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Kai Wegrich - Das Leitbild »Better Regulation«

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Kai Wegrich

Das Leitbild »Better Regulation«

Series: Modernisierung des öffentlichen Sektors ("Gelbe Reihe")

Volume 38 2010

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4. Wie wirkt better regulation? S. 46-73

„… - Regulation-Strategien, wenn beispielsweise Ideen risikobasierter Kontrolle als aktueller „Stand der Technik“ für die …” „… Regulierung bilden. 69 Diese Spannungen können im Design von Better Regulation-Programmen nicht einfach …” „… Better Regulation-Agenda. Erst im Jahr 2010 begann eine bislang ergebnisoffene Programmentwicklung über …”

1. Better Regulation: neues Leitbild der Verwaltungspolitik? S. 8-18

„… Messungen der Bürokratiekosten (nach dem 9Better regulation/Bessere Rechtsetzung: Vorläufer und Tab. 1 …” „… heute der Better- Regulation-Agenda zugeordnet wird, bereits im Zuge der großen Finanz- und …” „… attraktiv. Mit Blick auf die praktische Anwendung von Better- Regulation-Instrumenten stellt sich aber …”

6. Wie geht es weiter mit better regulation? S. 87-92

„… 86 6. Wie geht es weiter mit better regulation? Better regulation ist ein Reformansatz mit dem …” „… . Better-Regulation- Instrumente versuchen dies, indem sie Standards für den Regulierungsprozess definieren – also …” „… regulation mit speziellen Schwierigkeiten verbunden. So ist die Festlegung und Durchsetzung von …”

5. Wie wird better regulation gesteuert? Organisatorische Verankerung und Kontrollformen S. 74-86

„… Kontrollformen zur Durchsetzung von Better Regulation-Standards. Unter Rückgriff auf diese Beispiele werden im …” „… 73 5. Wie wird better regulation gesteuert? – Organisatorische Verankerung und Kontrollformen Die …” „… Wirksamkeit von better regulation hängt wie jede Form der Regulierung letztlich von der Einhaltung der …”

Literatur S. 93-97

„… Science, Jg. 18, H. 2, S. 135-152. Ayres, I./Braithwaite, J. 1992: Responsive Regulation: Transcending the …” „… Deregulation Debate. Oxford: Oxford University Press. Baldwin, R. 2005: Is Better Regulation Smarter Regulation …” „… ? In: Public Law (Autumn), S. 485-511. Baldwin, R. 2008: Regulation lite: The rise of emissions trading …”

3. „Schlechte“, „gute“ und „bessere“ Regulierung S. 32-45

„… better regulation um eine reformpolitische Agenda, die auf die Veränderung der Art und Weise staatlicher …” „… Regulierung gerichtet ist. Der Begriff better regulation weist darauf hin, dass diese Agenda bei …” „… “ Regulierung anleiten sollen. Die Ziele und Logik von better regulation werden also in der Kombination von …”

Titelei/Inhaltsverzeichnis S. 1-6

„… , Wirkungsweise Das Leitbild »Better Regulation« 1Wegrich Das …” „… Leitbild »Better Regulation« 2Modernisierung des öffentlichen Sektors …” „… Wegrich Das Leitbild »Better Regulation« Ziele, Instrumente, Wirkungsweise edition sigma 4Bibliografische …”

2. Was ist Regulierung? S. 19-31

„… internationalen Better-Regulation-Agenda und richtet sich grundsätzlich auf alle staatlichen Handlungsprogramme …” „… zwei Gründen wichtig: Erstens, weist die internationale Better-Regulation-Debatte (siehe z.B. OECD 2002 …” „… Form staatlicher Regulierung von Unternehmen im Zentrum von better regulation, sowohl als Anlass als …”

Verzeichnis der Abbildungen und Tabellen S. 98-101

„… : Intervention regulierungspolitischer Instrumente im 50 Policy-Prozess Tab. 1: Better regulation/„Bessere …” „… von Better- 66 Regulation-Instrumenten Tab. 7: Better-Regulation-Reformen im Vergleich europäischer 70 …” „… Regulierungen 42 Tab. 5: Better-Regulation-Instrumente 48 Tab. 6: Standards, Wirkungslogik und Design-Dilemma …”

doi.org/10.5771/9783845272382

Felix Keller - Anonymität und Gesellschaft Bd. I

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Felix Keller

Anonymität und Gesellschaft Bd. I

2021

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Die Regulation von Fiktionen S. 97-189

„… 2. Die Regulation von Fiktionen2.1 Von Texten und NamenDie Spur zu dem, was einen Namen trägt, so …” „… , S. 13; Bauman 2000.97DIE REGULATION VON FIKTIONENkeit und Subversion spricht nicht zuletzt, dass …” „… challenge which thosenew formats have created«, McKenzie 1986, S. 5.12 Ebd., S. 38.99DIE REGULATION VON …”

Titelei/Inhaltsverzeichnis S. 1-8

„… . . . . . . . . . . . . . . . . 81Das Namenlose der Namensordnungen . . . . . . . . . . 922 Die Regulation von Fiktionen 972.1 Von …”

Anonymes Kapital S. 267-329

„… als solche kaum zu fassensind.⁸⁸Ähnlichwie der Autor zur Instanz der Regulation und Produktion …”

Anonymität – eine Geschichte der Gesellschaft S. 521-530

„… Ver-teilwege verbreiteten, über die Erfindung anonymer Kapitalströme undderen Regulation, über die Produktion …” „… Herausforderung an die Legitimität der bestehenden Ordnungdar. Autorschaft als Regulationsinstanz und anonyme …”

Anarchische Öffentlichkeiten S. 190-266

„… einer Regulation der kursierenden Fiktionen, erneut eineHerausforderung darstellte. Die neue Freiheit …”

Kontrollkrisen und Verrätselungen S. 435-520

doi.org/10.5771/9783748931935

Dennis Voigt - Die Rückabwicklung von Kartenzahlungen

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Dennis Voigt

Die Rückabwicklung von Kartenzahlungen

Series: Schriftenreihe des Instituts für Europäisches Wirtschafts- und Verbraucherrecht e.V.

