Pieth / Ivory Corporate Criminal Liability

Emergence, Convergence, and Risk
2011
ISBN: 978-94-007-0674-3
Verlag: Springer Netherland
Format: PDF
Kopierschutz: 1 - PDF Watermark

E-Book, Englisch, Französisch, Spanisch, Band 9, 396 Seiten, eBook

Reihe: Ius Gentium: Comparative Perspectives on Law and Justice

With industrialization and globalization, corporations acquired the capacity to influence social life for good or for ill. Yet, corporations are not traditional objects of criminal law. Justified by notions of personal moral guilt, criminal norms have been judged inapplicable to fictional persons, who 'think' and 'act' through human beings. The expansion of new corporate criminal liability (CCL) laws since the mid-1990s challenges this assumption. Our volume surveys current practice on CCL in 15 civil and common law jurisdictions, exploring the legal conditions for liability, the principles and options for sanctioning, and the procedures for investigating, charging and trying corporate offenders. It considers whether municipal CCL laws are converging around the notion of 'corporate culture', and, in any case, the implications of CCL for those charged with keeping corporations, and other legal entities, out of trouble.

Zielgruppe

Research

Autoren/Hrsg.

Pieth, Mark

Ivory, Radha

Inhaltsverzeichnis

1;Preface;6
2;Contents;7
3;Contributors;9
4;List of Abbreviations;11
5;Part I The Analytical Framework;16
5.1;1 Emergence and Convergence: Corporate Criminal Liability Principles in Overview;17
5.1.1;1.1 Emergence: An Introduction to Corporate Criminal Liability Principles;18
5.1.1.1;1.1.1 Corporate (A)morality and Corporate Risk;18
5.1.1.2;1.1.2 Theories of Corporate Personality and Models of Corporate Liability;20
5.1.1.3;1.1.3 The Development of Corporate Criminal Liability Rules in Common Law Jurisdictions: The UK, the Commonwealth, and the US;21
5.1.1.4;1.1.4 The Recognition of Corporate (Criminal) Liability in the Civil Law Jurisdictions of Europe and the Americas;23
5.1.1.4.1;1.1.4.1 CCL in the Civil Law Jurisdictions of Europe and the Americas;23
5.1.1.4.2;1.1.4.2 Non-criminal Solutions in European and American Civil Law Jurisdictions;25
5.1.1.4.3;1.1.4.3 European and American Civil Law Jurisdictions Without CCL;26
5.1.1.5;1.1.5 CCL Beyond Europe and the Americas: Asia, Southern Africa, and the Middle East;26
5.1.1.6;1.1.6 Conclusions;27
5.1.2;1.2 Entities That May Be Criminally Liable;28
5.1.2.1;1.2.1 Common Law Jurisdictions;28
5.1.2.1.1;1.2.1.1 The UK and the Commonwealth;28
5.1.2.1.2;1.2.1.2 The US;29
5.1.2.2;1.2.2 Civil Law Jurisdictions;30
5.1.3;1.3 Offenses for Which Corporations May Be Liable;31
5.1.3.1;1.3.1 Common Law Jurisdictions;32
5.1.3.2;1.3.2 Civil Law Jurisdictions;33
5.1.3.2.1;1.3.2.1 The ''All-Crimes'' Approach;34
5.1.3.2.2;1.3.2.2 The ''List-Based'' Approach;34
5.1.3.2.3;1.3.2.3 The Dual Approach;34
5.1.4;1.4 Natural Persons Who Trigger Liability;35
5.1.4.1;1.4.1 Common Law Jurisdictions;36
5.1.4.1.1;1.4.1.1 Strict Vicarious Liability: US Federal Law;36
