bluuebunny/crossref_metadata_2025 huggingface dataset:
Prevalence and risk factors for atypical femoral fracture among Lebanese patients with hip and shaft fractures
Authors: Khalil Abir Bou , Yammine Ryan , Rameh Vanessa , Zadeh Catherina , Saad Randa , Mallah Hasan , Khoury Nabil J , El-Hajj Fuleihan Ghada
Published: June 2024

This retrospective study investigates the prevalence of atypical femoral fractures (AFFs) among patients admitted with hip and shaft fractures at a tertiary referral center in Beirut, Lebanon. We analyzed electronic medical records and radiology studies of patients aged above 40 admitted with hip and shaft fractures between January 2006 and December 2019. Fractures were confirmed by ICD9 or ICD10 codes. All cases were reviewed by radiologists, and AFFs were identified according to the 2013 revised ASBMR criteria. We identified 1366 hip and shaft fracture patients, of which 14 female patients had 19 AFFs. This represents a prevalence of 1.0% among all hip and shaft fractures patients and 1.7% among all female hip and shaft fracture patients. Bilateral AFFs were found in 5 of the 14 patients. Patients with AFF tended to be younger, with a mean age of 74.3 (±8.6) yr compared to 78.0 (±10.6) for patients with non-AFF fractures. A total of 36% of AFF patients had a prior history of non-traumatic fracture at first admission. A high percentage of patients with AFFs reported intake of proton pump inhibitors (42.9%) and glucocorticoids (21.4%). Bisphosphonate exposure was noted in 64.3% of AFF patients. None of the AFF patients were active smokers or consumed alcohol regularly. BMD assessments were available for 7 AFF patients, indicating osteoporosis in 4 and osteopenia in 3 cases. Hip axis length measurements showed no significant difference between AFF patients (N = 7) and sex and age-matched controls (N = 21). The study underlines the prevalence and characteristics of AFFs in Lebanon, which is consistent with the numbers reported in the literature (0.32%–5%). A larger prospective study that includes hospitals across the nation is needed to gain a more comprehensive view of the prevalence of AFFs in the Lebanese population.
Development of automated metabolite control using mid-infrared probe for bioprocesses and vaccine manufacturing
Authors: Reid Jennifer , Haer Manjit , Chen Airong , Adams Calvin , Lin Yu Chen , Cronin Jim , Yu Zhou , Kirkitadze Marina , Yuan Tao
Published: June 2024

Automation of metabolite control in fermenters is fundamental to develop vaccine manufacturing processes more quickly and robustly. We created an end-to-end process analytical technology and quality by design-focused process by replacing manual control of metabolites during the development of fed-batch bioprocesses with a system that is highly adaptable and automation-enabled. Mid-infrared spectroscopy with an attenuated total reflectance probe in-line, and simple linear regression using the Beer-Lambert Law, were developed to quantitate key metabolites (glucose and glutamate) from spectral data that measured complex media during fermentation. This data was digitally connected to a process information management system, to enable continuous control of feed pumps with proportional-integral-derivative controllers that maintained nutrient levels throughout fed-batch stirred-tank fermenter processes. Continuous metabolite data from mid-infrared spectra of cultures in stirred-tank reactors enabled feedback loops and control of the feed pumps in pharmaceutical development laboratories. This improved process control of nutrient levels by 20-fold and the drug substance yield by an order of magnitude. Furthermore, the method is adaptable to other systems and enables soft sensing, such as the consumption rate of metabolites. The ability to develop quantitative metabolite templates quickly and simply for changing bioprocesses was instrumental for project acceleration and heightened process control and automation.

