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Delivering Collective Redress / Ombudsmen
Delivering Collective Redress / Ombudsmen
Contents
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Titelei/Inhaltsverzeichnis
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1–10
1. Introduction: The Scope and the Criteria
1–10
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I. Background and Principal Objective
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II. The Techniques
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III. Description of the Project and Methodology
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IV. Criteria for Evaluation of Mechanisms
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V. General Outline of this Book
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VI. Major Findings
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A. Empirical Findings
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B. Changes in the Dispute Resolution Landscape
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C. Fundamental Goals of Redress
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D. The Objectives for Market Regulation
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11–42
2. European Policy and Mechanisms for Collective Redress
11–42
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I. Diverse Approaches and Piecemeal Legislation
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II. The Public–Private Split
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III. Objectives and Outcomes Replace Mechanisms
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IV. Consumer Enforcement
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A. The CPC Regulation
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B. The Injunctions Directive
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C. Small Claims
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D. Consumer ADR
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V. Consumer Collective Redress: Policy Debates
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VI. Commission’s Recommendation on Collective Redress Mechanisms
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A. Principles Common to Injunctive and Compensatory Collective Redress
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B. Specifi c Principles Relating to Injunctive Collective Redress
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C. Specifi c Principles Relating to Compensatory Collective Redress
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D. Registry of Collective Redress Actions
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E. Supervision and 2018 Report
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VII. The Political and Technical Conundrum
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VIII. Business Concerns on Ineffective Safeguards
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IX. Consumer Concerns from Business Scandals
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X. Proposals in 2016/17
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XI. Competition Damages
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A. Courage
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B. Directive on Antitrust Damages Actions
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XII. Data Protection
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XIII. Investors
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XIV. Conclusions
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43–144
3. Collective Actions
43–144
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I. Introduction
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II. Belgium
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A. Overview
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B. Case Studies
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III. Bulgaria
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IV. England and Wales
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A. Representative Action
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B. Group Litigation Order (GLO)
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C. Case Studies: GLO
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D. The Competition Damages Class Action
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E. Early Competition Damages Cases
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F. Cases under the 2015 Competition Damages Action
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V. Finland
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VI. France
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A. The Action de Groupe
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B. Case Studies: Action de Groupe
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C. The Action en Représentation Conjoint
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VII. Germany
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A. Representative Actions for Cease and Desist Orders
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B. Actions for Skimming-off Illegally Gained Profi ts
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C. Case Studies: Actions for Skimming-off Illegally Gained Profi ts
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D. Test Case Proceedings by Consumer Associations
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E. Capital Market Test Case Proceedings (KapMuG)
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F. Case Studies: Capital Market Test Case Proceedings (KapMuG)
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VIII. Italy
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A. Class Actions
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B. Case Studies: Class Actions
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C. Representative Actions
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IX. Lithuania
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A. Representative Action Aiming to Protect the Public Interest
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B. Group Actions
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X. The Netherlands
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XI. Poland
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A. Polish Class Actions Act
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B. Scope
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C. Standardisation Requirement for Monetary Claims
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D. Contingency Fees
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E. Other Costs and Funding Issues
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F. Security for Costs
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G. Proceedings
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H. Statistical Information
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XII. Sweden
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A. Group Actions
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B. Case Studies: Group Actions
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145–152
4. Criminal Compensation: Stand-alone and Consecutive Piggy-back
145–152
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I. Belgium
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A. Partie Civile Technique
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B. Special Masters
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II. United Kingdom
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A. Compensation Orders in Criminal Proceedings
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B. Disgorgement of Profi ts
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153–210
5. Regulatory Redress
153–210
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I. Concept
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II. The Range of Mechanisms of Regulatory Redress
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A. Infl uence
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B. Approval
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C. Coercion
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III. Examples of the Powers
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A. Belgium
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B. Denmark
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i. The ‘Opt-out’ Class Action
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ii. Case Studies
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C. Finland
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D. Italy
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i. The Italian Competition Authority
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ii. The Italian Regulatory Authority for Electricity Gas and Water
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iii. Institution for the Supervision of Insurance
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iv. The Italian Data Protection Authority