5.1.4.1.2;1.4.1.2 Qualified Vicarious Liability: UK Regulatory Offense Legislation;37
5.1.4.1.3;1.4.1.3 Identification: The Narrow UK View;37
5.1.4.1.4;1.4.1.4 Identification: The Broader View from the Commonwealth;38
5.1.4.1.5;1.4.1.5 Corporate Culture: Australian Federal Law;39
5.1.4.1.6;1.4.1.6 UK Law Reforms;41
5.1.4.2;1.4.2 Civil Law Jurisdictions;44
5.1.4.2.1;1.4.2.1 Jurisdictions with Imputation Models: Identification and Vicarious Corporate Liability;44
5.1.4.2.2;1.4.2.2 Corporate (Dis)organization: Switzerland;47
5.1.4.2.3;1.4.2.3 ''Open'' Models: Imputation, Aggregation, and/or Holistic Approaches;48
5.1.4.3;1.4.3 Liability of Corporations for Acts of Related Entities;50
5.1.5;1.5 Special Defenses to Liability for Corporate Offenders;50
5.1.5.1;1.5.1 Common Law Jurisdictions;51
5.1.5.2;1.5.2 Civil Law Jurisdictions;51
5.1.6;1.6 Sanctions and Procedure: Charging, Trying, and Punishing Corporate Offenders;52
5.1.6.1;1.6.1 Common Law Jurisdictions;53
5.1.6.1.1;1.6.1.1 The UK and the Commonwealth;53
5.1.6.1.2;1.6.1.2 The US;56
5.1.6.2;1.6.2 Civil Law Jurisdictions;59
5.1.6.2.1;1.6.2.1 Procedure;59
5.1.6.2.2;1.6.2.2 Sanctions;60
5.1.7;1.7 Convergence: The Past, Present, and Future of CCL;62
5.1.7.1;1.7.1 Historical Concepts;62
5.1.7.2;1.7.2 Convergence;64
5.1.7.3;1.7.3 Implications;65
5.1.7.4;1.7.4 Outlook;66
5.1.8;References;67
6;Part II Country Reports;75
6.1;2 Corporate Criminal Liability in the United States: Is a New Approach Warranted?;76
6.1.1;2.1 Introduction;76
6.1.2;2.2 Historical Perspective;79
6.1.3;2.3 The Current US Practice;80
6.1.3.1;2.3.1 General Overview;81
6.1.3.2;2.3.2 The US Department of Justice's Sentencing and Charging Guidelines and Prosecutors' Role in Charging Corporations;84
6.1.3.3;2.3.3 Deferred Prosecution Agreements and Non-prosecution Agreements ;93
6.1.3.3.1;2.3.3.1 Examples;94
6.1.3.3.2;2.3.3.2 New DOJ Policies;96
6.1.3.3.3;2.3.3.3 Congressional Initiative;97
6.1.4;2.4 Appraisal and Recommendations;98
6.1.5;References;100
6.2;3 Corporate Criminal Liability in England and Wales: Past, Present, and Future;103
6.2.1;3.1 Introduction;103
6.2.2;3.2 Theoretical Background;104
6.2.2.1;3.2.1 Corporate Personality;106
6.2.2.2;3.2.2 Responsibility;107
6.2.2.3;3.2.3 Corporate Actors and Corporate Culture;108
6.2.3;3.3 Common Law Principles;109
6.2.4;3.4 Corporate Manslaughter;111
6.2.4.1;3.4.1 The Offense;113
6.2.4.2;3.4.2 The Threshold Question;113
6.2.4.3;3.4.3 The Relevant Duty of Care;114
6.2.4.4;3.4.4 Causing Death;114
6.2.4.5;3.4.5 The Culpability Element;115
6.2.4.6;3.4.6 Senior Management;116
6.2.4.7;3.4.7 The Exemptions;117
6.2.4.8;3.4.8 Penalties;117
6.2.4.9;3.4.9 Prosecution Policy;118
6.2.5;3.5 Bribery;118
6.2.6;3.6 Reforming the General Principles;119
6.2.7;3.7 Concluding Comments;120
6.2.8;References;123
6.3;4 Corporate Criminal Liability in Scotland: The Problems with a Piecemeal Approach;125
6.3.1;4.1 Introduction;126
6.3.2;4.2 Ascribing Criminal Liability to a Corporation;127
6.3.2.1;4.2.1 Explicit Provision for Corporate Liability;127
6.3.2.2;4.2.2 Vicarious Liability for Crime;128
6.3.2.3;4.2.3 Offenses Requiring Mens Rea;129