Volume 22 2007

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TILA/Regulation Z S. 267-285

„… Verbindung mit den Regulations Z (12 CFR, Part 226) geregelt, während der Electronic Funds Transfer Act, 15 …” „… U.S.C.A. §§ 1693-1693r (im Folgenden EFTA) und die Regulations E (12 CFR Part 205) Vorschriften für …” „… Transaktionen auf debitorisch geführte Konten vorsehen. Die Regulations werden vom „Board of Governors of the …”

EFTA S. 285-288

„… geführt wird, auf dessen Belastung der EFTA sowie die Regulation E anwendbar ist, sowie ein Konto, welches …” „… Beleg erhalten hat, muss der Kartenaussteller gemäß 12 CFR § 205.11(c)(1) Regulation E nicht den …” „… Kartenunternehmen dem Karteninhaber der Betrag vorläufig gutschreiben, 12 CFR § 205.11(c)(2)(i) Regulation E. Sobald …”

Vorwort S. 7-14

„… ...................................................................................................................... 267 A) TILA/Regulation Z …”

Literaturverzeichnis S. 311-333

„… Cards – Problems under Regulation Z and Problems as a possible Result of Future Developments Under …”

doi.org/10.5771/9783845203720

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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EC Regulations S. 227-230

„… . 1 II. Secondary law instruments1. EC RegulationsRegulation (EEC) No. 25/1962 on the financing of the …” „… framework of theEuro-Mediterranean partnership, OJ L 189, 30.7.1996, p. 1, amended by Council Regulation(EC …” „… Commission Regulation(EC) No. 39/2004, OJ L 6, 10.01.2004, p. 16Council Regulation (EC, EURATOM) No …”

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

„… Regulation (EC) No. 1073/993.1.1 First draftsThe need for further changes of the anti-fraud legislation at …” „… draft Regulation amending Regulation (EC) 1073/99 wasproposed on 10 February 2004.882 This draft …” „… Regulation provides for a set of procedural rights of suspects affected by OLAF’s external investigations …”

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

„… Regulations, which requires the Director-General of OLAF to decideon the matter within four months from the …” „… Regulation (EC) No. 1073/99 and Article 90 of the Staff Regulations The European Union Civil Service Tribunal …” „… conjunction with Article 14 of Regulation (EC) No. 1073/99810 and Article 90 of the Staff Regulations) may be …”

External investigations S. 102-111

„… Regulation(EC, EURATOM) No. 2185/96. The sectoral basis is Article 9(1) of Regulation(EC) No. 2988/95. Pursuant …” „… of Regulation(EC) No. 1073/99 and Article 9(1) of Regulation (EC, EURATOM) No. 2988/95.According to …” „… field is Article 6 of Regulation(EEC) No. 595/1991440 in conjunction with Article 3 of Regulation (EC …”

Administrative penalties S. 88-92

„… sectoral instruments such as Regulation(EEC) No. 2847/93.348 4.2.2 Payment of an amount greater than the …” „… seq. 91The critical instrument, which was set up in the EAGGF sector, is RegulationNo. 1469/95 (also …” „… . Pursuant to the provisions of the Financial Regulation,such a system allows the exclusion of candidates and …”

Secondary law instruments S. 70-79

„… , complying withthe minimum standards set out in the Regulation.The above Regulation also provides for minimum …” „… (EC) No. 1073/99 and Council Regulation(EURATOM) No. 1074/99262 entrust OLAF with new powers with …” „… Regulation (EC) No. 2035/2005282 Commission Regulation (EC) No. 1831/94283, Commission Regulation(EC) No …”

The Community budget S. 27-37

„… definition. Regulation(EC) No. 1073/99 stipulates that the protection of the financial interests of …” „… Commission’s Fifth report under Article 12 of Regulation(EEC, EURATOM) No. 1553/89 on VAT collection and …” „… EU-/EG-Vertrag«, 5th edition, Baden-Baden 1997,Article 209a, recital 16. 7 Regulation (EC) No. 1073/1999 of the …”

Irregularities S. 39-41

„… .1469/95.86The definition of irregularities was introduced in Article 1(2) of Regulation(EC, EURATOM) No …” „… subsequently introduced into Community legislation, without providing for a definition85, in Regulation (EC) No …” „… meaning of Regulation (EC, EURATOM) No. 2988/95.84 Doc. DG VI/680/91.85 A definition was adopted in …”

Protection of persons who suffered retaliation S. 150-151

„… suffer retaliation. Until the amendment of the Staff Regulation in 2004, Article 14 Regulation(EC) No …” „… whistleblowers in the draft Regulation amending Regulation (EC) No. 1073/99The new draft Regulation amending …” „… Regulation (EC) No. 1073/99 introduced paragraph 5 to Article 9, providing that »an informer who has provided …”

Internal investigations S. 111-113

„… of Commission Regulation 2304/2002458, Article 14(6) of the Financial Regulation of 27.3.2003 …” „… applicable to the9th EDF, the agreement with the third country involved (SPD), Article 3 of Regulation (EC …” „… ) No. 1073/1999 and Article 9(2) of Regulation (EC, EURATOM) No.2988/95. OLAF is entitled to conduct …”

Rights to be protected S. 121-135

„… the new draft Regulation amending Regulation1073/99. The draft Regulation introduced Article 7a, which …” „… , l.c., p. 128-129.521 OLAF Manual, l.c., p. 129.522 See Article 7a of the draft Regulation amending …” „… Regulation (EC) No. 1073/99 concerninginvestigations conducted by the European Anti-Fraud Office (OLAF), COM …”

Reporting obligations S. 49-51

„… agriculturalpolicy and the organization of an information system in this field and repealing Regulation(EEC) No …” „… legal basis for the reporting obligations of the Member States can be found in Article 3 of Regulation …” „… (EEC) No. 595/91 for theagricultural sector139, Article 3 of Regulations (EC) No. 1681/94140 and …”

Primary law instruments S. 227

„… . 1 II. Secondary law instruments1. EC RegulationsRegulation (EEC) No. 25/1962 on the financing of the …” „… common agricultural policy, OJ B 30,20.04.1962, p. 991; amended by: Regulation (EEC) No. 728/70 of the …” „… 94,28.04.1970, p. 9; Council Regulation (EC) No. 1258/1999 of 17 May 1999 on the financingof the common …”

