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Thomas Brändle

Selection of Public Servants into Politics

Series: Neue Studien zur Politischen Ökonomie

Volume 12 2013

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Political sanctioning S. 17-18

„… Political sanctioningIn order to achieve good government, research in political economy has addressed …” „… offurther research questions will be pointed out.1 Two complementary views: sanctioning and selection1.1 …” „… control of politicians and thus the electoral sanctioning ofpoliticians since policy choices are better …”

The trade-off between conflicts of interest and competence S. 47-49

„… considered an (ex-ante) sanctioning device. Second,the same rules reduce conflicts of interest through their …” „… services with strict incompatibility owing to either its sanctioning effect, itseffect on political …”

Implications for constitutional choice S. 117-119

„… to either its sanctioning effect, its effect on political selection, or both. The U.S. Hatch Act …” „… via ex-ante sanctioning or viaselection, or via both channels. However, they simultaneously hinder a …”

Titelei/Inhaltsverzeichnis S. 2-12

„… Introduction 13II Economics of Political Selection 171 Two complementary views: sanctioning and selection 171.1 …” „… Political sanctioning 171.2 Political selection 182 Which institutions impact political selection? 202.1 Pay …”

Results S. 41-47

„… parliamentary seat. Theincompatibility rule can thus be considered an (ex-ante) sanctioning device. Second,the …” „… owing to either its sanctioning effect, itseffect on political selection, or both.However, a trade-off …”

Political selection S. 18-20

„… sanctioning ofpoliticians since policy choices are better individually attributable. The importance ofand the …”

Summary S. 115-117

„… to either its sanctioning effect, its effect on political selection, or both. The U.S. Hatch Act …”

Introduction S. 13-16

„… incompatibility rules, traditionally considered as (ex-ante)sanctioning instruments, and a broader set of related …”

References S. 121-134

„… Types versus Sanctioning Poor Performance. In: Adam Przeworski,Susan C. Stokes and Bernard Manin (eds …”

doi.org/10.5771/9783845246437

Matthias Lehmann, Christoph Kumpan - European Financial Services Law

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Matthias Lehmann (ed.), Christoph Kumpan (ed.)

European Financial Services Law

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2019

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Article 28 b Sanctioning powers S. 1219-1222

„… notifications under Articles 9, 10, 12, 13 and 13 a are included. Article 28 b Sanctioning powers (1) In the …” „… . Purpose Article 28 b complements Article 28 a by mandating a minimum list of sanctioning powers that must …” „… voting rights. II. Sanctioning powers for serious breaches Article 28b(1) provides for a list of …”

Article 99 a Minimum sanctioning S. 1442-1444

„… points (e), (f) and (g) of paragraph 6. Commented below, see → Art 99 d. Article 99 a Minimum sanctioning …”

Article 28 c Exercise of sanctioning powers S. 1222-1223

„… sanctioning powers (1) Member States shall ensure that, when determining the type and level of administrative …” „… of the Exercise of Voting Rights: A Step Towards Deterrent and Consistent Sanctioning of EU …” „… ’ Chapter VIA by prescribing the way the sanctioning powers are exercised. In particular, it provides for a …”

Article 99 Sanctioning powers of competent authorities; minimum sanctions S. 1440-1442

„… permits such use.1 Article 99 Sanctioning powers of competent authorities; minimum sanctions 1. Without …” „… below, see → Art 99 d. Article 99 a Minimum sanctioning Member States shall ensure that their laws …”

Article 99 c Factors to be taken into account when sanctioning S. 1445

„… account when sanctioning 1. Member States shall ensure that when determining the type of administrative …”

Article 28 Administrative measures and sanctions S. 1216-1219

„… . Background Before 2013, the TD did not contain any significant sanctioning powers. There were just some …” „… , the Commission published a communication under the title ‘Reinforcing sanctioning regimes in the …” „… divergence of national sanctioning regimes of Member States in relation to the TD, providing an exhaustive …”

Article 99 d Protection of whistleblowers S. 1445-1447

„… account when sanctioning 1. Member States shall ensure that when determining the type of administrative …” „… UCITSD, introduced by UCITSD V, implement the European harmonised sanctioning regime into the Directive …” „… supervisory system and provide incentives for regulatory arbitrage. The sanctioning model follows the example …”

