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Thomas Rotsch - Wissenschaftliche und praktische Aspekte der nationalen und internationalen Compliance-Diskussion

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Thomas Rotsch (ed.)

Wissenschaftliche und praktische Aspekte der nationalen und internationalen Compliance-Diskussion

Series: Schriften zu Compliance

Volume 2 2012

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Thomas C. Knierim Erfordernisse und Grenzen der Internal Investigation S. 87-104

„… 77 Erfordernisse und Grenzen der Internal Investigation Thomas C. Knierim I. Begriff der …” „… Internal Investigation 1. Bedeutung der Internal Investigation im Compliance-Umfeld Der Rückzug des …” „… der Siemens AG sind Internal Investigations auch in Deutschland in aller Munde.1 Sie sind in der Regel …”

Inhaltsverzeichnis S. 9-10

„… Deutschland 63 Thomas C. Knierim Erfordernisse und Grenzen der Internal Investigation 77 Oliver Sahan …”

doi.org/10.5771/9783845239569

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 62 General investigations S. 1662-1663

„… . Article 62 General investigations 1. In order to carry out its duties under this Regulation, ESMA may …” „… conduct necessary investigations of persons referred to in Article 61(1). To that end, the officials and …” „… interviewed for the purpose of collecting information relating to the subject matter of an investigation; (e …”

Article 80 Cooperation between competent authorities in supervisory activities, for on-site verifications or investigations S. 381

„… investigations 1. A competent authority of one Member State may request the cooperation of the competent …” „… investigation. In the case of investment firms that are remote members or participants of a regulated market the …” „… investigation, it shall, within the framework of its powers: (a) carry out the verifications or investigations …”

Article 64 Procedural rules for taking supervisory measures and imposing fines S. 1664-1666

„… infringements listed in Annex I, ESMA shall appoint an independent investigation officer within ESMA to …” „… . 2. The investigation officer shall investigate the alleged infringements, taking into account any …” „… comments submitted by the persons who are subject to the investigations, and shall submit a complete file …”

Article 101 Cooperation and information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers S. 1449-1452

„… their powers for the purpose of cooperation, even in cases where the conduct under investigation does …” „… an on-the-spot verification or in an investigation on the territory of the latter within the …” „… respect to an on-the-spot verification or investigation, it shall: (a) carry out the verification or …”

Article 25 Obligation to cooperate S. 844-846

„… particular, they shall exchange information without undue delay and cooperate in investigation, supervision …” „… to criminal investigations or proceedings commenced for possible infringements of this Regulation and …” „… request for information or a request to cooperate with an investigation only in the following exceptional …”

Article 79 Obligation to cooperate S. 379-381

„… relating to criminal investigations or proceedings commenced for possible infringements of this Directive …” „… other Member States. In particular, they shall exchange information and cooperate in any investigation …” „… their powers for the purpose of cooperation, even where the conduct under investigation does not …”

Article 81 Exchange of information S. 381-383

„… investigations 1. A competent authority of one Member State may request the cooperation of the competent …” „… investigation. In the case of investment firms that are remote members or participants of a regulated market the …” „… investigation, it shall, within the framework of its powers: (a) carry out the verifications or investigations …”

Article 63 On-site inspections S. 1663-1664

„… ject matter and purpose of the investigation, the periodic penalty payments provided for in Article …” „… decision reviewed by the Court of Justice. 4. In good time before the investigation, ESMA shall inform the …” „… competent authority of the Member State where the investigation is to be carried out of the investigation …”

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

„… cases where the conduct under investigation does not constitute an infringement of any regulation in …” „… supervisory activity or for an on-the-spot verification or in an investigation on the territory of the latter …” „… request with respect to an on-the-spot verification or investigation, it shall: (a) carry out the …”

Article 61 Request for information S. 1661-1662

„… domiciled or established. Article 62 General investigations 1. In order to carry out its duties under this …” „… Regulation, ESMA may conduct necessary investigations of persons referred to in Article 61(1). To that end …” „… subject matter of an investigation; (e) request records of telephone and data traffic. 2. The officials …”