The Immunities and Privileges S. 135-137

„… the protection of personal data, in particular those providedfor in Regulation (EC) No. 45/2001602 …” „… , was introduced into Article 8(3) of thedraft Regulation 1073/99.603Problems with processing data are …” „… was limited according to Article 4(1)(2) of Regulation (EC) No. 1073/99.It states that: »These …”

Rights granted to whistleblowers S. 147-150

„… , Article 14 Regulation(EC) No. 1073/99 provided that, in this transitional period, officials or other …” „… Staff Regulations of the European Communities. However, several of these rights wereclarified on a …” „… forward an argument that, according to Article 8 of Regulation1073/1999, information obtained in the …”

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

„… Regulations,introducing Article 90a801, which provides that any staff member802 may submit arequest to the …” „… Article 90(2) of the StatuteRegulation (EC, EURATOM) No. 723/2004800 amended the Staff …” „… ofArticle 90(2)804 against an act adversely affecting him in connection with an800 Council Regulation (EC …”

Legal character of OLAF investigations S. 119-121

„… . 2185/96 and Article 9(2) of Regulation(EC) No. 1073/99.515 Article 9(2) Regulation (EC) No. 1073/99. 516 …” „… Article 1(1) of Regulation (EC, EURATOM) No. 2185/96, Article 2 of Regulation(EC) No. 1073/99. See also …” „… investigations by Community lawAccording to Article 10 of Regulation No. 1073/99, OLAF has to ensure »fullrespect …”

The Director-General of OLAF S. 95-98

„… from the Supervisory Committee.384 Pursuant toArticle 12(2) of Regulation (EC) No. 1073/99, the …” „… 17(2) ofRegulation (EC) No. 1073/99 underlines that in this respect the Director is notbound by any …” „… , 31.05.1999, p.20.386 Article 12 of Regulation (EC) No. 1073/99.387 There remains only the responsibility of …”

Assessment by the ECA S. 101-102

„… checksin the Member States pursuant to a variety of general and sectoral regulations.414The connection with …” „… Opinion No. 2/99 of the Court of Auditors on the amended proposal for a Council Regulation (EC, EURATOM …” „… /C 202/01), OJ C 202/1 of 18.08.2005.414 See Council Regulation (EC, EURATOM) No. 2988/95 concerning …”

Fraud S. 38-39

„… irregularities was introduced in Article 1(2) of Regulation(EC, EURATOM) No. 2988/95.87 According to this …” „… legislation, without providing for a definition85, in Regulation (EC) No.1469/95.86The definition of …” „… system for protecting the European Communities’ financial interests withinthe meaning of Regulation (EC …”

Internal procedure of whistleblowing S. 144-145

„… choice of reporting channels. According to Article 22a of the Staff Regulations, an officialwho becomes …” „… Office (OLAF). According to Article 7 of Regulation 1073/99, the recipient of the information (ifother …” „… »Whistle blowing – regulation and accounting standards enforcement in Germany and Europe: an economic …”

Assessment by the Supervisory Committee S. 99-101

„… the Staff Regulations, »officials should carry outtheir duties and conduct themselves solely with the …” „… independence of the Director-General ofOLAF. According to Article 12(3)(1) of the Regulation (EC) No. 1073/99 …” „… or to the draftingof reports following such investigations«.410Article 12(4) of the Regulation (EC …”

EC Directives S. 230

„… 230Council Regulation (EC) No. 1290/2005 of 21 June 2005 on the financing of the common …” „… agricultural policy, OJ L 209, 11.08.2005, p. 1Corrigendum to Council Regulation (EC) No. 1290/2005 of 21 June …” „… . 40Commission Regulation (EC) No. 2035/2005 of 12 December 2005 amending Regulation (EC)No. 1681/94 …”

Obligations of whistleblowers S. 142-144

„… Staff Regulations stipulate that »any official who, in the course of or in connection with the …” „… to the Institution enshrined in Articles 11 and 12of the Staff Regulations. By making whistleblowing …” „… an obligation, the Staff Regulations aim at underlining its importance in the control of fraud and …”

Titelei/Inhaltsverzeichnis S. 2-18

„… instruments 712.2.1.1 Council Regulation (EC, EURATOM) No. 2988/95 712.2.1.1.1 Competences of the Member …” „… States 712.2.1.1.2 Competences of the Community 722.2.1.2 Council Regulation (EC, EURATOM) No. 2185/96 …” „… Regulations (EC, EURATOM) 1073/99 and 1074/99) 742.2.4 Legal basis for internal investigations …”

Criminal penalties S. 92-93

„… Regulations. In principle, confiscation is perceived as anelement of investigation, such as in Regulation (EEC …” „… prevent orreveal irregularities in the agricultural sector. However, in Regulation (EEC) No.2847/93 …” „… circumstances could fall under the scope ofArticle 5(1)(g) Regulation (EC, EURATOM) No. 2988/95, are charges for …”

The European Court of Auditors S. 156-159

„… effectiveness in the protection of the Communities’ financial interests: therevision of the OLAF Regulation (EC …” „… 142696 of the FinancialRegulation.697 These provisions impose an obligation on the Community institutions …” „… and propermanner shall have regard to the provisions of the Treaties, the budget, this Regulation …”

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

„… Regulations,introducing Article 90a801, which provides that any staff member802 may submit arequest to the …” „… the autonomy granted to OLAF by Regulation No 1073/1999 and concluded that OLAF enjoys discretion as …” „… Article 90(2) of the StatuteRegulation (EC, EURATOM) No. 723/2004800 amended the Staff …”

EC Decisions S. 230-232

„… 230Council Regulation (EC) No. 1290/2005 of 21 June 2005 on the financing of the common …” „… agricultural policy, OJ L 209, 11.08.2005, p. 1Corrigendum to Council Regulation (EC) No. 1290/2005 of 21 June …” „… . 40Commission Regulation (EC) No. 2035/2005 of 12 December 2005 amending Regulation (EC)No. 1681/94 …”