One-Sentence Summary

Intelligent digital control systems using continuous in-line metabolite data enabled end-to-end automation of fed-batch processes in stirred-tank reactors.
Dual impact: CD38 inhibition in glycolysis and oxidative phosphorylation
Authors: Klinzing Kathleen , Das Satyajit , Chakraborty Paramita
Published: June 2024

CD38 negatively impacts T-cell metabolic phenotypes
RET overexpression leads to increased brain metastatic competency in luminal breast cancer
Authors: Jagust Petra , Powell Aoibhin M , Ola Mihaela , Watson Louise , de Pablos-Aragoneses Ana , García- Gómez Pedro , Fallon Ramón , Bane Fiona , Heiland Mona , Morris Gareth , Cavanagh Brenton , McGrath Jason , Ottaviani Daniela , Hegarty Aisling , Cocchiglia Sinéad , Sweeney Kieron J , MacNally Stephen , Brett Francesca M , Cryan Jane , Beausang Alan , Morris Patrick , Valiente Manuel , Hill Arnold D K , Varešlija Damir , Young Leonie S
Published: June 2024

Background

Breast cancer brain metastasis is a rising occurrence, necessitating a better understanding of the mechanisms involved for effective management. Breast cancer brain metastases diverge notably from the primary tumor, with gains in kinase and concomitant losses of steroid signaling observed. In this study, we explored the role of the kinase receptor RET in promoting breast cancer brain metastases and provide a rationale for targeting this receptor.

Methods

RET expression was characterized in a cohort of patients with primary and brain metastatic tumors. RET functionality was assessed using pharmacological inhibition and gene silencing in patient-derived brain metastatic tumor explants and in vivo models, organoid models, and brain organotypic cultures. RNA sequencing was used to uncover novel brain metastatic relevant RET mechanisms of action.

Results

A statistically significant enrichment of RET in brain metastases was observed in estrogen receptor–positive breast cancer, where it played a role in promoting cancer cell adhesion, survival, and outgrowth in the brain. In vivo, RET overexpression enhanced brain metastatic competency in patient-derived models. At a mechanistic level, RET overexpression was found to enhance the activation of gene programs involved in cell adhesion, requiring EGFR cooperation to deliver a pro–brain metastatic phenotype.

Conclusion

Our results illustrate, for the first time, the role of RET in regulating colonization and outgrowth of breast cancer brain metastasis and provide data to support the use of RET inhibitors in the management strategy for patients with breast cancer brain metastases.
Perceived acceptability and appropriateness of a web-based program targeting risk for anxiety in young children and their parents
Authors: Mirzadegan Isaac A , Lewis Ericka M , Cole Sally L , Meyer Alexandria
Published: June 2024

Objective

This mixed-methods study examined perceived acceptability and appropriateness of a novel digital mental health program targeting anxiety risk (i.e., perfectionism or error sensitivity) in 5-to-7-year-old children and their parents.

Methods

Parent–child dyads participated in a modular, web-based cognitive-behavioral program targeting negative overreactions to making mistakes. The program, “Making Mistakes”, consisted of a 6-month series of short video clips, journaling activities, and weekly reminders, and modules were delivered to caregivers and children separately. 86 dyads completed self-report measures, 18 of whom participated in semi-structured interviews, following completion of the primary program module. A standard thematic analysis was used to elucidate themes from the parent and child interview content.

Results

Our quantitative and qualitative results were generally aligned. Children and parents viewed the novel digital mental health program as acceptable and appropriate, favoring the cognitive behavioral strategies such as modeling positive reactions to mistakes, responding positively to child mistakes, and emphasizing effort over outcome. Participants also provided helpful feedback related to program content, delivery, and engagement, as well as suggestions to enhance the program.

Conclusions

Findings have implications for design and content features of parent-based and dyad-based programs, as well as digital mental health programs focused on reducing anxiety risk.
Trajectories of illness uncertainty among parents of children with atypical genital appearance due to differences of sex development
Authors: Traino Katherine A , Ciciolla Lucia M , Perez Megan N , Chaney John M , Welch Ginger , Baskin Laurence S , Buchanan Cindy L , Chan Yee-Ming , Cheng Earl Y , Coplen Douglas E , Wisniewski Amy B , Mullins Larry L
Published: June 2024

Objective

The present study aimed to identify distinct trajectories of parental illness uncertainty among parents of children born with atypical genital appearance due to a difference of sex development over the first year following diagnosis. It was hypothesized that four trajectory classes would emerge, including “low stable,” “high stable,” “decreasing,” and “increasing” classes, and that select demographic, familial, and medical factors would predict these classes.

