Legal Precedents

1 Identify the need for a DPIA Outline at a high level what the project intends to deliver and the nature of the processing undertaken [ Add, eg you might find it useful to cite or link to supporting papers, such as a project proposal. Summarise the reasons you determined a DPIA is required. ] 2 Describe the processing Describe the nature of the processing [ Add, eg in what way will you gather, use, retain and erase data? What are the origins of the data? Will any data be disclosed to others? Which forms of processing considered potentially high risk are included? You could also refer to a flow chart or another method of mapping data movements ] Describe the scope of the processing: [ Add, eg what kind of data is involved, and does it cover special category or criminal offence data? How much data will be...

1 General details Date [ Insert date ] Customer name (if applicable) [ Insert customer name ] Full name and job title of the person completing this form [ Insert name and job title ] Customer/matter reference number (if applicable) [ Insert customer/matter reference number ] Date the request was received [ Insert date ] Names of staff involved in the customer matter to which the SAR relates, if applicable [ Insert names of people involved ] Name of the person to whom the request is addressed [ Insert name ] If the Super SAR came from an NCA authorised officer, move to section 2; for all other Super SAR requests, proceed to section 3. 2 Super SAR request from NCA authorised officer Has our nominated officer been notified? □ Yes □ No — notify the...

1 What is dominance? 1.1 As a general guide, a firm that persistently holds above 40% of the market on a consistent basis is usually regarded as being in a dominant position. Typically, that level must be sustained for at least two consecutive years. Yet market share alone is not decisive; a company is dominant if, to a meaningful degree, it can operate independently of rivals, customers and consumers within the relevant market, rather than being constrained by them. 1.2 An organisation in a dominant position bears a ‘special responsibility’ to avoid behaviour that harms effective competition. Failing to live up to that duty may expose the business to allegations of abusing a dominant position. Identifying what amounts to abuse is not always straightforward or clear-cut. 2 Why market dominance is a concern 2.1 Dominant firms carry a special responsibility to make sure their actions do not skew or...

These FAQs serve as a handy guide for both colleagues who regularly interact with rivals, outlining how we should pursue our commercial objectives lawfully when collecting competitive intelligence, as well as for anyone engaged in the pricing process. If this note does not address your query or worry, you must get in touch with [ insert, eg the legal team ] without delay. 1 Meeting with competitors— FAQs Gatherings with competitors (or events at which competitors are present) carry a significant risk of breaching competition law. 1.1 May I go to an industry association meeting where competitors are present? Yes, although you must proceed carefully. Such gatherings can cause issues if secret or commercially sensitive details are aired or exchanged. 1.2 Can I engage in informal conversations with competitors at conferences or social functions? Yes, but you must avoid any...

1 What is benchmarking? Benchmarking means setting our structures, processes and outcomes against those of other organisations to gauge our performance and raise efficiency. Its purpose is to spot areas of inefficiency and unnecessary cost within our operations, identify the structures, processes and practices that have driven others’ success, and create a plan to tailor those lessons to our circumstances. For our organisation, it is a significant tool. When properly designed and executed, it is generally regarded as pro‑competitive, as it aims to boost efficiency and reduce overall costs. 2 What is the risk? As it often involves sharing information with competitors, benchmarking can enable anti‑competitive exchanges or present opportunities for collusion; accordingly, benchmarking activities carry inherent competition law compliance risks. Therefore, any such activities must be carefully planned and conducted, with advice and guidance from [ insert, eg the legal team ]. Early...

Associations with actual or potential competitors for the purpose of jointly undertaking a particular commercial enterprise or transaction Working with current or prospective rivals to carry out a specific business project or deal is ordinarily lawful when the pro-competitive gains of a joint venture ( JV) surpass any anti-competitive drawbacks, provided the overall balance favours competition, if any. Pro-competitive advantages may include pushing technological progress, introducing novel products, services or market entrants, and securing economies of scale, meaning greater capacity with lower transaction costs. This guidance supports colleagues in designing, setting up and running JVs, with a particular emphasis on adhering to competition law by relevant staff members. Before suggesting or entering any JV, you must seek advice from [ insert, eg the legal team ] ......

Merger and acquisition ( M& A) M& A deals can be examined or monitored by competition regulators in the jurisdictions where we pursue acquisition opportunities. This guide is designed to help you adhere to competition laws throughout the M& A process, including sharing information, preparing paperwork and planning for integration, all of which present significant competition law compliance risks and challenges. Competition authorities recognise that a degree of planning and information exchange is necessary during a merger or acquisition. However, certain conduct is prohibited by competition law: conduct which, if undertaken by two independent organisations (which the buyer and target in an M& A transaction remain until completion), would breach laws that prohibit competitor co-ordination; and ‘gun-jumping’ conduct, i.e. co-ordination or premature integration before completion that gives the buyer control of the target...

This resource is intended to assist you in keeping a log of suspected competition law issues reported within your organisation. You can use it to capture, manage, and monitor these issues......