6.3.2.3.1;4.2.3.1 The Early Decisions;129
6.3.2.3.2;4.2.3.2 The Law Following Tesco Supermarkets ;132
6.3.2.3.3;4.2.3.3 The Effect of Transco ;135
6.3.3;4.3 Which Crimes May Be Committed by a Corporate Entity?;136
6.3.3.1;4.3.1 Statutory Offenses;136
6.3.3.2;4.3.2 Common Law Offenses;137
6.3.3.3;4.3.3 Codifying the Common Law;140
6.3.4;4.4 Which Types of Corporate Entity May Be Prosecuted?;141
6.3.4.1;4.4.1 Provisions in the Criminal Procedure (Scotland) Act 1995;141
6.3.4.2;4.4.2 Corporations and Separate Legal Personality;142
6.3.5;4.5 What Penalties Can Be Imposed Upon Corporations?;143
6.3.5.1;4.5.1 Imprisonment;143
6.3.5.2;4.5.2 Fines;143
6.3.5.3;4.5.3 Remedial and Publicity Orders;144
6.3.6;4.6 Procedural Matters;145
6.3.6.1;4.6.1 Responsibility for the Prosecution of Crime in Scotland;145
6.3.6.2;4.6.2 Jurisdictional Issues;146
6.3.6.3;4.6.3 Rights of the Accused;148
6.3.6.4;4.6.4 Evidential Matters;149
6.3.6.4.1;4.6.4.1 Admissions by Corporation Officers;149
6.3.6.4.2;4.6.4.2 Business Documents;150
6.3.7;4.7 Reform;151
6.3.7.1;4.7.1 Attributing Criminal Liability to a Corporation;151
6.3.7.2;4.7.2 The Range of Offenses That Corporations Can Commit;153
6.3.7.3;4.7.3 The Types of Corporate Entity That Can Be Convicted of Crimes;154
6.3.7.4;4.7.4 Punishing Corporations;155
6.3.7.5;4.7.5 Procedural Matters;155
6.3.8;4.8 Conclusions;156
6.3.9;References;157
6.4;5 Corporate Criminal Liability in France;159
6.4.1;5.1 Introduction;160
6.4.2;5.2 Forms of Corporate Liability in French Law;160
6.4.2.1;5.2.1 Civil Liability;161
6.4.2.2;5.2.2 Administrative Liability;162
6.4.2.3;5.2.3 Criminal Liability;162
6.4.3;5.3 The Introduction of Corporate Criminal Liability;162
6.4.4;5.4 Characterization of the French Concept of Corporate Criminal Liability;164
6.4.5;5.5 The Entities That May Be Held Criminally Liable;165
6.4.5.1;5.5.1 Private Law Legal Persons;166
6.4.5.2;5.5.2 Public Law Legal Persons;166
6.4.5.3;5.5.3 Foreign Legal Persons;168
6.4.5.4;5.5.4 Fully-Formed Groups Benefitting From Legal Personality;168
6.4.6;5.6 Offenses for Which Legal Persons May Be Liable;169
6.4.7;5.7 The Persons Who Trigger Corporate Criminal Liability;170
6.4.7.1;5.7.1 Organs;170
6.4.7.2;5.7.2 Representatives;171
6.4.7.3;5.7.3 A More or Less Demanding Condition;173
6.4.8;5.8 Conditions of Liability;173
6.4.8.1;5.8.1 The Commission of Offenses ''on Behalf of'' the Entity;173
6.4.8.2;5.8.2 Conviction of a Natural Person as a Condition for Corporate Liability?;174
6.4.8.3;5.8.3 Defective Organization, Lack of Supervision, and the Relevance of Corporate Compliance Systems;175
6.4.9;5.9 Sanctions;177
6.4.9.1;5.9.1 Pecuniary Penalties;177
6.4.9.1.1;5.9.1.1 Fines for Felonies and Misdemeanors;177
6.4.9.1.2;5.9.1.2 Fines for Minor Offenses;178
6.4.9.1.3;5.9.1.3 Other Pecuniary Penalties for Felonies and Misdemeanors;179
6.4.9.1.4;5.9.1.4 Other Pecuniary Penalties for Minor Offenses;179
6.4.9.2;5.9.2 Non-pecuniary Sanctions;180
6.4.9.2.1;5.9.2.1 Dissolution;180
6.4.9.2.2;5.9.2.2 Prohibiting the Direct or Indirect Exercise of One or More Professional or Social Activities;181