Informants S. 140-141

„… ) and(b)).625 These provisions were introduced into the Staff Regulations by Regulation(EC, EURATOM) No …” „… within the European Community areincluded in the amended version of the Staff Regulations (Article 22(a …” „… of whistleblowers«, SEC(2004), 151/2 of 6 February 2004.625 Regulations of officials and the …”

External procedure of whistleblowing S. 145-146

„… defined in Article 2 of Regulation (EC) No.1073/99.6514.3 External procedure of whistleblowingIn addition …” „… of the Staff Regulations. Pursuant to this provision, whistleblowers may report to the President of …” „… Article 17 of the Staff Regulations.654 Since the EC often possessesconfidential and sensitive information …”

Legal framework S. 140

„… ) and(b)).625 These provisions were introduced into the Staff Regulations by Regulation(EC, EURATOM) No …” „… within the European Community areincluded in the amended version of the Staff Regulations (Article 22(a …” „… of whistleblowers«, SEC(2004), 151/2 of 6 February 2004.625 Regulations of officials and the …”

Action against persons who engaged in retaliation S. 151

„… 151Staff Regulations apply may submit a request to the Director-General of OLAFwithin the meaning …” „… pursuant to Article 236 EC Treaty672, Article 90 of theStaff Regulations673 or to complain to the European …” „… Regulations or the Conditions of employment«, Treaty establishing the EuropeanCommunity (consolidated text …”

Legislative proposals S. 233-234

„… regulation of the European Parliament and of the Council on mutual administrativeassistance for the …” „… (presented by the Commission) 20.7.2004, COM(2004) 509 finalProposal for a Council Regulation amending …” „… Regulation (EC) No. 1798/2003 as regards the introduction of administrative cooperation arrangements in the …”

Conclusions S. 151-152

„… 151Staff Regulations apply may submit a request to the Director-General of OLAFwithin the meaning …” „… pursuant to Article 236 EC Treaty672, Article 90 of theStaff Regulations673 or to complain to the European …” „… Regulations or the Conditions of employment«, Treaty establishing the EuropeanCommunity (consolidated text …”

Background S. 139-140

„… ) and(b)).625 These provisions were introduced into the Staff Regulations by Regulation(EC, EURATOM) No …” „… within the European Community areincluded in the amended version of the Staff Regulations (Article 22(a …” „… of whistleblowers«, SEC(2004), 151/2 of 6 February 2004.625 Regulations of officials and the …”

Introduction – competences and procedure S. 159-161

„… No. 2/1999 on the amended proposal for a Council Regulation (EC,EURATOM) concerning investigations …” „… , 11.11.2003; Opinion No. 6/2005 on a proposal fora Regulation of the European Parliament and of the Council …” „… amending Regulations (EC)No. 1073/1999 and (EURATOM) No. 1074/1999 concerning investigations conducted …”

Constitutional Treaty S. 195-197

„… Regulation (EC) No. 1073/993.1.1 First draftsThe need for further changes of the anti-fraud legislation at …” „… draft Regulation amending Regulation (EC) 1073/99 wasproposed on 10 February 2004.882 This draft …” „… Regulation provides for a set of procedural rights of suspects affected by OLAF’s external investigations …”

Historical development of anti-fraud mechanisms within the EC S. 62-63

„… launched through a range of sectoral regulations.205Since the end of the 1980s, action in this sphere has …” „… place. Special measures have been initiated to tackle fraud, particularlythrough regulations in the …” „… against fraud and corruption«, The Hague/London/Boston 1998, p. 20.206 E.g. Council Regulation (EC) No …”

Reports of the European Court of Auditors S. 237-238

„… activities of the European Anti-Fraud Office (OLAF) Regulation (EC) No. 1073/1999of the European Parliament …” „… and of the Council and Council Regulation (EURATOM) No.1074/99 (Article 15), 18.06.2003Comité de …” „… on the amended proposal for a Council Regulation (EC, EURATOM) concerning investigations conducted by …”

Reports of the European Commission S. 236-237

„… the European Commission under Article 12 of Regulation (EEC, EURATOM) No.1553/89 on VAT collection and …” „… activities of the European Anti-Fraud Office (OLAF), Parliament and Council Regulation (EC) No. 1073/1999 …” „… , and Council Regulation (EURATOM)No. 1074/1999 (Article 15), 2.04.2003, COM (2003) 154 finalFollow-up …”

Conclusion S. 102

„… ; the most important are the Decision establishing OLAF of 28 April 1999,Regulation (EC, EURATOM) No …” „… . 2185/96 in conjunction with Regulations (EC)No. 1073/99 and 1074/99, the Interinstitutional Agreement of …” „… described in Articles 2 to 6 of Regulation (EC) No. 1073/99.Pursuant to Article 2, investigations are …”

Council documents S. 233

„… regulation of the European Parliament and of the Council on mutual administrativeassistance for the …” „… (presented by the Commission) 20.7.2004, COM(2004) 509 finalProposal for a Council Regulation amending …” „… Regulation (EC) No. 1798/2003 as regards the introduction of administrative cooperation arrangements in the …”

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

„… 116First, OLAF cannot use precautionary measures. According to Article 7(2) ofRegulation (EC …” „… Community investigatory activity is excluded.491 OLAF investigations carried out on thebasis of Regulation …” „… obliged under Article 4(1) ofRegulation (EC) No. 1073/1999 to adopt decisions. These comprise: rules on …”

Official secrecy S. 137-138

„… and 10 of Regulation(EC) No. 1073/99. However, this obligation does not prevent OLAF from submitting …” „… out internal investigations. Pursuant to Article 4(6)(a) of Regulation(EC) No. 1073/99, members …” „… .3.2 Official secrecyAccording to Article 19 of the Staff Regulations, officials (and former …”

Sanctions imposed by the Community and the Member States S. 85-86

„… Regulations penalties with apunitive, rather than only remedial or compensatory, character.326 These …” „… «, l.c., p. 37.328 Article 23 of Council Regulation (EC) No. 1/2003 of 16 December 2002 on the …” „… . 1.329 Article 14 of Council Regulation (EC) No. 139/2004 of 20 January 2004 on the control …”

