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Robert Wilkens - Internal Investigations

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Robert Wilkens

Internal Investigations

Series: Schriften zu Compliance

Volume 17 2020

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1. Kapitel: Das Recht zur Durchführung von Internal Investigations S. 49-82

„… Das Recht zur Durchführung von Internal Investigations Obgleich zahlreiche rechtliche Fragen, die …” „… sich im Zusammenhang mit Internal Investigations stellen, nicht einmal annähernd als geklärt angesehen …” „… . Denn vereinzelt sieht sich die gesamte Diskussion zum Thema Internal Investigations mit fundamentalen …”

2. Kapitel: Die Pflicht zur Durchführung von Internal Investigations S. 83-223

„… Die Pflicht zur Durchführung von Internal Investigations Als Grund für die Durchführung interner …” „… beinhalten eine Rechtspflicht zur Durchführung von Internal Investigations, jedoch werden den Unternehmen …” „… angesehen werden,236 so zeigt sich doch, dass das Phänomen der Internal Investigations bei deutschen …”

Titelei/Inhaltsverzeichnis S. 1-42

„… privater Ermittlungstätigkeit II. 54 Die Zulässigkeit von Internal InvestigationsIII. 63 Die grundsätzliche …” „… Zulässigkeit von Internal Investigations A. 63 Kein generelles Verbot von Internal InvestigationsB. 65 Keine …” „… als Sonderform privater Ermittlungstätigkeit II. 54 Die Zulässigkeit von Internal InvestigationsIII …”

Literaturverzeichnis S. 923-1000

„… , Der Betrieb (DB) 1979, S. 2165 - 2167. Anders, Ralf Peter, Internal Investigations …” „… Internal Investigations - Zur Reichweite und Grenze des § 160a StPO, Neue Zeitschrift für Wirtschafts …” „… , Alexander, Internal Investigations: Hintergründe und Perspektiven anwaltlicher "Ermittlungen" in deutschen …”

Einleitung S. 43-48

„… Siemens AG, General Counsel und Leiter der Recht und Compliance-Abteilung)1 „Internal Investigations …” „… . Nicht nur die hierfür verwendete Bezeichnung „Internal Investigation“ folgte dem US-amerikanischen …” „… beispielhaften Ablauf einer Internal Investigation: Moosmayer in Rotsch, Criminal Compliance, § 34 B Rn. 71ff. 5 …”

3. Kapitel: Einzelne Ermittlungshandlungen S. 224-745

„… fünf Ermittlungsmaßnahmen eingegangen werden, die bei Internal Investigations am häufigsten zur …” „… Internal Investigation mehrere der aufgezählten Maßnahmen zum Einsatz, ohne dass es hierbei feste Regeln …” „… . Befragungen (Interviews) Eine der zentralen Maßnahmen einer Internal Investigation ist die Befragung der …”

4. Kapitel: Umgang mit den Ermittlungsergebnissen S. 746-922

„… Umgang mit den Ermittlungsergebnissen Spätestens nach Abschluss einer Internal Investigation sollte …” „… Kapitel aufgegriffen werden sollen. Wurden beispielsweise im Zuge von Internal Investigations Straftaten …” „… . Compliance-Management, S. 593ff. 3128 Vgl.: Reeb, Internal Investigations, S. 4f.; Bachmann, ZHR 2016, S. 574 …”

doi.org/10.5771/9783748900528

Sabrina Potocic - Korruption, amerikanische Börsenaufsicht und Ermittlungen durch Private in Deutschland

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Sabrina Potocic

Korruption, amerikanische Börsenaufsicht und Ermittlungen durch Private in Deutschland

Series: Deutsches, Europäisches und Vergleichendes Wirtschaftsrecht

Volume 96 2016

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: Internal Investigations S. 65-87

„… § 2: Internal Investigations 65 auch für gerichtliche Enforcement Actions der SEC, weil diese in …” „… umständlich, langsam und unberechenbar.177 § 2: Internal Investigations Der Begriff der internen Ermittlung …” „… Internal Investigations in der hier zugrunde gelegten Form im Folgenden anhand ihrer Bedeutung und ihres …”

