articles 101 and 102 TFEU (ex- Articles 81 and 82 EC) (Consultation); Draft Commission Regulation on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of research and development agreements; Draft Commission Regulation on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of specialisation agreements; Draft Communication from the Commission: Guidelines on the applicability of Article 101 of the Treaty on the Functioning of the European Union to horizontal co-operation agreements; Communication from the Commission: Amendment of the Temporary Community framework for State aid measures to support access to finance in the current financial and economic crisis (Consultation); Land Agreements: Guidance on the application of competition law following the revocation of the Land Agreements Exclusion Order (Note).