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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2019.tde-20082020-160807
Document
Author
Full name
Guilherme Teno Castilho Misale
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2019
Supervisor
Committee
Proença, José Marcelo Martins (President)
Bagnoli, Vicente
Campilongo, Celso Fernandes
Lilla, Paulo Eduardo de Campos
Title in Portuguese
Programas de compliance à luz do ordenamento concorrencial brasileiro: instrumentos de conformidade para a política anticartel
Keywords in Portuguese
Conselho Administrativo de Defesa Econômica (CADE)
Direito Concorrencial
Enforcement anticartel
Jurisprudência
Programa de Compliance
Redução de multas
Abstract in Portuguese
A presente dissertação tem por objeto imediato a análise de instrumentos de conformidade no âmbito do ordenamento concorrencial brasileiro, com foco no programa de compliance concorrencial, para avaliar a abordagem dispensada a esses instrumentos por parte do órgão antitruste. Em específico, a finalidade principal consiste em averiguar a disciplina do tema do ponto de vista dos incentivos forjados para a implementação desses instrumentos, notadamente no que diz respeito à recompensa direta na forma de descontos punitivos. Para tal mister, avaliaremos em detalhe tanto o quadro normativo concorrencial brasileiro, como a jurisprudência da autoridade antitruste. A fim de sugerir reflexões no debate acadêmico e eventuais proposições no âmbito da política concorrencial brasileira no que concerne ao tema, também cotejaremos a experiência estrangeira, além do debate doutrinário. Não há consenso entre os reguladores antitruste acerca da questão. Trata-se de um debate que perpassa estratégias de política pública. A discussão doutrinária também é permeada por controvérsia. Na introdução apresenta-se brevemente o tema, explicitando a metodologia proposta. No primeiro Capítulo, são desenvolvidos os conceitos fundamentais do compliance sob uma perspectiva ampla. No segundo Capítulo, o foco recai particularmente para o ordenamento concorrencial brasileiro a fim de perquirir a disciplina do programa de compliance. Como suporte analítico, procede-se com a análise jurisprudencial. No terceiro Capítulo, é apresentado um panorama da experiência estrangeira na disciplina do tema. No quarto Capítulo, aprofunda-se o debate doutrinário. Uma síntese objetiva da investigação empreendida conclui o trabalho, apresentando um conjunto de reflexões.
Title in English
Compliance Programs under the Brazilian competition framework: compliance tools for anticartel policy
Keywords in English
Administrative Council for Economic Defense (CADE)
Anticartel enforcement
Case law
Competition Law
Compliance Program
Fine reductions
Abstract in English
The immediate purpose of this thesis is to analyze compliance tools under the Brazilian competition framework with focus on antitrust compliance programs in order to assess the approach taken by the Brazilian antitrust authority on this matter. Specifically, the main goal is to ascertain such matter from the incentives offered for the adoption of such programs' standpoint, notably with regard to direct rewards set in the form of fine reductions. To this end, we will evaluate in detail and consider both the Brazilian competition framework and the case law of the antitrust authority. In order to suggest considerations for academic debate and possible proposals to the Brazilian competition policy regarding this subject, we will also review both the international experience and the academic studies. There is no consensus amongst the antitrust regulators on the matter. It is a debate concerning public policy strategies. The doctrinal discussion is also permeated by controversy. In the introduction we briefly present the subject, explaining the proposed methodology. In the first chapter, we laid out a broad perspective of fundamental concepts of compliance. In the second chapter, the focus is particularly on the Brazilian competition framework in order to study the subject of the compliance program. As an analytical support, a case law review is undertaken. In the third chapter, an overview of the foreign experience in the subject matter is presented. In the fourth chapter, the doctrinal debate deepens. An objective synthesis of the study concludes the thesis, presenting a set of reflections.
 
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Release Date
2022-08-20
Publishing Date
2020-09-03
 
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