Literaturverzeichnis S. 409-435

„… . / Grossman, Maura R. / Miller, Carol, Internal Investigations 2009: How to Protect Your Clients or Company …” „… . 1031-1074 Baldwin, Gregory / Rodio, James, Internal Investigations, in: Christopher A. Myers, Corporate …” „… Behrens, Alexander, Internal Investigations: Hintergründe und Perspektiven anwaltlicher „Ermittlungen“ in …”

: Gesellschaftsrecht S. 138-186

„… als auch die deutsche – zu dem Ergebnis, dass Internal Investigations in ihrer heutigen Ausgestaltung …” „… Regelungen enthält, die der Durchführung von Internal Investigations entgegenstehen. A. Übersicht Das …” „… : Gesellschaftsrecht 139 geregelt und weitgehend zwingend.497 Die Durchführung von Internal Investigations könnte mit …”

Titelei/Inhaltsverzeichnis S. 1-22

„… umfänglicher Ermittlungen (internal investigations) durch eine eigens zu diesem Zweck mandatierte (ausländische …” „… erhoben hatte. Die Zulässigkeit solcher internal investigations in Deutschland ist umstritten, wenn – wie …” „… Kollisionsrechts werden ebenfalls angesprochen. Die Rechtsfragen der internal investigations werden von Grund auf …”

: Berufsrecht: Anwaltsgeheimnis S. 262-333

„… bei Internal Investigations nicht verletzt, wenn der deutsche Staat die Ermittlungsergebnisse nicht …” „… zu einer Verfolgung der Mitarbeiter verwendet. Mithin sind Internal Investigations prinzipiell mit …” „… Juristen äußern die Befürchtung, dass das Anwaltsgeheimnis durch Internal Investigations ausgehöhlt werde …”

: Völkerrecht: Staatensouveränität S. 90-141

„… . Wirtschaftsstrafrecht, 15. Teil Rn. 22 ff.; Bockemühl, Ermittlungen, 33 ff.; einschränkend Reeb, Internal Investigations …” „… , Strafverfolgung, 255 f. § 2: Internal Investigations 89 ner unreflektierten und uneingeschränkten Übernahme der …” „… sind, Internal Investigations in Kooperation mit der SEC zu verbieten. Normen, die lediglich zusätzlich …”

Zusammenfassung S. 405-409

„… 405 Vierter Teil: Zusammenfassung Internal Investigations in der hier beschriebenen Form sind ein …” „… . Zusammenfassend lässt sich damit feststellen: 1. Internal Investigations in der vorliegend untersuchten Form …” „… oder der Aufsichtsrat zuständig für die Anordnung von Internal Investigations; die Präferenz der SEC …”

: Kapitalmarkt- und Wettbewerbsrecht S. 186-209

„… . Folglich sind (zumindest teilweise) konzernweite Internal Investigations ohne weiteres möglich und zulässig …” „… Deutschland besondere Regelungen, die Internal Investigations entgegenstehen könnten. Auf dem Gebiet des …” „… Informationsweitergabe an die SEC bei Internal Investigations kollidieren könnten. Um die Herangehensweise des SEC …”

: Grundrechte: Nemo-tenetur-Grundsatz S. 209-262

„… Internal Investigations ist die Informationsoffenlegung sowohl gegenüber den Anwälten als auch gegenüber …” „… entscheidenden Organe machen sich bei der Anordnung von Internal Investigations daher grundsätzlich nicht des …” „… [an Internal Investigations] ernsthaft zu bedenken“,817 ist nach einer kurzen Übersicht zu dem …”

: Datenschutzrecht S. 333-405

„… Internal Investigations verletzt wird, wenn die Anwälte gezwungen werden, die Ermittlungsergebnisse und …” „… Aufmerksamkeit bei der Durchführung von Internal Investigations auf datenschutzrechtliche Bestimmungen zu …” „… . Verletzung im Rahmen der Internal Investigations Zu prüfen ist, ob die Bestimmungen des …”

: Thema der Arbeit S. 33-37

„… umfangreicher Ermittlungen, so genannter „Internal Investigations“, mittels einer eigens zu diesem Zweck …” „… der SEC mittels Internal Investigations in Deutschland zulässig ist. Der Ausgangspunkt dabei ist, dass …” „… falls dort zu unterbleiben hat, wo sie gegen geltendes Recht verstößt. Internal Investigations sollen …”