6.4.9.2.3;5.9.2.3 Placement of the Entity Under Judicial Surveillance;182
6.4.9.2.4;5.9.2.4 Closing of One or More Establishments;183
6.4.9.2.5;5.9.2.5 Exclusion From the Public Marketplace;183
6.4.9.2.6;5.9.2.6 The Prohibition Against Public Offerings or Listing of Securities on a Regulated Market;183
6.4.9.2.7;5.9.2.7 Notification or Publication of the Decision;184
6.4.9.2.8;5.9.2.8 Penalties Incurred for Specific Offenses;184
6.4.9.3;5.9.3 Sanctioning Principles;185
6.4.10;5.10 Procedural Issues;185
6.4.10.1;5.10.1 The Decision to Prosecute;186
6.4.10.2;5.10.2 Jurisdiction;186
6.4.11;5.11 Conclusions;187
6.4.12;References;187
6.5;6 Corporate Criminal Liability in the Netherlands;189
6.5.1;6.1 Introduction;189
6.5.2;6.2 Historical Development;190
6.5.3;6.3 The Dutch Concept of Corporate Criminal Liability;192
6.5.3.1;6.3.1 The Reforms of the Mid-1970s: Art. 51 DPC;192
6.5.3.2;6.3.2 Legal Persons in Criminal Law;193
6.5.3.3;6.3.3 Secondary Liability;193
6.5.3.4;6.3.4 Criminal Liability;194
6.5.3.4.1;6.3.4.1 Actus Reus;194
6.5.3.4.2;6.3.4.2 Mens Rea;196
6.5.3.4.3;6.3.4.3 Justification and Excuse;196
6.5.3.5;6.3.5 Sanctions;197
6.5.4;6.4 The Special Position of Public Law Legal Persons;199
6.5.5;6.5 Procedural Law;200
6.5.6;6.6 Jurisdiction;202
6.5.7;6.7 Evaluation;202
6.5.8;References;203
6.6;7 La responsabilité pénale de l’entreprise en droit suisse;204
6.6.1;7.1 Introduction;205
6.6.2;7.2 La responsabilité pénale du “chef d’entreprise”;206
6.6.3;7.3 Du principe "societas delinquere non potest" a l'adoption de l'article 102 CPS;209
6.6.4;7.4 Les modèles retenus et la nature de la norme;211
6.6.4.1;7.4.1 Les responsabilités directe et subsidiaire;211
6.6.4.2;7.4.2 Norme d?imputation ou nouvelle infraction?;212
6.6.5;7.5 Les destinataires de l'article 102 CPS;214
6.6.5.1;7.5.1 L'entreprise;214
6.6.5.2;7.5.2 Les personnes morales;214
6.6.5.3;7.5.3 Les sociétés;215
6.6.5.4;7.5.4 Les entreprises en raison individuelle;215
6.6.5.5;7.5.5 Léétablissement secondaire, la succursale et la filiale;216
6.6.6;7.6 Les conditions de la punissabilite applicables communement aux deux modles de responsabilite;217
6.6.7;7.7 Les conditions spcifiques de la responsabilit subsidiaire de lentreprise pose par larticle 102 alina 1 CPS;220
6.6.7.1;7.7.1 L’impossibilité d’imputer l’infraction à une personne physique en raison d’un défaut d’organisation;220
6.6.7.2;7.7.2 Un exemple d'application judiciaire;221
6.6.8;7.8 La responsabilité directe de l’entreprise selon l’article 102 alina 2 CPS;222
6.6.8.1;7.8.1 L'ind'pendance des punissabilit's de l'entreprise et de l'auteur physique;222
6.6.8.2;7.8.2 Les infractions pouvant engager la responsabilité primaire de l’entreprise;222
6.6.8.3;7.8.3 Un défaut d’organisation imputable à l’entreprise;223
6.6.8.3.1;7.8.3.1 Les mesures d'organisation 'raisonnables et n'cessaires' que l'entreprise doit prendre;223
6.6.8.3.2;7.8.3.2 Un exemple concret d'application: les mesures d'organisation ' prendre pour 'viter la commission d'un acte de corruption transnationale au sein d'une entreprise exportatrice;224