General Please click to open an Excel edition of this register. Course title/overview and training rationale...

1 General information Review date [ insert date ] Reviewer(s) [ insert name(s) ] 2 Review and findings Have you undertaken a new organisation-wide risk assessment within the past year? Refer to Precedent: Competition law compliance—organisation-wide risk assessment ☐ Yes ☐ No—make sure you record an action in section 3 to carry out a new competition law compliance—organisation-wide risk assessment Have you completed a new culture self-assessment within the last year? Refer to Precedent: Compliance culture self-assessment ☐ Yes ☐ No—make sure you create an action in section 3 to conduct a new competition law compliance—culture self-assessment Have the organisation’s competition law compliance policies, controls, and procedures been reviewed and refreshed during the past year? ......

1 General information Report date: [ Enter date ] Previous report date: [ Enter date ] Report submitted by: [ Enter name ] 2 Action points arising from last report Action item: [ Enter action point ], Responsible person: [ Identify person responsible for this action point ], Status: [ Enter status ] Action item: [ Enter action point ], Responsible person: [ Identify person responsible for this action point ], Status: [ Enter status ] Action item: [ Enter action point ], Responsible person: [ Identify person responsible for this action point ], Status: [ Enter status ] Action item: [ Enter action point ], Responsible person: [ Identify person responsible for this action point ], Status: [ Enter status ] 3 Executive summary This report covers the following items: 3.1 overview of business...

Meetings with competitors carry a high competition law risk. Kindly complete this form and promptly send it to [ insert, eg the legal team ] before attending any meeting or event where a rival is present. You should obtain advice from [ insert, eg the legal team ] if you have any queries or worries......

Risk assessment date [ Insert date ] Individual(s) completing the risk assessment [ Insert name(s) and job title(s) ] 1 Meeting details Scheduled meeting date [ Insert date ] Purpose of the meeting planned [ Insert details ] Anticipated attendee(s) from this organisation [ Insert name(s) of individual(s) expected to attend from our organisation ] Anticipated attendee(s) from other organisation(s) [ Insert name(s) of organisation(s) and/or individual(s) from other organisation(s) expected to attend ] 2 Assessment Risk [ Insert, eg Actions of attendees from our organisation ]......

To be read aloud by the Chair at the beginning of any meeting/gathering where competitors are present. [ insert organisation name ] [ and all its business units ] adheres to rigorous standards of business conduct......

As offerings become more technologically advanced and include integrated systems and features, assessing whether tying or bundling might be seen as anti-competitive grows more complex. This checklist is designed to help you weigh key competition law considerations before linking or packaging products. Always seek advice from [ insert, eg the legal team ] where indicated below, and if you have any queries or concerns... 1 Products and market Evaluate whether the items proposed for a bundle or tie are genuinely separate products. Can the products being bundled or tied be treated as distinct offerings? Yes — consult [ insert, eg the legal team ], as bundling may adversely affect suppliers of stand‑alone products and thus harm competition No — [ Insert comments] Do other organisations in the market use bundling and tying?......

Please use this checklist before entering into any exclusive agreement Determining whether exclusivity is liable to produce anti-competitive effects is not straightforward; multiple factors must be weighed, and in many cases exclusive deals may not be feasible at all. Above all, ensure the justification for exclusivity is not simply to undermine competitors or to delay or impede new entrants. If this is driving the exclusivity, from a competition regulator's perspective it may not matter whether the conduct gives rise to an anti-competitive effect. You must seek guidance from [ insert, eg the legal team ] where flagged in this checklist and whenever you have any questions or concerns. Exclusivity Factor Result Comments 1. Is the buyer required or encouraged to concentrate its orders for a particular product or service with just one supplier (often termed...

Question Correct answer 1. Competition law shields business and consumers from anti-competitive conduct, and preserves effective competition True 2. What penalties can arise from infringing competition law? Substantial fines, custodial sentences, director disqualifications, and reputational harm. 3. What are the three key contexts where competition law might potentially pose an issue for commercial organisations?......

1 How to use this test These questions check your understanding following your attendance at our training on competition law compliance. Once you have completed the test, please hand it back to [ insert name ] 2 General Name of person completing test: Insert name Role: Insert role Date: Insert date 3 Multiple choice questions Tick the correct answer. Competition law protects business and consumers from anti-competitive behaviour, and safeguards effective competition □ True □ False What are the consequences of breaching competition law?......

This Precedent slide deck acts as a learning tool, letting you brief your staff on competition law compliance and your organisation’s internal competition law compliance policies and procedures, ensuring clear understanding across the business. The training resources are adaptable. This training pack is built in Power Point, so it cannot be exported into Word directly from this page online. Contents Competition law—what, how and our stance When does it become problematic?......

This form should be used if you hold any worries regarding compliance with competition law. Such worries might concern conduct by, for instance, this organisation, a rival business, or conduct by a client......