Methods

Participants included 56 mothers and 43 fathers of 57 children born with moderate to severe genital atypia. Participants were recruited from eleven specialty clinics across the U.S. Growth mixture modeling (GMM) approaches, controlling for parent dyad clustering, were conducted to examine classes of parental illness uncertainty ratings over time.

Results

A three-class GMM was identified as the best-fitting model. The three classes were interpreted as “moderate stable” (56.8%), “low stable” (33.0%), and “declining” (10.3%). Findings suggest possible diagnostic differences across trajectories.

Conclusions

Findings highlight the nature of parents’ perceptions of ambiguity and uncertainty about their child’s diagnosis and treatment the year following their child’s birth/diagnosis. Future research is needed to better understand how these trajectories might shift over the course of the child’s development. Results support the development of tailored, evidence-based interventions to address coping with uncertainty among families raising a child with chronic health needs.
Large bronchial artery-pulmonary artery fistula due to cavitating tuberculosis
Authors: Morrow Joseph , Garvey Christopher , McEniff Niall , Kavanagh John
Published: June 2024

Bronchial artery-pulmonary artery fistulae are rare vascular malformations most commonly caused by infection. Our case presents a 57-year-old male who presented to the Emergency Department with a symptomatic bronchial artery-pulmonary artery fistula due to cavitating pulmonary tuberculosis (TB). The diagnosis was made with multiphase CT angiography of the thorax (including pulmonary and systemic arterial phases). The patient was brought to interventional radiology for further investigation and management. The left upper lobe bronchial artery-pulmonary artery fistula was successfully identified and treated with endovascular embolization. Bronchial artery-pulmonary artery fistulae can pose a diagnostic and therapeutic challenge. Our case demonstrates endovascular embolization as an effective method of treating symptomatic bronchial artery-pulmonary artery fistulae.
Introduction and Overview
Authors: Anderson Robert D , Jones Alison , Kovacic William E
Published: June 2024

This chapter introduces the problem of corruption and supplier collusion (or bid rigging) in public procurement and its harm to a nation and to democratic governance. It sets out broad definitions of both corruption and supplier collusion and highlights how, in the public procurement context, their pernicious effects often overlap and are mutually reinforcing. The chapter outlines the structure and the purpose of this book, which is to consider why corruption and collusion persist and to identify and advocate for reforms and improvements that will help countries to defend the integrity of their public procurement systems from these two practices. In particular, the book proposes that distinct policies—especially public procurement, anti-corruption, and competition law and policy—are more closely united around a ‘joined-up’ public procurement strategy, and seeks to make proposals that will help enable countries to achieve significant improvements in public purchasing with ensuing benefits for their economic and social welfare.
Basic Elements for Combatting Corruption and Collusion in Public Procurement: Well-Constructed Procurement, Competition, and Anti-Corruption Regimes
Authors: Anderson Robert D , Jones Alison , Kovacic William E
Published: June 2024

This chapter seeks to set out the basic elements of a system capable of successfully combatting corruption and collusion in public procurement. Such a system—guided by international best practices—should involve a well-constructed public procurement regime; robust competition and anti-corruption laws outlawing anti-competitive and corrupt practices; proactive and independent public agencies to administer the public procurement regime and to enforce the competition and anti-corruption statutes working together with citizens and business to prevent corruption and collusion and to root it out when it does occur; effective investigatory powers and techniques; and effective adjudication of the law and related sanctions, both to punish infringers appropriately and to deter future violations. The chapter recognizes, nonetheless, that any system will need to be tailored to reflect the particular needs and circumstances of an individual jurisdiction.
Towards a More Comprehensive Approach: Strengthening Anti-Corruption and Anti-Collusion Systems, Dealing with Systemic Corruption and the Contribution of Multi-Level Governance
Authors: Anderson Robert D , Jones Alison , Kovacic William E
Published: June 2024