6.6.9;7.9 Les sanctions applicables lentreprise;226
6.6.9.1;7.9.1 Le système des sanctions;226
6.6.9.2;7.9.2 La peine-menace de l'article 102 CPS;227
6.6.9.3;7.9.3 La fixation de la peine;227
6.6.9.4;7.9.4 Les mesures;227
6.6.10;7.10 La procédure pénale dirigée contre l’entreprise;228
6.6.10.1;7.10.1 Le pouvoir de juridiction, le for et les organes du procés pénal;229
6.6.10.2;7.10.2 Le principe de léopportunité des poursuites et la transaction pénale;230
6.6.10.2.1;7.10.2.1 Léopportunité limitée des poursuites;230
6.6.10.2.2;7.10.2.2 La procédure simplifiée;231
6.6.10.3;7.10.3 Les garanties de procédure pénale;231
6.6.10.4;7.10.4 La représentation de léentreprise dans la procédure;232
6.6.11;7.11 Les statistiques des condamnations;233
6.6.12;7.12 Conclusion et recommandations;234
6.6.13;Références;236
6.7;8 Corporate Criminal Liability in Germany;237
6.7.1;8.1 Introduction;237
6.7.2;8.2 Responsibility of Corporations (Structural Questions);241
6.7.2.1;8.2.1 Scope of Application;242
6.7.2.1.1;8.2.1.1 Corporations;242
6.7.2.1.2;8.2.1.2 Offenses;243
6.7.2.2;8.2.2 Imputation (Structural Questions);244
6.7.2.2.1;8.2.2.1 The Representatives of the Corporation;244
6.7.2.2.2;8.2.2.2 The (Criminal or Regulatory) Offense by the Representative;245
6.7.2.2.3;8.2.2.3 Imputation Criteria (Interest and Obligations of the Corporation);246
6.7.3;8.3 Sanctions and Sanctioning Principles;247
6.7.3.1;8.3.1 Sanctions;247
6.7.3.1.1;8.3.1.1 Financial Sanctions;247
6.7.3.1.2;8.3.1.2 Non-financial Sanctions;249
6.7.3.2;8.3.2 Sanctioning Principles;251
6.7.4;8.4 Procedural Issues;254
6.7.4.1;8.4.1 Prosecutorial Discretion;255
6.7.4.2;8.4.2 Jurisdiction;255
6.7.4.3;8.4.3 Procedural Rights of the Corporation;256
6.7.4.4;8.4.4 Investigation and Evidence;258
6.7.5;8.5 Recommendations;259
6.7.6;References;261
6.8;9 Societas Delinquere Potest? The Italian Solution;265
6.8.1;9.1 Introduction: The Traditional Approach;265
6.8.2;9.2 The 2001 Reform;267
6.8.3;9.3 Which Form of Liability for Collective Entities?;268
6.8.4;9.4 Types of Offenses;270
6.8.5;9.5 The Organizations Subject to Legal Control;271
6.8.6;9.6 Criteria for Ascribing actus reus to an Organization;271
6.8.7;9.7 Criteria of Ascription of mens rea ;272
6.8.8;9.8 Compliance Programs and Corporate Crime Prevention;274
6.8.9;9.9 The Principle of Autonomy and the Responsibility of the Legal Entity;274
6.8.10;9.10 The System of Sanctions;275
6.8.10.1;9.10.1 Fines;275
6.8.10.2;9.10.2 Disqualification Orders;276
6.8.10.3;9.10.3 Forfeiture;277
6.8.10.4;9.10.4 Ancillary Provisions;277
6.8.11;9.11 In Defense of Corporate Criminal Liability;277
6.8.12;9.12 Conclusions;279
6.8.13;References;280
6.9;10 La Responsabilidad de las Personas Jurídicas en el Derecho Penal Español;281
6.9.1;10.1 Cuestiones Generales;282
6.9.1.1;10.1.1 ¿Reconoce la legislación española una responsabilidad corporativa o asociativa en materia penal?;282
6.9.1.2;10.1.2 ¿Se ha previsto una responsabilidad penal o un equivalente no penal (leyes civiles o administrativas)?;283
6.9.1.3;10.1.3 ¿Cuándo se introdujo dicha responsabilidad?;284