Article 74 Delegation of tasks by ESMA to competent authorities S. 1670-1672

„… accordance with Article 61 and to conduct investigations and on-site inspections in accordance with Article …” „… investigation activity is legitimated whenever ESMA, while performing its supervisory duties, finds serious …” „… indications of one or more of the above mentioned infringements. An independent investigation officer should …”

Article 24 Cooperation with ESMA S. 843-844

„… without undue delay and cooperate in investigation, supervision and enforcement activities. The obligation …” „… within their jurisdiction to receive specific information related to criminal investigations or …” „… with an investigation only in the following exceptional circumstances, namely where: (a) communication …”

Article 23 Powers of competent authorities S. 838-843

„… have direct access to traders’ systems; (d) to carry out on-site inspections and investigations at …” „… inspection or investigation may be relevant to prove a case of insider dealing or market manipulation …” „… infringing this Regulation; (f) to refer matters for criminal investigation; (g) to require existing …”

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

„… verifications or investigations. I. Purpose Art 98 of UCITSD lists the minimum powers that must be available to …” „… information relating to criminal investigations or proceedings commenced for possible infringements of this …” „… request for information or a request to cooperate with an investigation only in the following exceptional …”

Article 34 Publication of decisions S. 869-874

„… data regarding all criminal investigations undertaken and criminal penalties imposed by the judicial …” „… sanctions, the administrative or criminal investigations carried out and other administrative measures …” „… data, or where such publication would jeopardise an ongoing investigation or the stability of the …”

Article 69 Supervisory powers S. 358-362

„… person with a view to obtaining information; (c) carry out on-site inspections or investigations; (d …” „… criminal prosecution; (i) allow auditors or experts to carry out verifications or investigations; (j …” „… reasonable suspicion of an infringement and where such records may be relevant to an investigation into …”

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 …” „… or entity in one country may spoil the secrecy of an investigation being carried out in another. Note …” „… does not have to assist other competent authorities with their investigations; yet, the requesting …”

Article 22 Competent authorities S. 835-838

„… investigations at sites other than at the private residences of natural persons; (e) subject to the second …” „… inspection or investigation may be relevant to prove a case of insider dealing or market manipulation …” „… infringing this Regulation; (f) to refer matters for criminal investigation; (g) to require existing …”

Article 33 Exchange of information with ESMA S. 868-869

„… anonymised and aggregated data regarding all administrative investigations undertaken in accordance with …” „… investigations undertaken and criminal penalties imposed by the judicial authorities in accordance with Articles …” „… criminal investigations carried out and other administrative measures applied by each Member State.1 The …”

Article 78 Data protection S. 378-379

„… within their jurisdiction to receive specific information relating to criminal investigations or …” „… shall exchange information and cooperate in any investigation or supervisory activities. Competent …” „… of cooperation, even where the conduct under investigation does not constitute an infringement of any …”

Article 29 Publication of decisions S. 1223-1226

„… ) reminds us that the processing of personal data for purposes of supervision and investigation under the TD …” „… ongoing official investigation; 1 Regulation (EU) 2016/679 of the European Parliament and of the Council …” „… jeopardise the stability of the financial system or an ongoing official investigation. It further applies …”

Article 28 S. 1093

„… disclosure is required by national law in the context of further investigation or subsequent judicial …” „… investigation, the competent authorities shall: (a) delay the publication of the decision to impose a sanction …”

Article 83 Refusal to cooperate S. 383

„… time: (a) to carry out a supervisory activity, an on-the-spot verification, or an investigation, as …” „… to act on a request for cooperation in carrying out an investigation, on-the-spot verification or …”

Article 82 Binding mediation S. 383

„… time: (a) to carry out a supervisory activity, an on-the-spot verification, or an investigation, as …” „… to act on a request for cooperation in carrying out an investigation, on-the-spot verification or …”

Article 67 Hearing of the persons concerned S. 1667

„… investigation and in particular to produce complete records, data, procedures or any other material required and …” „… to complete and correct other information provided in an investigation launched by a decision …”

Article 66 Periodic penalty payments S. 1667

„… investigation and in particular to produce complete records, data, procedures or any other material required and …” „… to complete and correct other information provided in an investigation launched by a decision …”