This chapter considers why, even in countries with comprehensive public procurement, anti-corruption, and competition law systems in place, corrupt practices and supplier collusion may continue to occur. Further, it considers how such systems may be bolstered to address shortcomings, or limitations, and to help these laws to achieve their objectives. It stresses the need for possible refinements in the design, application, and enforcement of the three areas of law, but also the need for a joined-up and coordinated approach to the laws in this sphere. If the three areas of law become more closely united around a unified public procurement strategy, they stand a better chance of achieving their objectives and good results for citizens. It acknowledges that in certain jurisdictions, especially those where corruption is widespread or ‘systemic’, a broader set of reforms may be required to fight corruption, to change norms, and to promote procompetitive procurement. It also considers other laws which might be required to fight corruption and collusion successfully, and how effective pressure for those reforms might be achieved, whether as a result of domestic, international, or European Union (EU) initiatives.
Corruption and Supplier Collusion under the Waterline? Combatting Risks to Public Procurement in the United Kingdom
Authors: Anderson Robert D , Jones Alison , Kovacic William E
Published: June 2024

Every year, the UK Government spends billions of pounds purchasing goods, and works and services that are vital to growth, development, health, and social welfare. This chapter concludes that despite overhauls of the public procurement, anti-corruption, and competition laws, additional measures are required to protect the integrity of the procurement processes in England and Wales. It proposes improving the distinct regimes and uniting them around a cohesive strategy. It thus advocates policy coordination and enhancements as the UK seeks to further develop its own policies and institutions, post‐Brexit, and to grapple with the demands that recent crises have placed on public purchasing and the public purse.
Addressing Democratic Backsliding and Increasing Corruption and Supplier Collusion Risks in Hungary and Poland: The Impact of EU Membership
Authors: Anderson Robert D , Jones Alison , Kovacic William E
Published: June 2024

This chapter examines how illiberal changes, both in the political system and the economy, by populist governments in Hungary and Poland have been increasing the risk of corruption and collusion in public procurement processes in those countries. It notes that these developments have significant consequences not only for Hungary and Poland, but also for the EU both generally, in terms of their impact on EU law and fundamental values, and specifically in relation to its finances. It thus considers what additional roles EU law can play in reducing, mitigating, or reversing these risks. It offers several recommendations of a legal-systemic and more practical nature. The chapter recognizes that although many steps taken by the EU to date have failed to deliver meaningful change, the EU does possess a powerful toolkit which, if fully utilized, provides the means to challenge individual cases of suspected corruption and collusion in Hungary and Poland (and other Member States), and systematic and serious violations of EU law through legal actions and financial mechanisms. It also makes proposals designed to better protect EU funds from misuse in national public procurement processes, including through closer cooperation between EU and national agencies, more proactive, real-time monitoring of relevant processes, the use of integrity pacts, and the further development of the EU’s early detection and exclusion, and remedies systems.
Public Interest Considerations in US Merger Control
Authors: Kokkoris Ioannis
Published: June 2024

The book offers a detailed description of the institutional context, legislation, and the respective competition and public interest approach in assessing concentrations. The book dissects the dynamics of these competition and non-competition considerations. It further examines whether the application of these considerations enhances the effectiveness and decision-making of the Department of Justice, the Federal Trade Commission, the Federal Communications Commission, the Department of Transportation, the Office of the Comptroller General, the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve System, the Federal Energy Regulatory Commission, the Surface Transportation Board, and the Committee on Foreign Investment in the United States. The analysis will focus on the composition, legislation, and the relevant public interest considerations that each regulatory authority takes into account, the respective decision-making process, and will present some seminal cases that illustrate not only the enforcement approach of each regulatory authority but also the possibility for discrepancy between the competition law-based assessment and the national security or public interest-based assessment.The book argues that US merger control assessment is at times convoluted because of the application of distinct considerations by the various competition and regulatory bodies. It also illustrates how the application of a competition law-based assessment, on the one hand, and the public interest-based assessment, on the other, increases the chances of having contradictory decisions. Distilling all these considerations, the book suggests that the application of the varying shades of the public interest standard can result in a complex and inefficient merger review process and recommends some ways to address these inefficiencies. The book suggests that this concurrent jurisdiction of antitrust federal agencies and other governmental authorities runs the risk of mitigating efficiency, transparency, and predictability that should govern merger control.
The US Merger Control Regime
Authors: Kokkoris Ioannis
Published: June 2024