6.9.1.4;10.1.4 ¿En qué se concreta la responsabilidad de las personas jurídicas relacionada con la comisión de delitos en el Derecho Español?;285
6.9.1.5;10.1.5 ¿Cómo caracterizar el concepto de responsabilidad aplicado?;286
6.9.2;10.2 Cuestiones estructurales relacionadas con la responsabilidad penal de las personas jurdicas;288
6.9.2.1;10.2.1 Ámbito subjetivo de aplicación de la regulación sobre responsabilidad de las personas jurídicas;288
6.9.2.2;10.2.2 Ámbito de delitos en los que se reconocen consecuencias jurídicas;289
6.9.2.3;10.2.3 ¿Se exige un beneficio del delito para la persona jurídica?;290
6.9.2.4;10.2.4 ¿Qué representatividad ha de tener la persona física que realiza el delito para que tenga lugar la responsabilidad corporativa?;291
6.9.2.5;10.2.5 Concreciín judicial de la penalidad prevista para las personas jurídicas;292
6.9.3;10.3 Algunas cuestiones particulares de la reforma del Cdigo penal de 2010 con respecto a la responsabilidad penal de las personas jurdicas: las penas de multa, el quebrantamiento de la condena, la extincin de la responsabilidad criminal y la responsabilidad civil;293
6.9.3.1;10.3.1 Regulación específica de las multas;293
6.9.3.2;10.3.2 El quebrantamiento de la condena;294
6.9.3.3;10.3.3 Extinción de la responsabilidad criminal;294
6.9.3.4;10.3.4 Responsabilidad civil derivada del delito;295
6.9.4;10.4 Cuestiones de procedimiento;295
6.9.5;10.5 Conclusiones provisionales;296
6.9.6;Referencias;298
6.10;11 Principales Aspectos de la Nueva de Responsabilidad Penal de las Personas Jurdicas en Chile (Ley N20.393);299
6.10.1;11.1 Existencia de legislación que reconoce la responsabilidad de los entes corporativos en Chile;300
6.10.2;11.2 Naturaleza de la responsabilidad consagrada en la nueva legislacin chilena;300
6.10.3;11.3 Sistema de imputación aplicado a las personas jurdicas en la nueva ley;303
6.10.4;11.4 Ámbito de aplicación de la nueva ley;305
6.10.5;11.5 Requisitos del sistema de responsabilidad penal de las personas jurdicas;307
6.10.5.1;11.5.1 Comisiín del delito por personas físicas determinadas;307
6.10.5.2;11.5.2 Exigencia de un interós o provecho para la persona juródica derivado de la comisión del delito;309
6.10.5.3;11.5.3 Infracción por parte de la persona juródica de los deberes de dirección y supervisión;310
6.10.6;11.6 Consecuencias por la comisin de delitos por personas jurdicas;310
6.10.6.1;11.6.1 Consecuencias financieras;311
6.10.6.1.1;11.6.1.1 Multa;311
6.10.6.1.2;11.6.1.2 Pírdida total o parcial de beneficios fiscales o prohibiciín absoluta de recepciín de los mismos por un período determinado;312
6.10.6.1.3;11.6.1.3 Comiso;312
6.10.6.2;11.6.2 Consecuencias no financieras;313
6.10.6.2.1;11.6.2.1 Disoluciín o cancelaciín que conlleva la pírdida definitiva de la personalidad jurídica;313
6.10.6.2.2;11.6.2.2 Prohibición de celebrar actos y contratos con organismos del Estado;314
6.10.6.2.3;11.6.2.3 La publicación del fallo;314
6.10.6.3;11.6.3 Circunstancias modificativas de la responsabilidad y criterios de determinación judicial de la pena;314