Article 99 e Reporting of penalties to ESMA S. 1447-1448

„… authorities have drawn up a sanctioning method to justify the degree to which the sanctioning …” „… goes hand in hand with a certain level of (severe) sanctioning. The absence of penalties may signal 1 …” „… 99e(1) of UCITSD, which is to ensure an effective level of sanctioning from the perspective of the …”

Article 25 Professional secrecy and cooperation between Member States S. 1208-1210

„… the exercise of their sanctioning and investigative powers, competent authorities shall cooperate to …” „… this is necessary. For purposes of investigating under Article 24(4 a) and sanctioning under Articles …” „… should coordinate their sanctioning and investigating actions. If an NCA refuses to cooperate or does not …”

Article 24 Competent authorities and their powers S. 1204-1208

„… shall exercise their sanctioning powers, in accordance with this Directive and national law, in any of …” „… ) specifies how NCAs are to exercise their sanctioning powers under Articles 28-28 c. III. Caveats The final …” „… render assistance to competent authorities of other Member States. In the exercise of their sanctioning …”

Articles 32 to 41 S. 937-939

„… sanctioning regime as provided by MAR1 and CRIM- MAD2.3 Competent authorities (Art 32) Each Member State is …” „… reinforcing sanctioning regimes in the financial services sector of 2010,10 Art 41 SSR requires the Member …”

Article 29 Publication of decisions S. 1223-1226

„… way the sanctioning powers are exercised. In particular, it provides for a list of criteria which NCAs …” „… have to take into account. II. Sanctioning criteria As a starting point, when NCAs choose both the …”

Article 2 Definitions S. 624-627

„… efficient financial market in the EU. The de Larosière report described the sanctioning regimes of the …” „… MAD 2014. Furthermore, pursuant to Art 1(4)(c), MAD 2014 requires the sanctioning of benchmark …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 28 a 1219 Sanctioning powers …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 28 b 1219 Exercise of sanctioning powers …”

Article 1 Subject matter and scope S. 1099-1104

„… Deterrent and Consistent Sanctioning of EU Transparency Requirements?’ (2017) 14 European Company Law …” „… detailed and rigid sanctioning system (see → Art 28-28 c). This includes a public statement indicating a …”

Article 28 a Breaches S. 1219

„… notifications under Articles 9, 10, 12, 13 and 13 a are included. Article 28 b Sanctioning powers (1) In the …”

Article 98 Powers of competent authorities; inquiry rights S. 1439-1440

„… permits such use.1 Article 99 Sanctioning powers of competent authorities; minimum sanctions 1. Without …”

Article 99 b Name and shame S. 1444-1445

„… account when sanctioning 1. Member States shall ensure that when determining the type of administrative …”

Article 100 Consumer complaints and alternative dispute resolution S. 1448-1449

„… , which is to ensure an effective level of sanctioning from the perspective of the Single Market. Given …”

Introduction S. 644-650

„… strengthening the investigative and sanctioning powers of regulators.40 Importantly, to address the observations …” „… field of criminal law.43 Accordingly, there is no uniformly applicable sanctioning regime for market …”

Index S. 1785-1803

„… . – purpose TD 4 1 – responsibility TD 7 6 et seq. – responsibility statement TD 4 14 – sanctioning power …” „… TD 6 11 – responsibility TD 7 6 et seq. – sanctioning power TD 28b 1 et seq. Half-yearly financial …” „… – responsibility TD 7 6 et seq. – responsibility statement TD 5 23 – sanctioning power TD 28b 1 et seq. Hedging …”

Article 31 Exercise of supervisory powers and imposition of sanctions S. 863-865

„… authority (including type of sanction, amount, addressees, etc.) and to align their respective sanctioning …”

Article 34 S. 1097-1099

„… Voting Rights: A Step Towards Deterrent and Consistent Sanctioning of EU Transparency Requirements …”

Article 7 Responsibility and liability S. 1135-1137

„… liability rules apply to them. This has to be seen together with the new sanctioning powers required by …”

Article 108 Delineation of supervisory powers S. 1460-1462

„… instance tax and labour legislation. Since supervision comprises sanctioning powers, certain serious …”