: Referenzpunkte S. 38-39

„… aufzuzeigen sein wird, existieren kaum kodifizierte Regelungen für das Verfahren der Internal Investigations …” „… nicht, den Ablauf von Internal Investigations empirisch zu erfassen, sondern das Vorgehen in einem …” „… Anordnung von Internal Investigations innerhalb einer Aktiengesellschaft sowie die Frage, ob das …”

: Das US-amerikanische Sanktionssystem in Korruptionsfällen S. 41-65

„… unberechenbar.177 § 2: Internal Investigations Der Begriff der internen Ermittlung gewinnt zwar zunehmend an …” „… Bekanntheit, vielfach fehlt es ihm aber noch an genauen Konturen. Daher sind Internal Investigations in der …” „… Um die Bedeutung von Internal Investigations erläutern zu können, ist zunächst eine Definition des …”

: Aufbau S. 39-41

„… Zulässigkeit und Zuständigkeit zu der Anordnung von Internal Investigations innerhalb einer Aktiengesellschaft …” „… : Aufbau Eine Auseinandersetzung mit Internal Investigations im deutsch-USamerikanischen Kontext setzt …” „… Korruptionsfällen (§ 1) sowie der Inhalt und der Ablauf von Internal Investigations dargestellt (§ 2). § 1: Das …”

: Auslandskorruption durch Unternehmen – ein Unrecht? S. 35-38

„… kodifizierte Regelungen für das Verfahren der Internal Investigations, sodass eine Auseinandersetzung mit …” „… praktischen Beispielen unerlässlich ist. Ziel der Interviews war es nicht, den Ablauf von Internal …” „… Investigations empirisch zu erfassen, sondern das Vorgehen in einem exemplarischen Fall zu untersuchen. Die …”

doi.org/10.5771/9783845266619

Florian Eichner - Die Beschlagnahmefreiheit im Vertrauensverhältnis zwischen (Compliance-)Ombudsanwälten und mandatierenden Unternehmen

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Florian Eichner

Die Beschlagnahmefreiheit im Vertrauensverhältnis zwischen (Compliance-)Ombudsanwälten und mandatierenden Unternehmen

Series: Schriftenreihe zum deutschen, europäischen und internationalen Wirtschaftsstrafrecht

Volume 44 2020

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B. Compliance und Internal Investigations S. 18-59

„… Compliance und Internal Investigations Compliance Begriffsbestimmung Der Begriff "Compliance …” „… Internal Investigations 20 tionspflicht bei entsprechender Gefährdungslage nur dann, wenn er eine auf …” „… Rn. 28 ff.; Moosmayer, Compliance, Rn. 39. B. Compliance und Internal Investigations 22 zern, vgl …”

Titelei/Inhaltsverzeichnis S. 1-12

„… Internal InvestigationsB. 18 ComplianceI. 18 Begriffsbestimmung1. 18 Rechtsgrundlagen2. 19 Gesetzliche …” „… Internal InvestigationsII. 39 Herkunft und Begriffsbestimmungen1. 39 Sanktionsmechanismen der SECa) 39 …”

Literaturverzeichnis S. 223-237

„… .: Beschlagnahmeschutz im Rahmen von Internal Investigations – Zur Reichweite und Grenze des § 160a StPO, NZWiSt 2013, 46 …” „… : Bearbeiter in: BeckOK-StGB, Fundstelle). Behrens, Alexander: Internal Investigations. Hintergründe und …” „… ). Bergmann, Marcus / Schwarz, Moritz: Internal Investigations und Ermittlungsverfahren, hg. von: Christian …”

D. Schlussbetrachtung und Ausblick S. 218-222

„… Internal Investigation bestehenden Rechtsunsicherheiten nicht beseitigt worden sind. Insbesondere ist …” „… Legislaturperiode gesetzliche Vorgaben für Internal Investigations zu schaffen.1020 Insbesondere mit Blick auf die …” „… mithilfe von Internal Investigations und zur anschließenden Offenlegung der hieraus gewonnenen Erkenntnisse …”

A. Einleitung S. 13-17

„… und Internal Investigations relevant gewordenen Fragen jedoch nicht abschließend beantwortet. Ganz im …”