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v. The Italian Central Bank
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vi. Evaluation
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E. United Kingdom
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i. Development of Regulatory Redress
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ii. The 2015 Consumer Redress Powers
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iii. Redress Powers in Selected Sectors
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a. Financial Services
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b. Communications
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c. Gas and Electricity
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d. Water
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e. Railways
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f. Environmental Protection
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g. Gambling
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h. Competition
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211–260
6. Ombudsmen
211–260
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I. Typology
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II. National Ombudsmen Schemes
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A. Belgium
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i. Consumer Mediation Service
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ii. Ombudsmen
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iii. Belmed
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B. France
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i. Compensation Schemes
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C. Italy
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D. Sweden
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i. The Group Procedure for Consumer Disputes
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ii. Case Studies
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E. The Netherlands
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F. United Kingdom
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i. The Landscape of Consumer Ombudsmen
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ii. The Financial Ombudsman Service
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iii. Integrated Voluntary, Regulatory and Ombudsman Redress: PPI
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iv. Ombudsman Services: Energy, Communications, Property and Others
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261–282
7. Reassessing the Objectives
261–282
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I. The Primary Objectives
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A. Subsidiary Process Objectives
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II. Delivering Compensation
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A. Social Solidarity and Risk Spreading
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B. Justifi cations for Tort Liability
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III. Affecting Future Behaviour
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A. Deterrence in Traditional Legal Theory of Individual Actions and Enforcement
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B. The Economic Theory of Deterrence
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C. Criticisms of Economic Analysis of Liability Law
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D. Adding the Time Dimension
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E. Regulators’ Abandonment of Deterrence for Supportive Responsive Policies on Achieving Compliance
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F. Affecting Corporate Behaviour
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G. Behavioural Science on How People Make Decisions
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H. Conclusions on Deterrence
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IV. Empirical Evidence on the Failure of the US Class Action as a Regulatory Mechanism
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V. The Objectives Restated: Multi-functionalism
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283–312
8. Conclusions
283–312
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I. Overview of the Mechanisms
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A. Collective Actions
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i. Italy
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ii. Poland
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iii. England and Wales
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a. Examples of Cases
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b. Assessment
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B. Partie Civile
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i. Examples of Cases
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ii. Assessment
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C. Regulatory Redress
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i. Examples of Cases
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ii. Assessment
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D. Consumer Ombudsmen
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i. Examples of Cases
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ii. Assessment
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II. Applying the Criteria
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A. Criteria 1: Advice
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B. Criteria 2: Identifi cation of Infringement and Harm
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C. Criteria 3: Identifi cation of People Harmed and Due Redress
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D. Criteria 4: Access
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E. Criteria 5: Cost to Access
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F. Criteria 6: Triage
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G. Criteria 7: Duration
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H. Criteria 8: Costs
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I. Criteria 9: Outcomes
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J. Criteria 10: Compensation for Loss: Making Whole
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K. Criteria 11: Changes in Behaviour
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L. Summary
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III. Empirical Conclusions on the Mechanisms
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IV. Implications of the Findings
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A. Changes in the Dispute Resolution Landscape: A Shift to New Technologies
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B. Redress as an Integral Function in Control of Markets
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C. The Objectives for Market Regulation
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D. A Shift in Intermediaries
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E. Shifting from Old to New Technology
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F. The Need for Independent Intermediaries
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G. What Traditional Redress Systems Will Fail to Achieve
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H. The Need to Re-examine Mechanisms for Controlling Market Behaviour (Enforcement)
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I. Restatement of the Fundamental Goals of Redress Systems
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J. Facilitating Settlement: The Requirement for Structures to be Available
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K. The Requirement to Base Policy on an Examination of all the Options, and on Empirical Evidence
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L. Summary of Implications for Policy on Collective Redress
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313–342
Annex
313–342
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I. Damages Cases
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A. Collective Private Litigation
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B. Civil Piggy-back on Criminal
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C. Regulatory Redress
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D. Ombuds
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II. Cases Involving Injunctions/Market Behaviour (Not Compensation)
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III. Cases Identifi ed by BEUC and COJEF
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343–352
Index
343–352
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Delivering Collective Redress , page 211 - 260
Ombudsmen
Autoren
Christopher Hodges
Stefaan M. Voet
DOI
doi.org/10.5771/9783845292359-211
ISBN print: 978-3-8487-5063-4
ISBN online: 978-3-8452-9235-9
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