Articles 42 to 48 S. 939-941

„… . Penalties (Art 41) Against the background of the Commission’s Communication on reinforcing sanctioning …”

Article 26 Cooperation with third countries S. 846-849

„… investigation may arise where market actors are related in a way that the prosecution or sanctioning of a person …”

Article 9 Sanctions for legal persons S. 637-640

„… their national laws to establish a criminal sanctioning regime applicable to legal persons.2 However …”

Article 6 Report on payments to governments S. 1131-1135

„… the new sanctioning powers required by Chapter VIA (→ Art 28-28 c). Context Article 7 was drafted in …”

Articles 27 to 31 S. 934-937

„… sanctioning regime as provided by MAR1 and CRIM- MAD2.3 Competent authorities (Art 32) Each Member State is …”

Article 35 Establishment of a branch S. 227-233

„… charge of sanctioning. Only where the host NCA remains inactive, the home NCA may sanction those …”

Article 17 Algorithmic trading S. 120-134

„… benefits. Sanctioning See comments on → Art 69 MiFID for sanctions. The provision in Art 69(2) para 3 MiFID …”

Article 30 Administrative sanctions and other administrative measures S. 852-863

„… on the sanctioning body: administrative sanctions are those imposed by what MAR calls the competent …”

Article 8 Insider dealing S. 692-705

„… prohibition can be enforced effectively – applies here. It would impede the effective sanctioning of insider …”

Article 16 Organisational requirements S. 65-120

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 9. Sanctioning …”

Article 12 Market manipulation S. 730-756

„… , 7 November 2013, SAN-2013-24, sanctioning a former university professor in finance for alleging in a …”

doi.org/10.5771/9783845279893

Jos van Doormaal - Nonlegal Sanctioning in Private Legal Systems

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Jos van Doormaal

Nonlegal Sanctioning in Private Legal Systems

Series: Wirtschaftsrecht und Wirtschaftspolitik

Volume 306 2021

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Titelei/Inhaltsverzeichnis S. 1-24

„… sanctioningII. 75 Blacklisting1. 75 Withdrawing membership2. 76 Denying membership for expelled members on the …” „… private enforcement/nonlegal sanctioningIII. 78 Table of Contents 8 The Diamond Dealers ClubC. 79 …” „… sanctioningII. 89 Blacklisting1. 89 Withdrawing membership2. 90 Rationale for private enforcement/nonlegal …”

Introduction S. 25-34

„… regard to the US legal system, nonlegal sanctioning “can” make all three actors liable under Section 1 of …” „… of the Sherman Act when extrajudicial sanctioning classifies, as an illegal monopoly, an anti- 8 For …” „… – non-members engaged in nonlegal sanctioning can infringe Article 101 TFEU if such measures classify as …”

Part I: Framework and Research Question S. 35-186

„… . Hence, according to Lanni, the deterrent effect of social sanctioning, in particular, reputational loss …” „… ” Especially in the last years of the Roman Republic, nonlegal sanctioning was used by politicians when they …” „… sanctioning.59 Examples can be found in some present-day industries that are described in Chapter 2 (Paragraph …”

Part IV: Summary, Conclusions and Best Practice Guidelines S. 429-474

„… the Roman Empire,1228 Lex Mercatoria in Middle Ages,1229 and the nonlegal sanctioning of disloyal …” „… associations researched Before a statement on the limits of nonlegal sanctioning and the introduction of the …” „… explain why extrajudicial sanctioning is a better option for the first group of trade associations relates …”

Part II: Study of US Antitrust Law S. 187-282

„… non-members can be held accountable for their participation in the practice of nonlegal sanctioning under …” „… regard to nonlegal sanctioning pursuant to Section 1 of the Sherman Act can be better scrutinized rather …” „… actors involved in nonlegal sanctioning must qualify as a corporation or individual (Paragraph B). Second …”

Part III: Study of EU Competition Law S. 283-428

„… imposition of nonlegal sanctioning and their members and non-members for their role in the execution of those …” „… their services (including nonlegal sanctioning to ensure the operability of specialized commercial …” „… Antitrust Law has demonstrated, the effect of nonlegal sanctioning on targeted wrongdoers can result in …”

doi.org/10.5771/9783748926245

Robert Grzeszczak - Economic Freedom and Market Regulation

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Robert Grzeszczak (ed.)