C. Ermittlungsbeschränkungen S. 60-217

„… Beweisverwertungsverbote geschützt. Im Themenkomplex Compliance und Internal Investigations führt das Unternehmen bzw …” „… : Knierim/Rübenstahl/Tsambikakis, Internal Investigations, Kap. 5 Rn. 41; Kasiske, JuS 2014, 15 (19 f.); v. Galen, NJW 2011, 945 …” „… .); wohl auch Krug/Skoupil, NJW 2017, 2374 (2379); Schwarz in: Bergmann/Schwarz, Internal Investigations …”

doi.org/10.5771/9783748921066

Stephan Spehl, Thomas Gruetzner - Corporate Internal Investigations

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Stephan Spehl (ed.), Thomas Gruetzner (ed.)

Corporate Internal Investigations

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2013

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Reynaldo Vizcarra, Adriana Ibarra, Fernando Godard § 9. Mexico S. 298-317

„… questions in connection with internal investigationsI. Initiation of internal investigations1. When and to …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B. The 25 key questions in connection with internal investigations . . . . 17I. Initiation of …” „… internal investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171. When …”

Timur Sukirno, Reno Hirdarisvita § 7. Indonesia S. 248-263

„… corporate internal investigations,the following questionnaire is based mostly on such guidelines provided by …” „… theNational Committee on Governance and the Three Pillars.B. Initiation of internal investigationsI. When and …” „… internal investigationsI. What measures are admissible within the scope of internal investigations?18 …”

Gianfranco Di Garbo, Francesca Gaudino, Enrico Maria Mancuso, Mila Vasile § 8. Italy S. 264-297

„… adopted by otherlegal systems.B. The 25 key questions in connection with internal investigationsI …” „… within the scope of internal investigations.B. The 25 key questions in connection with internal …” „… existing illnesses or similar information that is of norelevance to the internal investigations.f) Video …”

Stephan Spehl, Thomas Grützner § 6. Germany S. 184-247

„… key questions in connection with internal investigationsI. Initiation of internal investigations1 …” „… the company orindividual brands of the company will suffer. By means of internal investigations,the …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B. The 25 key questions in connection with internal investigations . . . . 3I. Initiation of …”

Ekaterina Kobrin § 10. Russia S. 318-341

„… investigationsI. Initiation of internal investigations1. When and to what extent should internal investigations be …” „… measures are admissible within the scope of internal investigations?a) Companies’ Data34 In the course of …” „… refusing to cooperate in internal investigations?Russian law stipulates the following employment law …”

Robert Kent, Jerome Tomas § 13. United States of America S. 420-455

„… investigation.B. Initiation of internal investigationsI. When and to what extent should internal investigations be …” „… , courts uphold workproduct claims over material prepared in connection with internal investigations.In the …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B. Initiation of internal investigations …”

Joanna Ludlam, Henry Garfield § 4. England and Wales (Ludlam/Garfield) S. 124-159

„… . . . . . . . . . . . . . . . . . . . . . . . . . 173A. Initiation of internal investigationsI. When and to what extent should internal investigations …” „… investigationsI. What measures are admissible within the scope of internal investigations?36 1. The steps that can …” „… 2 9.1.580; Page size: 160.00mm 240.00mmF. Following-up on internal investigationsI. What is to be …”

Michelle Gon, Ping Zheng § 3. China S. 102-123

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102A. Initiation of internal investigationsI. When and to what extent should internal investigations …” „… measuresin internal investigationsI. What measures are admissible in internal investigations?1. Overview20 …” „… generally not required to be involved in internal investigations.However, PRC law requires employers to …”

Georg Krakow, Alexander Petsche § 1. Austria S. 20-69

„… internal investigations.B. The 25 key questions in connection with internal investigationsI. Initiation of …” „… colleagues. In the case of internal investigations,the required balancing of interests will turn out in favor …” „… refusing to cooperate in internal investigations?a) Reasons for an employee’s duty to cooperate125One of …”

David Charlot, Nadège Dallais, Laetitia Desoutter, Clémentine De Guillebon, Denise Lebeau-Marianna § 5. France S. 160-183

