Kanada gehört nicht zu den Ländern, die im Wassertod eines Menschen den Beweis dafür sehen, dass Menschen nun halt nicht schwimmen können. Dort können Compliance-Programme bei der Bestimmung von Sanktionen für Kartellverstöße berücksichtigt werden. In Anfang Juni veröffentlichten Leitlinien ist aufgeschrieben, unter welchen Voraussetzungen dies der Fall ist. Aus der Einleitung:
The existence of a compliance program does not immunize businesses or individuals from enforcement action by the Commissioner or from the Commissioner recommending to the Public Prosecution Service of Canada (“PPSC”) a prosecution. However, in determining the most appropriate means to resolve cases, including offences and contraventions where the exercise of due diligence is a defence, a credible and effective program may be considered by the Bureau in determining:
- how to proceed against companies and in making its recommendations to the PPSC, including recommendations on the fine that should be imposed; or
- the magnitude of remedy to seek with respect to non-merger reviewable matters.
Consideration, and therefore the potential benefits, will be greater in most circumstances for a company with a pre-existing credible and effective compliance program, than for a company that waits until it is investigated before implementing or enhancing a program.
A compliance program will be considered credible and effective when the company can demonstrate that it was reasonably designed, implemented and enforced in the circumstances. The burden of establishing this is always on the company. Companies that make such claims do so voluntarily and on the understanding that the Bureau will test the credibility and effectiveness of the compliance program. In these circumstances, the Bureau will expect timely access to relevant records and individuals to properly assess the company’s program.