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

„… relevant to an investigation into infringements of this Directive; (ii) existing recordings of telephone …” „… verifications or investigations. I. Purpose Art 98 of UCITSD lists the minimum powers that must be available to …”

Article 68 Disclosure, nature, enforcement and allocation of fines and periodic penalty payments S. 1667-1668

„… investigation and in particular to produce complete records, data, procedures or any other material required and …” „… to complete and correct other information provided in an investigation launched by a decision …”

Article 103 Information exchange in certain cases S. 1453-1454

„… the authorities or bodies responsible under the law for the detection and investigation of breaches of …” „… referred to in paragraph 4 perform their task of detection or investigation with the aid, in view of their …”

Article 27 S. 1092-1093

„… investigation or subsequent judicial proceedings. 3. Member States may provide for competent authorities to …” „… stability of financial markets or an ongoing investigation, the competent authorities shall: (a) delay the …”

Article 84 Consultation prior to authorisation S. 383-384

„… time: (a) to carry out a supervisory activity, an on-the-spot verification, or an investigation, as …” „… to act on a request for cooperation in carrying out an investigation, on-the-spot verification or …”

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

„… investigation under the TD is carried out in accordance with the relevant data protection legislation, in …” „… financial system or an ongoing official investigation; 1 Regulation (EU) 2016/679 of the European Parliament …”

Article 65 Fines S. 1666-1667

„… submit to an investigation and in particular to produce complete records, data, procedures or any other …” „… material required and to complete and correct other information provided in an investigation launched by a …”

Article 99 d Protection of whistleblowers S. 1445-1447

„… by national law in the context of further investigations or subsequent judicial proceedings. 3. ESMA …” „… ) extensive investigation rights (Arts 98, 99 of UCITSD), including a system that facilitates whistle blowing …”

Article 73 Reporting of infringements S. 373-375

„… investigation or subsequent administrative or judicial proceedings. 2. Member States shall require investment …” „… start investigations or proceedings. Background Provisions on whistleblowing are included in most modern …”

Article 72 Exercise of supervisory powers and powers to impose sanctions S. 371-373

„… investigation or subsequent administrative or judicial proceedings. 2. Member States shall require investment …” „… start investigations or proceedings. Background Provisions on whistleblowing are included in most modern …”

Article 29 S. 1093-1095

„… disclosure is required by national law in the context of further investigation or subsequent judicial …” „… investigation, the competent authorities shall: (a) delay the publication of the decision to impose a sanction …”

Article 104 Information exchange with monetary authorities, clearing houses; legislators S. 1454-1457

„… the law for the detection and investigation of breaches of company law. 5. Member States which have …” „… their task of detection or investigation with the aid, in view of their specific competence, of persons …”

Article 32 Reporting of infringements S. 865-868

„… the context of investigations or subsequent judicial proceedings. 3. Member States shall require …” „… anonymised and aggregated data regarding all administrative investigations undertaken in accordance with …”

Article 71 Publication of decisions S. 368-371

„… jeopardises the stability of financial markets or an on-going investigation, Member States shall ensure that …” „… Jörn Axel Kämmerer 369 aggregated data regarding all criminal investigations undertaken and criminal …”

Article 70 Sanctions for infringements S. 362-368

„… investigation or with an inspection or request covered by Article 69 shall also be regarded as an infringement …” „… investigation or request as an infringement of MiFiD II. This is problematic insofar as it appears to contravene …”

Article 11 Market soundings S. 718-730

„… authorities in conducting investigations.’22 The informational requirements laid down in the regulatory …” „… insider dealing by limiting the dissemination of inside information, and to ensure that investigations can …” „… information flow in the course of a possible investigation’, ESMA, Final Report: Guidelines on the Market …”

Article 68 Cooperation between authorities in the same Member State S. 358

„… person with a view to obtaining information; (c) carry out on-site inspections or investigations; (d …”

Article 105 Implementing legislation S. 1457-1458

„… for on-the-spot verifications and investigations and the exchange of information between competent …”

Article 97 Appointment and qualifications of competent authorities S. 1438-1439

„… relevant to an investigation into infringements of this Directive; (ii) existing recordings of telephone …”