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A. Initiation of internal investigationsI. When and to what extent should internal investigations be …” „… investigationsin France?10 Foreign attorneys may conduct internal investigations in France, provided theydo not …” „… and implementation of individual measures withinthe scope of internal investigationsI. What measures …”

Camila v. Ancken, Esther M. Flesch, Andre G. Fonseca, Fabio C. Lima, Bruno C. Maeda § 2. Brazil S. 70-101

„… ? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153A. Initiation of internal investigationsI. When and to what extent should internal investigations …” „… internal investigationsin Brazil?23Foreign attorneys may conduct internal investigations in Brazil, as long …” „… implementation of individual measures withinthe scope of internal investigationsI. What measures are admissible …”

David Diaz, Norman Heckh, María Massó § 11. Spain S. 342-365

„… ? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134A. Initiation of internal investigationsI. When and to what extent should internal investigations …” „… investigationsby foreign attorneys. Internal investigations would qualify as legal advice as opposedto legal …” „… investigationsI. What measures are admissible within the scope of internal investigations?27Measures of control …”

Mark Livschitz § 12. Switzerland S. 366-419

„… of internal investigationsI. When should internal investigations be initiated and to what extent?1The …” „… individual measures withinthe scope of internal investigationsI. What measures are admissible within the …” „… investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1I. When should internal …”

Titelei/Inhaltsverzeichnis S. 1-19

„… Spehl / GruetznerC.H. Beck . Hart . NomosCorporate Internal Investigations – Overview of 13 …” „… InternalInvestigations– Overview of 13 jurisdictions –edited byStephan SpehlandThomas GruetznerC.H. Beck Hart …” „… on “CorporateInternal Investigations” was published in the early ’90s.Publications about the …”

doi.org/10.5771/9783845259062

Agnieszka Aleksandra Murawska (Nowakowska) - Administrative Anti-Fraud Measures within the European Union

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Agnieszka Aleksandra Murawska (Nowakowska)

Administrative Anti-Fraud Measures within the European Union

2008

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Internal investigations S. 111-113

„… internal investigations with regard to such bodies or agencies.4594.2 Internal investigationsThe legal …” „… basis for all internal investigations is Article 4 of Regulation (EC) No.1073/99, in conjunction with …” „… proceedings.462 Thus, internal investigations also protect non-financial interests of the Community and …”

Secondary law instruments S. 70-79

„… such prevent OLAF from carrying out internal investigations.This fact presents an infringement of the …” „… entrusted OLAF with competence to carry out internal and external administrative investigations to detect …” „… regard to internal investigations and all of the Commission’s powers to conduct external investigations …”

External investigations S. 102-111

„… agencies.4594.2 Internal investigationsThe legal basis for all internal investigations is Article 4 of …” „… subcontractors,and carry out internal investigations with regard to such bodies or agencies.452 See OLAF Manual, l.c …” „… national bodies or executive agencies, and carryout internal investigations with regard to such bodies or …”

Outline S. 25-26

„… by internal investigations.Chapter VIII is devoted to the protection of witnesses and whistleblowers …” „… irregularities, both with regard to external and internal investigations. Chapter VI describes the organisation …” „… theindividuals affected by OLAF investigations. It explores the character of investigations, discusses the need …”

Titelei/Inhaltsverzeichnis S. 2-18

„… Regulations (EC, EURATOM) 1073/99 and 1074/99) 742.2.4 Legal basis for internal investigations …” „… pre-accession funds 1104.1.4.2.8 OLAF investigations in the EDF 1104.2 Internal investigations 1115. Limitation …” „… 1332.2.12 Protection of personal data 1333. Immunities and privileges in internal investigations 1353.1 The …”

Reform of Regulation (EC) No. 1073/99 S. 197-199

„… and internal investigations. These guarantees are complemented by the Interinstitutional Agreement …” „… investigations, as well as relationsbetween the internal actions taken by the EC institutions and bodies, to …” „… byOLAF investigations. For the purpose of better protection of the procedural rightsof the accused, a new …”

Official secrecy S. 137-138

„… their mandate could be infringed through OLAF internal investigations. CFI dismissed this action as …” „… professional secrecy obtained during the courseof an internal investigation were established in Article 8, 9 …” „… the findingscollected during the internal investigation and contained in the Final Case Reportto the …”