6.10.7;11.7 Principales elementos del procedimiento penal concebido para la persona jurdica;315
6.10.8;11.8 Conclusiones;319
6.10.9;Referencias;320
6.11;12 Corporate Criminal Liability in Hungary;322
6.11.1;12.1 Introduction;323
6.11.2;12.2 Background;323
6.11.2.1;12.2.1 Traditional Principles;323
6.11.2.2;12.2.2 Law Reform;324
6.11.3;12.3 The Hungarian Concept of Corporate Liability;325
6.11.4;12.4 Substantive Features of Corporate Liability in Hungarian Law;326
6.11.4.1;12.4.1 The Entities that May Be Held Criminally Liable;326
6.11.4.2;12.4.2 The Offenses for Which Legal Persons May Be Liable;327
6.11.4.3;12.4.3 The Persons Who Engage Corporate Criminal Liability;327
6.11.4.3.1;12.4.3.1 Managers and Representatives;328
6.11.4.3.2;12.4.3.2 Members and Employees;328
6.11.4.3.3;12.4.3.3 Third Parties;329
6.11.4.4;12.4.4 Further Conditions of Liability;330
6.11.4.4.1;12.4.4.1 Benefit to the Legal Person;330
6.11.4.4.2;12.4.4.2 The Conviction of a Natural Person;330
6.11.4.5;12.4.5 Defenses to Liability;331
6.11.5;12.5 Sanctions;331
6.11.5.1;12.5.1 Fines;331
6.11.5.2;12.5.2 Forfeiture and Confiscation of Illicit Gains;332
6.11.5.3;12.5.3 Non-financial Sanctions;333
6.11.5.3.1;12.5.3.1 Restriction of a Legal Person's Activities;333
6.11.5.3.2;12.5.3.2 Winding-Up;333
6.11.5.3.3;12.5.3.3 A New Form of Sanction?;333
6.11.5.4;12.5.4 Publication of the Judgment -- A Missing Sanction;334
6.11.5.5;12.5.5 Sanctioning Principles;334
6.11.6;12.6 Procedure;335
6.11.6.1;12.6.1 Prosecutorial Discretion;335
6.11.6.2;12.6.2 Jurisdiction;336
6.11.6.3;12.6.3 Provisional Measures;336
6.11.6.4;12.6.4 Procedural Rights and Principles;336
6.11.6.5;12.6.5 Witnesses;337
6.11.6.6;12.6.6 Special Procedures;338
6.11.6.7;12.6.7 Termination of Proceedings Against the Natural Person or Acquittal;338
6.11.6.8;12.6.8 Equal Procedural Status Amongst Legal Persons;338
6.11.7;12.7 Conclusions;339
6.11.8;References;340
6.12;13 Why the Czech Republic Does Not (Yet) Recognize Corporate Criminal Liability: A Description of Unsuccessful Law Reforms;341
6.12.1;13.1 Introduction;342
6.12.2;13.2 The Corporate Criminal Liability Bill;343
6.12.2.1;13.2.1 The Bill's Concept of Liability;344
6.12.2.2;13.2.2 The Jurisdictional Scope of the Corporate Criminal Liability Bill;345
6.12.2.3;13.2.3 The Scope of the Corporate Criminal Liability Bill Ratione Personae;346
6.12.2.4;13.2.4 Criminal Offenses Covered by the Corporate Criminal Liability Bill;347
6.12.2.5;13.2.5 Natural Persons Triggering Corporate Liability, Their Acts, and Imputation;347
6.12.2.6;13.2.6 The Penalties in the Corporate Criminal Liability Bill;349
6.12.2.7;13.2.7 Criminal Procedure;351
6.12.2.8;13.2.8 The Defeat of the Corporate Criminal Liability Bill in the House of Deputies;353
6.12.3;13.3 The Basic Principles of Quasi-Criminal Corporate Liability;355
6.12.3.1;13.3.1 Corporate Criminal Liability;356
6.12.3.2;13.3.2 Corporate Administrative Liability;356
6.12.3.3;13.3.3 A Combination of Corporate Criminal and Administrative Liability;358
6.12.4;13.4 Conclusions and Suggestions;359
6.12.5;References;361