Accountability mechanism – OLAF reports S. 153-154

„… the protection of personaldata678, for example pursuant to Article 8 of Regulation (EC) No. 1073/99 …” „… Article 12(3) of Regulation (EC) 1073/1999, the Director General of OLAF shall »report regularly to the …” „… to Article 11(7) of Regulation (EC) 1073/1999, the Director-General is obliged to report on a regular …”

Admissibility of the complaint S. 166-170

„… the form of a regulation or a decisionaddressed to another person, is of direct and individual concern …” „… legal instruments that govern its activities, such as Regulation (EC) No. 1073/99, Commission Decision …” „… 1999/352 or Regulation (EC, EURATOM) No. 2185/96. It is notclear whether an OLAF decision, including its …”

Administrative measures S. 87-88

„… of protection of EC financial interests Regulation (EC, EURATOM) No. 2988/95 introduced a tripartite …” „… negligence.343The administrative measures were described in Article 4 of Regulation (EC,EURATOM) No. 2988/95 …” „… above Regulation, acts aimed at obtaining an advantage, if contrary to the objectives of Community law …”

Enlargement and acquis communautaire with regard to protection of EC financial interests against fraud S. 183-184

„… , above all, first pillar instruments: Council Regulation (EC, EURATOM) No. 2988/95 of 18 December 1995 on …” „… interests819; Council Regulation (EC,EURATOM) No. 2185/96 of 11 November 1996 concerning on-the-spot …” „… interests against fraud and other irregularities820; andRegulation (EC) No. 1073/1999 of the European …”

Principle of proportionality S. 113-114

„… Cases C-11/00 and C-15/00 respectively, on the ground that Regulation 1073/99 is applicable to both the …” „… Regulation from applying to them.471Both the ECB and the EIB had set up their own internal institutional …” „… expressed in Article 3 of Regulation (EC,EURATOM) No. 2185/96. According to this provision, OLAF is not …”

Communications S. 232-233

„… Proposal for a regulation of the European Parliament and of the Council on mutual administrativeassistance …” „… activities (presented by the Commission) 20.7.2004, COM(2004) 509 finalProposal for a Council Regulation …” „… amending Regulation (EC) No. 1798/2003 as regards the introduction of administrative cooperation …”

Supervisory Committee S. 98-99

„… «, as provided by Article 11(1) of Regulation (EC) No. 1073/99.395 According to Article 11(2) of the …” „… above Regulation, the Supervisory Committee is composed of five independent persons from outside the …” „… , renewable once.396 Pursuant to Article 11(5) of the Regulation (EC) No. 1073/99, »in carrying outtheir …”

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

„… , professional secrecy anddata protection. Furthermore, Regulation provides for a right of any …” „… draft foramendment of Regulation (EC) No. 1073/99. The project is at an early stage, andtherefore …” „… Regulation, l.c.887 See Article 11a of the draft Regulation, l.c.888 See Euobserver of 13.07.2005 »OLAF …”

Other documents and materials S. 234-235

„… Agricultural Fund, Newsletter on theCommon Agricultural Policy 1982, No. 193Staff Regulations of officials and …” „… 1968, as laid down by Articles 2 and 3 of CouncilRegulation (EEC, EURATOM, ECSC) No. 259/68 of …” „… European Commission of 4 August 2003The College of Eurojust, Decision on the implementation of Regulation …”

Addressee of the sanctions S. 84-85

„… has competence to include within Regulations penalties with apunitive, rather than only remedial or …” „… : The fightagainst fraud and corruption«, l.c., p. 37.328 Article 23 of Council Regulation (EC) No …” „… 82 of the Treaty, OJ L 1,04.01.2003, p. 1.329 Article 14 of Council Regulation (EC) No. 139/2004 of …”

General remarks S. 118-119

„… introduced into Article 7a draft Regulation(EC) No. 1073/99 concerning investigations conducted by the …” „… European Anti-Fraud Office (OLAF). This amended Regulation is still in the process of consultations.502 …” „… of the new draft Regulation (EC) No. 1073/99 concerning investigationsconducted by the European …”

Irregularities detrimental to the revenues S. 44-46

„… Regulation(EC) No. 2988/95 covers neither VAT fraud nor GNI-based revenues to the ECbudget. The ECJ has not yet …” „… Council Regulation (EEC) No. 2658/1987 of 23 July 1987 onthe tariff and statistical nomenclature and on …” „… the Common Customs Tariff, OJ L 256,07.09.1987 with further amendments.116 Council Regulation (EC) No …”

Preparation for accession S. 184-186

„… 184the European Communities financial interests819; Council Regulation (EC,EURATOM) No. 2185/96 of …” „… ; andRegulation (EC) No. 1073/1999 of the European Parliament and of the Councilof 25 May 1999 concerning …” „… 11(3) of the ISPA-framework Regulation No. 1266/99 and Article 9(3) ofRegulation No. 1268/99.825 For …”

Reports of the Committee of Independent Experts S. 238

„… Treaty, (2005/C 202/01), OJ C 202 of 18.8.2005, p. 1Opinion No. 6/2005 on a proposal for a Regulation of …” „… the European Parliament and of the Councilamending Regulations (EC) No. 1073/1999 and (EURATOM) No …” „… , p. 33 Opinion No. 8/2005 on a proposal for a regulation of the European Parliament and of the …”

Reports of the European Anti-Fraud Office (OLAF) S. 237

„… activities of the European Anti-Fraud Office (OLAF) Regulation (EC) No. 1073/1999of the European Parliament …” „… and of the Council and Council Regulation (EURATOM) No.1074/99 (Article 15), 18.06.2003Comité de …” „… on the amended proposal for a Council Regulation (EC, EURATOM) concerning investigations conducted by …”

Reports of the Supervisory Committee S. 237

„… activities of the European Anti-Fraud Office (OLAF) Regulation (EC) No. 1073/1999of the European Parliament …” „… and of the Council and Council Regulation (EURATOM) No.1074/99 (Article 15), 18.06.2003Comité de …” „… on the amended proposal for a Council Regulation (EC, EURATOM) concerning investigations conducted by …”