Assessment by the Supervisory Committee S. 99-101

„… an internal investigation, to send the report and anyrelated documents to the European institution …” „… Commission is informed about any internal investigation involvinga member of the Commission. The only …” „… performance of his duties with regard to theopening and carrying out of external and internal investigations …”

The Immunities and Privileges S. 135-137

„… .6043. Immunities and privileges in internal investigations The competence of OLAF to carry out internal …” „… internal investigations shall be carried out subject to therules of the Treaties, in particular the …” „… internal investigations609, the institution concerned may waive the immunity if it is not contrary to the …”

Rights to be protected S. 121-135

„… an external or internal investigation carried outby OLAF has a right to defence.524 This right has …” „… ‘interested party’ during thenational judicial proceeding. With regard to internal investigations, this right …” „… information that occurred in the Eurostat case.6043. Immunities and privileges in internal investigations The …”

Draft Commission Decision amending its Decision (1999/352/EC, ECSC, EURATOM) of 28 April 1999 establishing the European Anti-Fraud Office (OLAF) S. 199-200

„… investigations, as well as relationsbetween the internal actions taken by the EC institutions and bodies, to …” „… 199The control over the duration of investigations and review of OLAF investigations should be …” „… individualimplicated in the facts under investigation to file a request for an opinion with theReview Adviser.886 …”

Complaint to the European Union Civil Service Tribunal according to Article 236 EC Treaty in conjunction with Article 14 of Regulation (EC) No. 1073/99 and Article 90 of the Staff Regulations S. 180-182

„… usedby any staff member alleging that OLAF has improperly conducted an internal investigation against him …” „… European Communities.811 The officials were concerned about internal investigations by OLAF withregard to …” „… an OLAF internal investigation. Among the pleas supporting his action, the applicant claimsthat the …”

Principle of internal organisational autonomy of EC institution S. 116-117

„… institutionAnother limitation on OLAF investigations results from the ‘principle of eachinstitution’s internal …” „… internal investigations, guarantees of the rights of persons affected by such an investigation. Accordingly …” „… 136/18.117refused to accept OLAF competence to carry out internal investigations in theseinstitutions496 …”

Rights granted to whistleblowers S. 147-150

„… course of an internal investigation is subject to professional secrecy and may not be communicated to …” „… adversely affecting him committed by the Office as part ofan internal investigation. For that purpose, the …” „… case-by-case basis, through the jurisprudence of the CFI, decisionsof the Ombudsman or by internal documents of …”

Principle of proportionality S. 113-114

„… investigation to determine the provisions applicable to it.The internal decisions adopted in 1999 by the …” „… 113the Model Decision.470 However, none of the internal decisions is identical to theModel Decision …” „… ECB and the EIB, and the internal decisions that theyhad adopted had the effect of preventing …”

Action for damages (Article 288 EC Treaty) S. 176-179

„… of individuals affected by internal investigations In addition to the above-mentioned actions …” „… , officials subjected to internal investigations of OLAF can defend themselves against any measure undertaken …” „… the Commission forOLAF investigations and, despite the fact that the decision closing the …”

The Director-General of OLAF S. 95-98

„… and internal investigations or to the drafting of reports following such investigations. If he …” „… right to exercise Commission powers379; however, itshould exercise its investigation powers ‘in complete …” „… concerned independence of the Office, legitimacy of the investigations, and the protection of procedural …”

EC Decisions S. 230-232

„… , ECSC, EURATOM) 1999/396 of 2 June 1999 concerning the termsand conditions for internal investigations …” „… conditions for internal investigations in relation to the prevention of fraud, corruption and any illegal …” „… Members of the Court in internal investigations in relation to the prevention of fraud, corruption and any …”

UCLAF and the protection of the financial interests of the EC S. 63-65

„… internal investigations, a special legal basis wasadopted in the Commission’s Decision of 14 July 1998 …” „… duplication of internal auditing services and ineffectiveness in performing its fraud investigation …” „… investigations into suspected fraud (pre-IRENE) and on cases reportedto the Commission by the Member States …”