Chapter 1 provides a detailed description of the merger control framework in the United States. It discusses the role of the Federal Trade Commission and the Department of Justice and shows how merger guidelines have been used to complete the enforcement framework. The chapter outlines the difficulties merging parties face in dealing with the various enforcement agencies and discusses the reasons why a significant number of transactions are settled. The chapter suggests that there are two closely intertwined realities. The first is that the interaction with the antitrust enforcers is at times complex. The second is that a merger assessment process that incorporates antitrust enforcers and regulatory agencies, applying competition and non-competition rules, becomes ever more complex for the parties, as well as the legal and business community.
National Security Assessment
Authors: Kokkoris Ioannis
Published: June 2024

Chapter 2 discusses the application of a national security standard in merger review. It argues that even if this concept is not well-defined, it is commonly used to shape regulations seeking to address concerns arising from foreign investment. The chapter shows how the scope of this national security assessment continuously expands, which leads to a significant expansion of the number of transactions filed for review. The chapter further illustrates that the national security assessment may represent an effective tool to respond to global economic and geopolitical tensions. It cautions that a greater level of transparency of the Committee on Foreign Investment in the United States (CFIUS) rationale for its decisions would improve the assessment process. This chapter focuses on the national security concerns in assessing mergers and acquisition transactions, showing a spectrum of the CFIUS’ decisions in diverse industries including telecommunications, food, financial services, defence industry, and technology. The CFIUS’ enforcement record and trend in assessing national security concerns illustrates the US government’s determination to safeguard US industries from risks to US national security raised by acquisitions of US domestic assets by foreign acquirers.
Public Interest Assessment and the Surface Transportation Board (STB)
Authors: Kokkoris Ioannis
Published: June 2024

This chapter discusses the overlap in the jurisdictions of the Department of Justice (DOJ), the Federal Trade Commission (FTC), and the Surface Transportation Board (STB) on mergers and acquisition (M&A) transactions. The chapter discusses the relevant legislation for the railroad industry and the composition and process before the STB. It also discusses the enforcement record of the STB and the assessment of the public interest test in assessing M&A transactions in the sector, trying to identify areas of convergence and divergence with the FTC/DOJ. The chapter focuses on the consolidation in the railroad industry to exemplify the tensions created by this concurrent jurisdiction. The chapter claims that the public interest standard has been used to promote railway consolidation and to protect the industry from other forms of competition. It further notes that the competition concerns expressed by the antitrust authorities have repeatedly been ignored. The analysis of some seminal cases shows that the benefits of such consolidation as alleged by the merging parties usually go uncontested and that the courts are deferential to the decisions made by the regulator. The chapter concludes that the public interest standard has put the protection of competition in the railway sector at the discretion of the regulator.
Merger Control Regimes Around the World
Authors: Kokkoris Ioannis
Published: June 2024

This chapter introduces the intricate landscape of global merger control, providing an in-depth exploration of both substantive and procedural aspects across various jurisdictions. It illustrates the prevailing regulatory models, focusing on their historical development, underlying goals, and procedures. Substantively, the analysis discusses elements such as the market definition, the theories of harm (and the respective tests), the treatment of efficiencies, and ancillary restraints. On the procedural front, the chapter reviews a mosaic of different practices, from notification requirements and pre-merger discussions, to review timelines and remedies. Based on this analysis, the chapter acknowledges the need for greater consistency in both substance and procedure, to limit the burden imposed on business players in the form of larger costs and reduced certainty. On the other hand, the chapter suggests that the ongoing shift towards industrial policy is unlikely to lead to harmonization, but rather will enhance discrepancies even in industries that don’t necessarily raise national security concerns.
Merger Control as Industrial Policy
Authors: Kokkoris Ioannis
Published: June 2024

The international business landscape is changing, while governments grapple with global economic forces and local societal aspirations. This chapter presents the resurgence of protectionism, and how merger control measures align business interests with national strategic goals. The chapter examines the influence of geopolitical tensions on the merger control landscape. It then explores the expanding scope of sectors susceptible to national security concerns and the strengthening of assessment regimes in the EU, the US, China, and Japan. The chapter examines the justification for government intervention and investigates whether and under what conditions competition policy might be the proper tool for the job. Further, it looks at the role that public interest considerations play in different merger control regimes, focusing on the increasing relevance of national security. Finally, the chapter underscores the challenges of balancing broader goals within the framework of competition law, including the risk of discretionary decision-making and cross-border disparities.
EU-Level Parental Antitrust Liability and the Crucial Issue of Its Legitimacy
Authors: Whelan Peter
Published: June 2024