Reports of the European Parliament S. 238-239

„… Treaty, (2005/C 202/01), OJ C 202 of 18.8.2005, p. 1Opinion No. 6/2005 on a proposal for a Regulation of …” „… the European Parliament and of the Councilamending Regulations (EC) No. 1073/1999 and (EURATOM) No …” „… , p. 33 Opinion No. 8/2005 on a proposal for a regulation of the European Parliament and of the …”

Primary law instruments S. 66-70

„… instrumentsadopted for the protection of the Communities’ financial interests were Regulation (EC, EURATOM) No …” „… programme is revised by the Commission on an annual basis.233 Regulation (EC) 2988/95, OJ L 312/1 …” „… provision: »the Commission shallimplement the budget, in accordance with the provisions of Regulations …”

Prerequisites for granting protection S. 146-147

„… exceptionsmentioned in Article 22a(4) and 22b(3) of the Staff Regulations. These provisionsstipulate that it is not …” „… his/her motivation fordisclosure, namely good faith. According to Article 22a(3) of the Staff Regulations …” „… mentioned in the Staff Regulations of the European Communities. However, several of these rights …”

Rule of law S. 114-115

„… in Article 3 of Regulation (EC,EURATOM) No. 2185/96. According to this provision, OLAF is not allowed …” „… Regulation (EC,EURATOM) No. 2185/96, OLAF is obliged to co-ordinate its own inspectionsand other activities …” „… 1999, p. 89-162.475 Article 3(2) of Regulation (EC) No. 2185/96.476 See Kuhl, Lothar/Spitzer, Harald …”

Limitations with respect to enforcement S. 115-116

„… , OLAF cannot use precautionary measures. According to Article 7(2) ofRegulation (EC, EURATOM) No …” „… investigatory activity is excluded.491 OLAF investigations carried out on thebasis of Regulation (EC, EURATOM …” „… ) ofRegulation (EC) No. 1073/1999 to adopt decisions. These comprise: rules on aduty of the staff of the …”

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

„… 63or refers for that purpose to national laws, regulations and administrative provisions, Article 5 …” „… , of the EC Treaty) [1998]OJ C 230 p. 1-44.64Council Regulation (EC, EURATOM) No. 2185/96216 empowered …” „… of all financial contracts«.221 In its report, the CIE expressed con-216 Council Regulation (EC …”

Fundamental rights, immunities, privileges S. 117

„… according to the above-mentioned Regulations by fundamental rights, immunities and privileges.499496 See …” „… dissertation.499 See the preamble of Regulation (EC) No. 2185/96, recital 12. …”

Exceptions S. 146

„… exceptionsmentioned in Article 22a(4) and 22b(3) of the Staff Regulations. These provisionsstipulate that it is not …” „… his/her motivation fordisclosure, namely good faith. According to Article 22a(3) of the Staff Regulations …”

List of abbreviations S. 19-22

„… Financial RegulationFYIL Finnish Yearbook of International LawGA Goltdammer’s Archiv für Strafrechtibid …” „… Constitutionnel RDPC Revue de droit pénal et de criminologieReg. RegulationRGF Revue générale de fiscalitéRIW …”

Outline S. 25-26

„… 25ground of drafting legislative proposals (e.g. regarding the new Regulation (EC)No. 1073/99 or …” „… thesis had to be constantly updated. Thetext includes the debates on the new draft Council Regulations …”

Whistleblowers S. 141-142

„… OLAF, according to Article 22a(1) and 22b(1) of the Staff Regulations. 632 on alleged fraudulent …” „… whistleblowers4.1.1 BackgroundThe Staff Regulations stipulate that »any official who, in the course of or in …”

Principles for imposing sanctions S. 86-87

„… Brussels seminarof 1989, Brussels 1998, p. 194-198 (p. 195). See also Article 2(4) of Regulation (EC …” „… an element of protection of EC financial interests Regulation (EC, EURATOM) No. 2988/95 introduced a …”

Methodology S. 24-25

„… andstrengthening the position of OLAF. The new proposal for an amendment of theOLAF Regulation (EC) No. 1073/99 is …” „… (e.g. regarding the new Regulation (EC)No. 1073/99 or proposals for the harmonised EU debarment …”

Officials of the European Communities S. 42-43

„… Communities’ financial interests.106 According to Article 7 of Regulation(EC, EURATOM) No. 2988/95, economic …” „… to be an economic operator for the purposes ofRegulation (EC, EURATOM) No. 2988/95, »when carrying …”

Economic operators S. 43-44

„… tothe Communities’ financial interests.106 According to Article 7 of Regulation(EC, EURATOM) No. 2988/95 …” „… to be an economic operator for the purposes ofRegulation (EC, EURATOM) No. 2988/95, »when carrying …”

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

„… of the Communities’ financial interests were Regulation (EC, EURATOM) No. 2988/95233, the Convention …” „… programme is revised by the Commission on an annual basis.233 Regulation (EC) 2988/95, OJ L 312/1 …”

Legal protection before the national courts S. 175-176

„… authorities according to Article 9 of Regulation No. 2185/96. Only the national authorities are equipped with …” „… according to Article 9 of Regulation No. 2185/96, the affected personmay make use of all legal means …”

Conclusions S. 202-204

„… interests of the EC.However, OLAF still faces operational problems. The regulations governingOLAF …” „… Council Regulations 2988/95 and 2185/96.Subsequently, there has been a development from the ‘horizontal …”

Articles S. 207-214

„… : Heritier, Arienne/Stolleis, Michael/Scharpf, Fritz, European and International Regulation after the Nation …” „… , DVBl. 1998, p. 262Schmidt, Matthias, Whistle blowing – regulation and accounting standards enforcement …” „… 3/2005Vervaele, John, Community Regulation and Operational Application of Investigative Powers …”

ECJ S. 171-175

„… of Regulation No. 2185/96. Only the national authorities are equipped with the corresponding coercive …” „… Regulation No. 2185/96, the affected personmay make use of all legal means according to the national law.777 …”

Judicial supervision of OLAF’s actions – role of the European Community courts S. 165

„… against OLAF on the basis of Staff Regulations.Such actions may be considered genuine judicial supervision …”

Witnesses S. 142

„… Staff Regulations stipulate that »any official who, in the course of or in connection with the …”

Anonymous sources S. 142

„… Staff Regulations stipulate that »any official who, in the course of or in connection with the …”