Limitations with respect to enforcement S. 115-116

„… investigations results from the ‘principle of eachinstitution’s internal organisational autonomy’.493 In order to …” „… procedures that the Office’semployees would have to observe when conducting internal investigations …” „… precautionary measures under its national law. Other limitations on OLAF investigations emerge from national …”

Complaint to the Director-General according to Article 90(2) of the Statute S. 179-180

„… of individuals affected by internal investigations In addition to the above-mentioned actions …” „… , officials subjected to internal investigations of OLAF can defend themselves against any measure undertaken …” „… others the conduct of OLAF in the course of two investigations carried out by the Office. In the view of …”

Objective of the study S. 23-24

„… detecting irregularities,such as external and internal investigations. Questions are directed at the work …” „… officials affected by OLAF internal investigations, the protection ofwhistleblowers and witnesses, and the …” „… through investigations (controls) to various formsof penalties and sanctions (including follow-up and …”

Methodology S. 24-25

„… the main activities of OLAF in detecting irregularities,such as external and internal investigations …” „… and privileges ofCommunity officials affected by OLAF internal investigations, the protection …” „… Statesand follow-up of investigations. The thesis also analyses the legal position of individuals subject to …”

Internal procedure of whistleblowing S. 144-145

„… such informants.6474.2 Internal procedure of whistleblowing Internal procedure is seen as an …” „… Community established an internal mechanism for reportingmisconduct. The internal procedure stipulates …” „… openinginternal or external investigations as defined in Article 2 of Regulation (EC) No.1073/99.6514.3 External …”

Legal character of OLAF investigations S. 119-121

„… could be also applied to OLAF investigations. 2. Protection of rights of persons affected by OLAF …” „… investigations by Community lawAccording to Article 10 of Regulation No. 1073/99, OLAF has to ensure »fullrespect …” „… investigations may produce important evidence, which can be used in further national proceedings, this obligation …”

Protection of persons who suffered retaliation S. 150-151

„… the Office as part ofan internal investigation. For that purpose, the procedure laid down inArticle …” „… Office that an investigation has been closed and, where appropriate, a final case report has been sent to …” „… other individuals and effectiveness of the investigation. 5.4 Protection of persons who suffered …”

Preparation for accession S. 184-186

„… , Lithuania: Ministry of Interior, Financial Crime Investigation Service, Malta: IAID, Internal Audit and …” „… investigations conducted by the European Anti-FraudOffice (OLAF).821 Furthermore, third pillar mechanisms had to …” „… carrying out checks and investigations inthe candidate countries to guarantee the proper administration of …”

ECJ S. 171-175

„… informationcollected during internal investigations into matters liable to result in criminalproceedings. The …” „… could not exclude the possibility that internal investigations carried out by OLAF could potentially …” „… jeopardise the internal working of the EP. In addition, the contested decision did not include any specific …”

Background S. 139-140

„… 139Chapter VIII. Protection of witnesses and whistleblowers in OLAF investigations1 …” „… .620 Suchpolicy must include some core elements, such as the appropriate internal and external whistle …” „… blowing procedure, independent investigation services, and mechanisms for protecting whistleblowers …”

External procedure of whistleblowing S. 145-146

„… indicated to the official. The possible actions may include openinginternal or external investigations as …” „… to the internal procedure, the European Community introduced thepossibility to report misconduct …” „… Council of 25 May1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF …”

Supervisory Committee S. 98-99

„… interfere either in pending investigations or inoperational activities. This results from the fact that the …” „… Committee does not havethe powers of investigation and prosecution available to a prosecution service,and as …” „… the Community institutions on an annual basis regarding the results of OLAF’s investigations and …”

Constitutional Treaty S. 195-197

„… concern the extension of the provision to cover internal corruption. Pursuant to this provision and …” „… should have competencies in the fieldof Community fraud and would be responsible for investigation and …” „… byOLAF investigations. For the purpose of better protection of the procedural rightsof the accused, a new …”

Whistleblowers S. 141-142

„… duly authorizedaudits or investigations«, in force since 01.01.2006: »Any retaliatory measures against …” „… investigations also applies to witnesses.638 3.4 Anonymous sourcesThe last category of persons is defined as …” „… ; protectionshould be afforded to different types of disclosure routes (internal and externalprocedure for …”