6.13;14 The Recognition of Legal Persons in International Human Rights Instruments: Protection Against and Through Criminal Justice?;363
6.13.1;14.1 Introduction: Three Principle Questions;364
6.13.2;14.2 Direct Protection of Private and Public Law Legal Persons Under Human Rights Law?;366
6.13.2.1;14.2.1 Direct Protection for Legal Persons Under the ICCPR and in the HRC?;366
6.13.2.2;14.2.2 Direct Protection for Legal Persons Under the ECHR and in the ECtHR?;367
6.13.2.3;14.2.3 Direct Protection for Legal Persons Under the ACHR and in the IACommHR or IACtHR?;368
6.13.2.4;14.2.4 Direct Protection for Legal Persons Under the AfCHPR and in the AfCommHPR?;369
6.13.3;14.3 Indirect Protection of Legal Persons Through the Human Rights of Individuals?;372
6.13.3.1;14.3.1 Two Concepts;373
6.13.3.1.1;14.3.1.1 Concept I: Identification or the Lifting of the Corporate Veil;373
6.13.3.1.2;14.3.1.2 Concept II: A Measure Against the Legal Person Directly Affects Human Rights of a Stakeholder;374
6.13.3.2;14.3.2 Evaluation and Critique;377
6.13.4;14.4 Fair Trial and Privacy Rights for Legal Persons in Criminal Proceedings;379
6.13.4.1;14.4.1 Fair Trial Rights;381
6.13.4.2;14.4.2 Privacy Rights;385
6.13.5;14.5 Human Rights Obligations to Hold Public and Private Law Legal Persons Criminally Liable;387
6.13.6;14.6 Conclusion: Towards Full Recognition of Legal Persons Under Human Rights Law;394
6.13.7;References;397
7;Part III Conclusions;398
7.1;15 Final Remarks: Criminal Liability and Compliance Programs;399

Preface.- Table of Contents.- List of Abbreviations.- Part I The Analytical Framework.- Emergence and Convergence: Corporate Criminal Liability Principles in Overview; Mark Pieth and Radha Ivory.- Part II Country Reports.- Corporate Criminal Liability in the United States: Is a New Approach Warranted?; Ved P. Nanda.- Corporate Criminal Liability in England and Wales: Past, Present, and Future; Celia Wells.- Corporate Criminal Liability in Scotland: The Problems with a Piecemeal Approach; Findlay Stark.- Corporate Criminal Liability in France; Katrin Deckert.- Corporate Criminal Liability in the Netherlands; Berend F. Keulen and Gritter.- La responsabilité pénale de l’entreprise en droit Suisse ; Bertrand Perrin.- Corporate Criminal Liability in Germany; Martin Böse.- Societas Delinquere Potest? The Italian Solution; Cristina de Maglie.- La Responsabilidad de las Personas Jurídicas en el Derecho Penal Español ; Miguel Ángel Boldova and María Ángeles Rueda.- Principales Aspectos de la Nueva de Responsabilidad Penal de las Personas Jurídicas en Chile (Ley Nº20.393); Nelly Salvo. Corporate Criminal Liability in Hungary; Ferenc Santhaand Szilvia Dobrosci.- Why the Czech Republic Does not (yet) Recognize Corporate Criminal Liability: A Description of Unsuccessful Law Reforms; Jirí Jelínek and Karel Beran.- The Recognition of Legal Persons in International Human Rights Instruments: Protection Against and Through Criminal Justice?; Piet Hein van Kempen.- Part III Conclusions.- Final Remarks: Criminal Liability and Compliance Programs; Mark Pieth.