Nature of the sanctions S. 86

„… Brussels seminarof 1989, Brussels 1998, p. 194-198 (p. 195). See also Article 2(4) of Regulation (EC …”

Delimitation of the research S. 25

„… 25ground of drafting legislative proposals (e.g. regarding the new Regulation (EC)No. 1073/99 or …”

Penalties for making false and malicious allegations S. 147

„… Staff Regulations of the European Communities. However, several of these rights wereclarified on a …”

The Staff S. 99

„… the Staff Regulations, »officials should carry outtheir duties and conduct themselves solely with the …”

Impact of the review of OLAF investigations by the European Ombudsman S. 164-165

„… basis of Staff Regulations.Such actions may be considered genuine judicial supervision of OLAF’s …”

Charter of fundamental rights S. 200-201

„… pursuant to Staff Regulations, and competencies relating to employment of staff and drafting the OLAF …”

Objective of the study S. 23-24

„… of OLAF. The new proposal for an amendment of theOLAF Regulation (EC) No. 1073/99 is analysed, as …”

Officials of the Member States S. 41-42

„… (97/245/EC, EURATOM); CouncilRegulation (EEC, EURATOM) No. 1553/1989 of 29 May 1989 on the definitive …”

The Supervisory Committee S. 154-155

„… Regulation (EC) No. 1073/99 requires that OLAF investigations that exceed nine months must be notified to the …”

The European Parliament S. 155-156

„… effectiveness in the protection of the Communities’ financial interests: therevision of the OLAF Regulation (EC …”

Consequences of irregularities S. 53-55

„… Regulation (EEC) No. 595/912,412 2,697 2,967 2,415 3,285 3,237 3,401Structural Funds (including Cohesion Fund …”

Implementation of reporting obligations by the Member States S. 51-53

„… Regulation (EEC) No. 595/912,412 2,697 2,967 2,415 3,285 3,237 3,401Structural Funds (including Cohesion Fund …”

Books S. 205-207

„… : Heritier, Arienne/Stolleis, Michael/Scharpf, Fritz, European and International Regulation after the Nation …”

Draft Article 280a EC Treaty S. 191-193

„… 251, shalllay down Regulations applicable to the European Public Prosecutor. 3. The Council, actingin …”

Third-Pillar instruments aimed at harmonisation of Member State law S. 79-82

„… regulation of the European Parliament and of theCouncil on mutual administrative assistance for the …”

Legal obstacles S. 55-59

„… International Regulation after the Nation State, p.139-162 (p. 144).179 Communication from the Commission of 29 …”

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Christopher Hodges

Law and Corporate Behaviour

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2016

Results in this title

Public Regulation S. 159-172

„… Part C Regulation 8 Public Regulation I. The Purposes of Regulation Various defi nitions …” „… have been given for regulation. 1 Drawing on syntheses by Karen Yeung and Christine Parker, we can …” „… consider regulation for present purposes to be ‘ the sustained and focused attempt by the state to alter …”

Standards, Accreditation, Self-Regulation and Co-Regulation S. 461-502

„… Part D Regulation and Compliance by Business 17 Standards, Accreditation, Self-Regulation …” „… and Co-Regulation I. Introduction This chapter examines how businesses ‘ self regulate ’ their …” „… administered, by trade associations, usually on a sectoral basis. The inquiry into self-regulation is …”

Conclusions: Ethical Regulation S. 695-706

„… 22 Conclusions: Ethical Regulation It is now time to summarise the fi ndings from previous …” „… 1653 ; Faure (n 2). 696 Conclusions: Ethical Regulation tend to support achievement of such behaviour …” „… Legal Studies 585 . 698 Conclusions: Ethical Regulation Cognitive Evaluation Theory notes that a …”

The Structure of Regulation and Self-Regulation in the UK S. 173-212

„… 9 The Structure of Regulation and Self-Regulation in the UK I. Public Authorities …” „… , Self-Regulation and Co-Regulation This chapter describes the key structural features of the British model of …” „… regulation, so that individual elements can be recognised as they occur amidst a large amount of detail …”

OECD Policy on Regulation and Enforcement S. 257-268

„… 12 OECD Policy on Regulation and Enforcement I. OECD ’ s Recommendations of Regulatory Policy …” „… occasional but important papers on regulation since 1993. 1 In these, it has strongly championed the …” „… adoption of responsive regulation by Member States. In 2000, it issued a paper written by Professor …”

Index S. 745-802

„… meta-regulation 174 Principles for Economic Regulation 195 railway safety 323 Regulators ’ Compliance …” „… Code 191 responsive regulation 705 safety, regulating 604 self-regulation 498 – 501 …” „… structure of regulation 174, 185, 196 – 7, 206 teams 35 trust 682, 701 United States 102 …”

Responsive, Meta and Compliance Theories S. 241-256

„… 11 Responsive, Meta and Compliance Theories I. Responsive Regulation While the origin of …” „… provision of information. 2 The seminal theory was ‘ responsive regulation ’ , developed by Ayres and …” „… P Grabosky , ‘ On the Interface of Criminal Justice and Regulation ’ in H Quirk , T Seddon and …”

Titelei/Inhaltsverzeichnis

„… rational acting, responsive regulation, and the fi ndings of behavioural psychology. Leading examples of …” „… proposes a new theory of ethical regulation. Volume 3 in the series Civil Justice Systems Civil …” „… Behaviour Integrating Theories of Regulation, Enforcement, Compliance and Ethics Christopher Hodges …”

Conclusions on Current Enforcement Policy S. 447-460

„… is sophisticated and complex. It relies on meta-regulation, involving tiers comprising parliamentary …” „… against abuse. Regulation is organised vertically for many specialist sectors, but more horizontally for …” „… law. Notable features of regulation in the United Kingdom are: The existence of many public …”

Consumer Trading and Protection S. 351-418

„… ), Varieties of European Economic Law and Regulation. Festschrift for Hans Micklitz ( Vienna , Springer …” „… : Criminal Enforcement of the Consumer Protection from Unfair Trading Regulations 2008. OFT Policy (Offi ce …” „… Trading and Protection Commission; advising government; 27 encouraging industry codes and self-regulation …”

