ICC Antitrust Compliance Toolkit English version

No. Free011

ISBN : Free0011

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The ICC Antitrust Compliance Toolkit was launched on 22 April 2013 at the 5th ICC Roundtable on Competition Policy in Warsaw and can be downloaded free of charge below.

One key feature of this Toolkit is that it is designed by business for business. It draws on considerable expertise from in-house antitrust lawyers in larger companies, and from the expertise of the private Bar experienced in advising both SMEs and larger companies.

Introduction

The ICC Antitrust Compliance Toolkit is intended to provide practical tools for companies wishing to build a robust antitrust compliance programme. It seeks to complement materials produced by antitrust agencies and other sources of guidance, by focusing on practical steps companies can take internally to embed a successful compliance culture.

This Toolkit reflects contributions from antitrust specialists closely associated with in-house compliance efforts in both small and larger companies around the world. The Toolkit does not delve into the complexity of the laws in each jurisdiction, but sets out a proposed approach to antitrust compliance that you can use globally in any country, whether that jurisdiction has sophisticated or less sophisticated antitrust laws. It is hoped that it will assist your company whatever sector you are in and whatever the size of your company, whether you are in a small or medium-sized enterprise (SME) or in a larger company, to establish an antitrust compliance programme suited to your company’s needs, risk profile and resources.

Code ISBN :	Free0011
Number of pages :	93
Publishing date :	2013-04-01
Language :	English

Introduction

Starter Kit

1. Compliance embedded as company culture and policy

a. Recognizing antitrust as a risk that your company needs to address

b. Obtaining management commitment

c. Code of Conduct and/or Statement of Business Principles

d. Integrate into other programmes and controls

e. Ongoing and sustained senior management commitment

2. Compliance organization and resources

a. Compliance leadership and organization

b. Regular reporting to senior management

c. Adequate resourcing

3. Risk identification and assessment

a. Understanding the company’s overall approach to risk management

b. Applying the same methodology to antitrust

c. Introducing or improving control points

d. Effectiveness of control points

4. Antitrust compliance know-how

a. Antitrust know-how: manuals, handbooks, guides

b. Antitrust training

c. Find ways to stimulate positive employee engagement

d. Information about antitrust investigations

5. Antitrust concerns-handling systems

a. Recognition of the value of antitrust concerns-handling systems

b. Different kinds of internal reporting systems

c. Whistleblowing

d. Communicate, educate and create a culture of speaking up

e. Non-retaliation and confidentiality

f. The company’s prompt and fair response to a concern

g. Measuring effectiveness

6. Handling of internal investigations

a. Types of internal investigations

b. Things to consider/practical tools and tips

7. Disciplinary action

a. General requirements for disciplinary proceedings

b. Potential aggravating and mitigating factors

c. Specific considerations in antitrust case

8. Antitrust due diligence

a. Due diligence in hiring new employees

b. Due diligence in assessing substantive compliance

c. Antitrust assessments (audits) or selective deep dives

d. Due diligence in relation to trade associations

e. Due diligence in M&A situations

f. Practical tips for due diligence

9. Antitrust compliance certification

a. Individual certification of compliance

b. Certification by a third party NGO

c. Governmental certification of compliance programmes

10. Compliance incentives

a. Why have compliance incentives?

b. Types of incentives

11. Monitoring and continuous improvement

a. Monitoring and assessing processes and controls

b. Measuring effectiveness of processes and controls

c. Auditing and benchmarking

d. Monitoring and assessing substantive compliance

e. Compliance programme improvement plan

Annex 1: Compliance Blue Print

Annex 2: Examples of risk registers

Annex 3: Example of a company’s compliance investigation principles

Annex 4: Trade association due diligence

Links

Acknowledgements

Notes

International Chamber of Commerce (ICC) Publication

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