Regulating Corporate Criminal Liability

352 Pages·2014·2.751 MB·English

by  Dominik Brodowski, Manuel Espinoza de los Monteros de la Parra, Klaus Tiedemann, Joachim Vogel (eds.)

Dominik Brodowski
Manuel Espinoza de los Monteros de la Parra
Klaus Tiedemann · Joachim Vogel Editors
Regulating
Corporate
Criminal Liability
Regulating Corporate Criminal Liability
ThiSisaFMBlankPage
Dominik Brodowski (cid:129) Manuel Espinoza de los
Monteros de la Parra (cid:129) Klaus Tiedemann (cid:129)
✠
Joachim Vogel
Editors
Regulating Corporate
Criminal Liability
Editors
DominikBrodowski ManuelEspinozadelosMonterosdelaParra
FacultyofLaw ROXINRechtsanwa¨lteLLP
LMUMunich Munich
Munich Germany
Germany
KlausTiedemann JoachimVogel✠
UniversityofFribourg FacultyofLaw
Freiburg LMUMunich
Germany Munich
Germany
ISBN978-3-319-05992-1 ISBN978-3-319-05993-8(eBook)
DOI10.1007/978-3-319-05993-8
SpringerChamHeidelbergNewYorkDordrechtLondon
LibraryofCongressControlNumber:2014943451
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Preface
✠
Dedicationtoourco-editor,ProfessorDr.JoachimVogel
On 17 August 2013, a family of five lost its father in a tragic boating accident in
Venice, Italy—and the world of criminal justice lost one of its brightest stars,
Joachim Vogel. As a professor at the University of Munich and as a judge at the
OberlandesgerichtMunich,hebuiltbridgesbetweenacademiaandthejudiciary;as
aninspiringmentorandenthusiasticacademicteacher,hebridgedthegapbetween
legalsystemsandbetweengenerations.Withouthimandwithouthisdedicationto
regulatoryaspectsofcorporatecriminaljustice,thisbookwouldneverbe.
Munich,Germany DominikBrodowski
Munich,Germany ManuelEspinozadelosMonterosdelaParra
Freiburg,Germany KlausTiedemann
v
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Contents
RegulatingCorporateCriminalLiability:AnIntroduction. . . . . . . . . . 1
DominikBrodowski,ManuelEspinozadelosMonterosdelaParra,
andKlausTiedemann
PartI RegulatoryOptionsinCorporateCriminalLiability
CorporateCriminalLiabilityasaThirdTrack. . . . . . . . . . . . . . . . . . . 11
KlausTiedemann
WhereIstheMoralIndignationOverCorporateCrime?. . . . . . . . . . . 19
WilliamS.Laufer
APsychologicalPerspectiveonPunishingCorporateEntities. . . . . . . . 33
AvitalMentovichandMoranCerf
DecisionandPunishment:Or—HoldBankersResponsible!Corporate
CriminalLiabilityfromanEconomicPerspective. . . . . . . . . . . . . . . . . 47
PatrickBernau
CorporateCriminalLiabilityfromaComparativePerspective. . . . . . . 53
MarcEngelhart
PartII ModelsinAttributingCriminalLiabilitytoCorporations
TheAustrianModelofAttributingCriminalResponsibilitytoLegal
Entities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
AndreaLehner
TheBelgiande´cumulRule:AsuigenerisApproachtoCriminal
LiabilityofCorporateAgents. . . . .. . . . .. . . . .. . . . . .. . . . .. . . . . .. 87
EmmanuelleDeBock
vii
viii Contents
‘TriggeringPersons’in‘ExCrimine’LiabilityofLegalEntities. . . . . . 95
AnnaSalvinaValenzano
CorporateCriminalLiabilityinItaly:CriteriaforAscribing
“ActusReus”andUnintentionalCrimes. . . . . . . . . . . . . . . . . . . . . . . . 109
CamillaCravettoandEmanueleZanalda
PartIII CorporateCrimes:Corruption,MoneyLaunderingand
Beyond
MitigatingtheRisksofCorruptionThroughCollectiveAction. . . . . . . 125
GemmaAiolfi
TheNewMoneyLaunderingLawinBrazil:UnderstandingCriminal
CompliancePrograms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
EduardoSaad-Diniz
TheConceptofDefiningandCombatingMarketManipulationin
ExistingandProposedEULegislation. . . . . . . . . . . . . . . . . . . . . . . . . . 145
AnnaBlachnio-Parzych
MarketManipulationandCompliance. . . . . . . . . . . . . . . . . . . . . . . . . 159
Axel-DirkBlumenberg
TowardsanEUStrategytoCombatTraffickingandLabor
ExploitationintheSupplyChain.ConnectingCorporate
CriminalLiabilityandState-ImposedSelf-RegulationThrough
DueDiligence?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
YasminVanDammeandGertVermeulen
PartIV CorporateCriminalProcedureandCriminalCompliance
CorporateCriminalLiability:ToolorObstacletoProsecution?. . . . . . 197
AnaMar´ıaNeiraPena
MinimumProceduralRightsforCorporationsinCorporate
CriminalProcedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
DominikBrodowski
ComplianceProgramsasEvidenceinCriminalCases. . . . . . . . . . . . . . 227
JordiGimenoBevia´
PartV TransnationalEnforcementofCorporateCriminal
Liability
OnLawEnforcementThroughAgreementsBetweentheUS
RegulatoryAuthoritiesandForeignCorporations. . . . . . . . . . . . . . . . . 237
YurikaIshii
Contents ix
CorporateCriminalLiabilityandConflictsofJurisdiction. . . . . . . . . . 249
AnneSchneider
Transnational“NeBisInIdem”PrincipleandEuropean
CompetitionLawwithRegardtotheDifferentApproachesto
CorporateCriminalLiabilityAmongEUMemberStates. . . . . . . . . . . 261
AikateriniTzouma
PartVI InternationalCorporateCriminalLiability
TheFifthCrimeUnderInternationalCriminalLaw:Ecocide?. . . . . . . 273
JacquelineHellman
CorporateInvolvementinInternationalCrimes:AnAnalysisofthe
HypotheticalExtensionoftheInternationalCriminalCourt’s
MandatetoIncludeLegalPersons. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
LynnVerrydt
PartVII SanctioningCorporations:LookingBeyondFines
EqualTreatmentandCorporateCriminalLiability:NeedforEU
InterventioninPublicProcurement?. . . . . . . . . . . . . . . . . . . . . . . . . . . 297
WendyDeBondt
AreThereAnySuitableSanctionsforNewForms
ofCorporateOffences?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
DevrimAydın
TheNewGermanRingfencingActEstablishingCriminalLiability
ofBankingandInsuranceExecutivesforFailuresinRisk
Management:AStepTowardsCorporateCriminalLiability?. . . . . . . 321
ThomasRichter
PartVIII TheFutureofCorporateCriminalLiability
RethinkingCorporateCriminalLiability. . . . . . . . . . . . . . . . . . . . . . . . 337
✠
JoachimVogel
PartIX ThirdAIDPSymposiumforYoungPenalists
ThirdAIDPSymposiumforYoungPenalists. . . . . . . . . . . . . . . . . . . . . 345
StijnLamberigts