Article 73 Supervisory measures by ESMA S. 1669-1670

„… requests for information in accordance with Article 61 and to conduct investigations and on-site …”

Article 106 Reporting of auditors to competent authorities S. 1458-1459

„… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …”

Article 95 Implementing legislation S. 1437-1438

„… , and procedures for on-the-spot verifications and investigations and the exchange of information …”

Article 94 Same disclosures as in UCITS home state S. 1436-1437

„… , and procedures for on-the-spot verifications and investigations and the exchange of information …”

Introduction and overview S. 874-881

„… higher threshold. At the same time, the Commission launched investigations into the relationship between …” „… investigations led to the Commission’s proposal for a Regulation on Short Selling and certain aspects of CDSs …”

Article 99 b Name and shame S. 1444-1445

„… jeopardises the stability of financial markets or an ongoing investigation, Member States shall ensure that …”

Article 30 Transitional provisions S. 1226-1227

„… financial system or an ongoing official investigation. It further applies where it would, in so far as can …”

Article 29 Disclosure of personal data to third countries S. 851-852

„… (b) failure to cooperate or to comply with an investigation, with an inspection or with a request as …”

Article 67 Designation of competent authorities S. 357-358

„… person with a view to obtaining information; (c) carry out on-site inspections or investigations; (d …”

Article 87 Cooperation and exchange of information with ESMA S. 386-387

„… , and investigations and exchange of information between competent authorities in accordance with …”

Article 56 List of regulated markets S. 316-317

„… SA, ‘The New Price Makers: An Investigation into the Impact of Financial Investment on Coffee Price …”

Articles 36 to 39 S. 1301-1303

„… rating agency has the opportunity to comment on the findings of the investigation conducted by ESMA.4 An …”

Articles 26 to 32 S. 1291-1293

„… at national level.3 For example, information requests, investigations or site visits may be delegated …”

Article 108 Delineation of supervisory powers S. 1460-1462

„… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …”

Article 13 a Aggregation S. 1172-1174

„… thorough investigation, ESMA concluded in 2012 that there was no case for regulatory intervention for the …”

Article 88 Exchange of information with third countries S. 387-389

„… supervisory activities, for on-site verifications, and investigations and exchange of information between …”

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

„… investigations or subsequent judicial proceedings. 3. Member States shall require employers who carry out …”

Article 99 a Minimum sanctioning S. 1442-1444

„… data, or where publication jeopardises the stability of financial markets or an ongoing investigation …”

Article 17 S. 588-590

„… financial stability of financial markets or an on-going investigation. Suspension and discontinuance of …”

Article 31 Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligations Christoph Kumpan and Ronny Grütze S. 210-212

„… authority competent for the investigation and prosecution of market abuse and to provide full assistance to …”

Articles 32 to 41 S. 937-939

„… another Member State to perform onsite inspections or investigations (see Art 37 SSR). With regard to the …”

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

„… with an investigation, with an inspection or with a request as referred to in Article 23(2). Member …” „… to comply with an investigation, inspection, or request according to Article 23(2) (Article 30(1 …”

Article 13 Accepted market practices S. 756-767

„… financial instrument within the Union; (f) the outcome of any investigation of the relevant market practice …” „… outcome of any investigations in the markets they monitor pursuant to Art 13(2)(f), in particular …”

Article 93 Notification procedure S. 1433-1436

„… for the purpose of notification, and procedures for on-the-spot verifications and investigations and …”

Article 54 Monitoring of compliance with the rules of the regulated market and with other legal obligations S. 312-315

„… without undue delay to the authority competent for the investigation and prosecution of market abuse on …”

Article 30 Transactions executed with eligible counterparties S. 207-210

„… the authority competent for the investigation and prosecution of market abuse and to provide full …”

Article 58 Position reporting by categories of position holders S. 334-339

„… investigation is the overall deliverable supply of a commodity. The reporting obligation exists only where the …”

Titelei/Inhaltsverzeichnis

„… verifications or investigations …”

Article 3 Definitions S. 1236-1242

„… under investigation with regard to a specific objective, indicated by classification into an (ordinal …”