Economic Freedom and Market Regulation

Series: German and European Studies of the Willy Brandt Center at the Wroclaw University

Volume 10 2020

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Artur Szmigielski Chapter 6: Limits of investigative and sanctioning powers of competition authorities S. 149-166

„… Limits of investigative and sanctioning powers of competition authorities Artur Szmigielski Key …” „… in‐ vestigative and sanctioning powers of NCAs will be harmonised at EU level. On the one hand, the …” „… internal market, OJ L 11, 14.1.2019, pp. 3–33 (hereinafter: “ECN+ Directive”). 149 tigative and sanctioning …”

Robert Grzeszczak Introduction S. 7-24

„… lim‐ its on the investigative and sanctioning powers of competition authorities such as power to …” „… before market regulators. These authorities have a number of inquisitive, judicial, and sanctioning …” „… next chapter, Artur Szmigielski presents the limits of investigation and sanctioning powers of …”

Michalina Szpyrka Chapter 5: The importance of fines in the market regulation process citing the example of the Polish telecommunications market S. 133-148

„… to the inquisitorial and sanctioning powers of public administration bodies (Bernatt, 2011:27). The …” „… fines (far-reaching powers of the regulator in terms of investiga‐ tion, decision-making and sanctioning …” „… inquisi‐ tory, decision-making and sanctioning powers, which makes the en‐ trepreneur a weaker party …”

Titelei/Inhaltsverzeichnis S. 1-6

„… of investigative and sanctioning powers of competition authorities Chapter 6: 149 Artur Szmigielski …”

Michał Dorociak Chapter 4: Regulatory authorities’ interference in contractual relationships S. 101-132

„… interfere in contractual relations. He proposed the intro‐ duction of a sanctioning procedure that is …”

Tomasz Klemt Chapter 3: Methods and tools of regulating markets from a praxeological perspective S. 69-100

„… addition, it is important that sanctioning proce‐ dures are implemented faster. Mediation is considered a …”

doi.org/10.5771/9783748908463

Charis Papacharalambous - The Aims of Punishment

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Charis Papacharalambous (ed.)

The Aims of Punishment

2020

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Gorad Meško, Bojan Tičar, Rok Hacin The Aims of Punishment, Sanctioning and Imprisonment in Slovenia – Transitional Criminal Justice Perspectives S. 185-212

„… The Aims of Punishment, Sanctioning and Imprisonment in Slovenia – Transitional Criminal Justice …” „… Plesničar & Drobnjak 2019: passim. 3 Flander & Meško 2013: passim. Punishment, Sanctioning and Imprisonment …” „… Code of the Socialist Republic of Slovenia 1977. Punishment, Sanctioning and Imprisonment in Slovenia …”

Ioannis Gkountis The Unwarranted Use of Criminal Law as a Tool for Crisis-Management: The Case of Symbolic Criminal Legislation S. 73-84

„… attempt of sanctioning certain conducts 1 Roxin 2006: 16; Baumann et al. 2003: 10 et seq.; Kindhäuser …” „… not only strongly contradicts the true purpose of criminal sanctioning, but also reduces criminal …”

Frank Saliger About the Communicative Factor in Newer, Especially Expressive Penal Theories – A Few Critical Remarks S. 39-52

„… for sanctioning that goes beyond the mere expression of legal wrong and guilt. The willingness of the …” „… of sanctioning”.49 This scope for symbolic criminal law is formulated in such a way that it must …”

Charis Papacharalambous Penal Populism and the Aims of Punishment. The Emergence of Policed Democracy S. 21-38

„… the ‘three strikes doctrine’, the austere sanctioning of low-level drug offences, the ‘doli incapax …” „… public deems as utmost worthy of censure, because otherwise sanctioning would be confronted with total …”

Contributors S. 305-312

„… , capital market criminal law, party criminal law, sanctioning of as-sociations), medical criminal law …”

Titelei/Inhaltsverzeichnis

„… 167 Gorad Meško · Bojan Tičar · Rok Hacin The Aims of Punishment, Sanctioning and Imprisonment in …”

doi.org/10.5771/9783748922384

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