Financial Services S. 611-666

„… that arise are: The extent and nature of regulatory systems; the need for regulation to operate …” „… sides depends on stability and the perception of liquidity. Public regulation seeks to provide a …” „… ) . 3 The Financial Conduct Authority: Approach to Regulation (Financial Services Authority, June 2011 …”

Introduction S. 1-12

„… affect what they would do in future. It was regulation that could keep fi rms off the market; it was the …” „… regulation and enforcement systems are based on inadequate theories, should they not be reformed? This book …” „… inquiry encompasses both public and private law. I. Regulation and Enforcement It may be helpful to …”

The Enforcement Policies of Individual Agencies S. 269-350

„… policy. Second, the enforcement policies generally correspond to the principles of Better Regulation …” „… regulation has only emerged in the past decade or two, so is particularly interesting as it illustrates an …” „… Agency has extensive functions, encompassing pollution control, waste regulation, management of water …”

The Findings of Social Psychology S. 13-44

„… Associates , 1986 ) 257 – 78 ; Tyler (n 1). 4 I Ayres and J Braithwaite , Responsive Regulation …” „… following summary is taken from CR Sunstein , ‘ Empirically Informed Regulation ’ ( 2011 ) 78 ( 4 …” „… is eclipsed if the governance tool is self-enforcing. This is most prominent in regulation by …”

Regulating Safety S. 529-610

„… Regulation The European Commission administers a pan-EU Rapid Alert System for non-food product safety …” „… Safety Regulation 533 5 ibid, Fig 13. 6 RAPEX Facts and Figures 2013. Complete Statistics, European …” „… 00 10 0% The Need for Product Safety Regulation 535 Drowning 3% Falls 18% Fires 2 …”

Appendix 1: A Consumer Redress Scheme Under the Financial Services and Markets Act 2000 as Amended S. 707-714

„… ; — “ electronic money ” has the same meaning as in the Electronic Money Regulations 2011 and any reference to …” „… the Payment Services Regulations 2009; — “ payment service provider ” means a person who is a …” „… payment service provider for the purposes of those regulations as a result of falling within any of …”

Compliance within Business Organisations S. 503-528

„… Relevant It is apparent from previous chapters that much theorising about regulation and enforcement …” „… ; information and vocabulary; business processes; policies, rules and regulations. It is not proposed to …” „… impersonal character, and a rational and impartial management on the basis and with the help of regulations …”

Conclusions S. 153-158

„… sanction. That idea suggests that we should look at regulation, commitments and culture for mechanisms that …” „… decisions were the result of regulation or other reasons. Would the decisions have been made anyway …” „… by such alternative means? The development of liability enforcement as a means of regulation …”

Deterrence Theory S. 45-66

„… ( Cheltenham , Edward Elgar , 2009 ) ; F Cafaggi , The Challenge of Transnational Private Regulations …” „… Foundations of Transnational Private Regulation ’ ( 2011 ) 38 ( 1 ) Journal of Law and Society 1 ; F …” „… Cafaggi , Enforcement of Transnational Regulation: Ensuring Compliance in a Global World ( Cheltenham …”

Private Enforcement in USA S. 67-86

„… Regulation and Private Lawsuits in the United States ( Princeton , Princeton University Press , 2010 …” „… despite the subsequent growth of federal and state public regulation. As American federal agencies …” „… 30 in 2010. 13 Public regulation in the USA and private litigation have remained largely separate …”

Competition S. 419-446

„… regulation and compliance approaches that are national enforcement policy. I. Evidence of Need EU …” „… regulation provisions referred to in the introduction. 6 In relation to any function exercised under …” „… regulation, risk-based regulation, responsive regulation, restorative justice or redress. The 2013 …”

Empirical Evidence S. 139-152

„… , ‘ Regulation in the Behavioral Era ’ ( 2011 ) 95 Minnesota Law Review 715 – 81 . 17 JE Petersen et al …” „… regulation appears to be infl uenced by personality traits and characteristics. 25 In direct contradiction …” „… Baldwin , ‘ The New Punitive Regulation ’ ( 2004 ) 67 Modern Law Review 351 – 83, 373 . 32 J …”

Business Values: Culture, Commitment, Trust and Ethics S. 667-694

„… examines the importance of values in business, regulation and law. It begins by recalling the fi ndings of …” „… in ethical culture that dominated the fi nancial services industry. It appears that regulation has …” „… Awareness, and Capital Market Regulation ’ in N Morris and D Vines (eds), Capital Failure; Rebuilding …”

Criticisms of Deterrence S. 107-138

„… – 70 ; B Hutter , Regulation and Risk: Occupational Health and Safety on the Railways ( Oxford …” „… . 31 Reg 139/2004, ibid, art 8.2. 32 The Merger Regulation allows the merging parties to request …” „… the Regulation ’ s thresholds and are notifi able in at least three Member States: Reg 139/2004, art …”

Developments in Criminal Enforcement in the United Kingdom S. 213-240

„… Financial Crime 45 – 55 , reprinted in F Haines (ed), Crime and Regulation ( Farnham , Ashgate , 2007 …” „… Just some examples are I Ayres and J Braithwaite , Responsive Regulation : Transcending the …” „… Responsive Regulation ( Oxford , Oxford University Press , 2002 ) . CJS Hodges , ‘ Encouraging …”

Enforcement of Competition Law S. 87-106

„… substantive competition law is harmonised from 1 May 2004 under the Modernisation Regulation. 11 The EU …” „… Fines Pursuant to Article 23(2)(a) of Regulation No 1/2003 , 2006/C 210/02: hereafter ‘ Guidelines …” „… method of setting fi nes imposed pursuant to Article 23(2)(a) of Regulation N0 1/2003 , para 4 …”

Appendix 2: Guidance for Enforcers of Consumer Law S. 715-744

„… potential breaches of consumer law, for example the Consumer Protection Regulations (CPRs). . As stated …” „… Ireland, Civil Aviation Authority, the Northern Ireland Authority for Utility Regulation, Ofcom, Ofwat …” „… , Ofgem, Phonepay Plus, The Information Commissioner, Office of Rail Regulation, the Financial Conduct …”

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