Article 13 S. 1163-1172

„… consultation were published.55 After a thorough investigation, ESMA concluded in 2012 that there was no case …”

Article 18 Insider lists S. 799-808

„… investigation.35 An update is required in the following circumstances: (a) where there is a change in the reason …”

Article 1 Scope and UCITS definition S. 1304-1317

„… for the purpose of notification, and procedures for on-the-spot verifications and investigations and …”

Article 57 Position limits and position management controls in commodity derivatives S. 317-334

„… Price Makers: An Investigation into the Impact of Financial Investment on Coffee Price Behavior’ Swiss …”

Article 17 Public disclosure of inside information S. 778-799

„… disclosure duty. If a leak or rumour would have to originate from an issuer, a timeconsuming investigation …”

Article 12 Market manipulation S. 730-756

„… manipulation comprehensively and published the results of the investigation in the Wheatley Review of LIBOR …”

Article 16 Organisational requirements S. 65-120

„… . Investment firms shall establish a complaints management function responsible for the investigation of …”

doi.org/10.5771/9783845279893

Stephan Wollbrink - A Violation of International Law as a Necessary Element of a "Threat to the Peace" under the UN Charter

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Stephan Wollbrink

A Violation of International Law as a Necessary Element of a "Threat to the Peace" under the UN Charter

Series: Nomos Universitätsschriften - Recht

Volume 840 2014

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Reason for investigation S. 19-24

„… IntroductionReason for investigationThe First World War from 1914 to 1918 marked a new era of …” „… . 542 ff.A. Reason for investigation21views among international law scholars that the Security Council …” „… recital 85622 Fischer in: Ipsen/Menzel (ed.), Völkerrecht, § 60 recital 8A. Reason for investigation23this …”

Systematic interpretation S. 54-69

„… assessment after havingcompleted its investigations. With this understanding, the first two alternatives in …” „… Consequently, a Member State subjectto investigation is obligated to facilitate it and respond to inquiries by …” „… limited to investigations ofwhether or not the maintenance of peace is endangered, including whetheror not …”

Analysis S. 293

„… or at least tried to prevent the investigation of the bombing.1065 In response,the Security Council …”

Determinations of Article 39 situations in the past S. 33-43

„… the scope of this analysis, it needs to be stressed that this investigation will not evaluate whether …” „… investigation and prosecution of casesinvolving UN personnel82. As those resolutions had a general abstract …”

Background S. 230-231

„… VII Resolutions that ordered investigations of the assassinations and authorized the Secretary-General …”

Analysis S. 231-232

„… request. It adopted two Chapter VII Resolutions that ordered investigations of the assassinations and …”

Background S. 292-293

„… Chapter VII Resolutions292or at least tried to prevent the investigation of the bombing.1065 In …”

Background S. 293-294

„… or at least tried to prevent the investigation of the bombing.1065 In response,the Security Council …”

Abbreviations / Definitions S. 17-19

„… DestructionAbbreviations / Definitions18IntroductionReason for investigationThe First World War from 1914 to 1918 marked a …”

Key objective S. 24-25

„… investigation, international law comprises the traditional sources of international law as laid down in Article …”

Burden of proof S. 112-113

„… investigations under Article 34.351 In addition, ifand when the Security Council is unable to take the necessary …”

Conclusion regarding requirements regarding the unlawful act S. 113-114

„… investigations under Article 34.351 In addition, ifand when the Security Council is unable to take the necessary …”

Method and structure S. 25-28

„… interpretation, however, is the teleological analysis. This investigation concentrates on the role of the …”

Vorwort S. 5-17

„… Reason for investigationA. 19Key objectiveB. 24Method and structureC. 25A violation of international law …”

Definition of Chapter VII Resolutions S. 28-33

„… stressed that this investigation will not evaluate whether past Chapter VII Resolutions were incompliance …”

Summary and final remarks S. 196-202

„… measure if it hinders necessary investigations. In this case, it isup to the addressed state to convince …”

Teleological interpretation S. 69-98

„… are working on the investigation of the charge.249 However,while making clear that nothing has been …” „… interfere with the privacy of anindividual as they require investigation and storage of personal data …”

doi.org/10.5771/9783845252285