Conclusions S. 151-152

„… investigations by OLAF. This person may also submit to the Director-General of OLAF a complaint within the …” „… meaning ofArticle 90(2) against an act adversely affecting him in connection with investigations by …” „… interests at stake, e.g. if he/she has obeyed internal procedures, if he/she has acted without aimto gain …”

Obligations of whistleblowers S. 142-144

„… OLAFensures that general protection provided to all persons involved in OLAF’s investigations also applies to …” „… different types of disclosure routes (internal and externalprocedure for whistleblowers); confidentiality of …” „… channel to such informants.6474.2 Internal procedure of whistleblowing Internal procedure is seen as an …”

Communications S. 232-233

„… internal investigations in relation to the prevention of fraud, corruption and any illegalactivity …” „… of theCouncil amending Regulation (EC) No. 1073/1999 concerning investigations conducted bythe …”

Other documents and materials S. 234-235

„… Internal Market for the Committee on Constitutional Affairs on the general revision of the Rulesof …” „… (EC) No. 1073/1999 concerning investigations conducted by the European Anti-Fraud Office in accordance …” „… authorized audits or investigations", in force since01.01.2006 Transparency International, »Publicity of …”

Prerequisites for granting protection S. 146-147

„… 1464.4 Exceptions Both internal and external whistle blowing procedures are subject to …” „… internal documents of the European Commission. It isevident that the legal value of these provisions is …” „… decisionof 5 February 2004 to close the OLAF investigation OF/2002/0356 and the final658 The Public Interest …”

Fundamental rights, immunities, privileges S. 117

„… 117refused to accept OLAF competence to carry out internal investigations in theseinstitutions496 …”

Witnesses S. 142

„… OLAFensures that general protection provided to all persons involved in OLAF’s investigations also applies to …” „… different types of disclosure routes (internal and externalprocedure for whistleblowers); confidentiality of …”

Anonymous sources S. 142

„… OLAFensures that general protection provided to all persons involved in OLAF’s investigations also applies to …” „… different types of disclosure routes (internal and externalprocedure for whistleblowers); confidentiality of …”

Appendix G. Press releases S. 249

„… in its internal investigative functions relating to the European institutions«Commission Press …” „… Office (OLAF)«, CJE/03/59OLAF press release of 9.03.2006; »Eurostat affair: investigation into leaks …”

Penalties for making false and malicious allegations S. 147

„… case-by-case basis, through the jurisprudence of the CFI, decisionsof the Ombudsman or by internal documents of …” „… the OLAF investigation OF/2002/0356 and the final658 The Public Interest Disclosure Act (PIDA) of 1998 …”

Administrative penalties S. 88-92

„… »Boundaries between Administrative and Judicial Investigation«, in: Vervaele, John (ed.) »Transnational …” „… internal system that is connected to the central accounting. Debarment rules vary and depend on the modes …” „… principle, confiscation is perceived as anelement of investigation, such as in Regulation (EEC) No. 4045/89 …”

The Staff S. 99

„… annual basis regarding the results of OLAF’s investigations and follow-up actions.400 2.3 The StaffOLAF …” „… internal irregularities within the Community institutions.405 399 OLAF Manual, l.c., p. 30.400 The …”

EC Resolutions S. 232

„… internal investigations in relation to the prevention of fraud, corruption and any illegalactivity …”

Charter of fundamental rights S. 200-201

„… concerns the introduction of an internal OLAF legal control mechanism – an independent Review Adviser …” „… investigations of OLAF, is the right to good administration.This right has been introduced by Article 41, which …”

Informants S. 140-141

„… and in its internal guide of procedure.628 The OLAF Manual also defines whistleblowers, witnesses …” „… investigations«, in force since 01.01.2006: »Any retaliatory measures against acontractor or its employees …”

Protection of financial interests in the Treaty of Maastricht S. 65-66

„… duplication of internal auditing services and ineffectiveness in performing its fraud investigation …”

The Community budget S. 27-37

„… European Parliament and of the Council of 25 May1999 concerning investigations conducted by the European …” „… financing, amongstothers, agricultural and rural development, Structural Funds, internal and …” „… States both on the internal EU market and outside it. 62 The aim of the Structural Funds was described in …”

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