In enforcing European Union (EU) competition law, the European Commission employs a unique and controversial doctrine of parental antitrust liability. Accordingly, it imposes fines on the parent company of an infringing subsidiary in cases where the parent exercises decisive influence over the subsidiary’s commercial policy. This chapter introduces the current debate in EU competition law on the EU-level doctrine of parental liability. It provides context to EU-level antitrust enforcement before outlining the main concerns in the literature with the current approach to parental liability for EU competition law violations. In particular, it explains the need to ensure legitimacy within the EU-level doctrine of parental liability.
‘Undertaking’ and Its Legal Implications
Authors: Whelan Peter
Published: June 2024

This chapter explains the general concept of an ‘undertaking’ as well as its relevant legal implications. It first focuses on the inherent nature of an ‘undertaking’, explaining in the process that an ‘undertaking’ is an economic rather than legal concept, and that a context-specific, functional approach exists regarding its identification. With this conceptual grounding established, it then details the resultant legal implication of the employment of such an economic concept in determining the scope of the EU antitrust provisions, an implication that has particular relevance to parent companies. Finally, it identifies how the economic concept of ‘undertaking’ inevitably engenders an imputation process for enforcement purposes when EU competition law has been violated, a process that provides the legal scope for the creation of the EU-level doctrine of parental antitrust liability.
The Specifics of the Doctrine: Imputing Antitrust Violations to Parent Companies
Authors: Whelan Peter
Published: June 2024

This chapter analyses how in practice the European Commission (the Commission) imputes the antitrust violation of the subsidiary to the parent company. It demonstrates that the central enquiry is whether the parent company has actually exercised decisive influence over the commercial policy (very broadly understood) of the subsidiary during the infringement period. It explains that the actual exercise of such influence can be presumed with a 100% shareholding on behalf of the parent and that, according to the EU Courts, that presumption is rebuttable, although the extent to which this actually happens in reality has caused many to question whether it can really be considered to be rebuttable in practice. It argues that, although the EU Courts have emphasised the importance of legal, economic, and organisational links when examining whether a subsidiary’s infringing conduct can be imputed to its parent, any analysis of those particular links can be understood as evaluating whether a parent company has (in an admittedly rather indirect manner) in fact exercised decisive influence over its subsidiary’s commercial policy. The test to be employed, in other words, is indeed a test involving proof of actual exercise of decisive influence—and not one merely of structural links—despite claims to the contrary in the literature.
The EU-Level Approach to Parental Liability and Its Interaction with Other Enforcement Policies and Doctrines
Authors: Whelan Peter
Published: June 2024

This book aims to identify and articulate the main practical enforcement implications of parental liability. The previous chapter examined the most important consequence for the parent company once it has been deemed to be responsible for the EU antitrust violation of its subsidiary: it examined the sanction—the antitrust fine—that is imposed upon that parent company by the European Commission (‘the Commission’). To provide a full account of the main practical enforcement implications of parental liability, however, one should also evaluate how the doctrine of parental antitrust liability interacts in practice with other important antitrust enforcement policies and doctrines. This chapter undertakes such an evaluation. It focuses on the operation of the Commission’s administrative leniency policy with respect to parental liability, as well as the implications for the doctrine of parental liability when successor liability becomes relevant in a competition law enforcement proceeding conducted at EU level.
Employing Deterrence Theory to Justify Parental Liability for Antitrust Violations
Authors: Whelan Peter
Published: June 2024

This chapter demonstrates how the theory of deterrence can rationalise in principle the imposition of parental antitrust liability. To do so, it first sets out the essentials of the relevant analytical framework. It details in turn: the ‘classic model’ of economic deterrence presented in the literature, including its two distinct variants that can be employed to set an optimal sanction; the most appropriate variant of economic deterrence theory for analysing how to achieve the deterrence of anticompetitive behaviour through antitrust enforcement; and the main inherent limitations of employing economic deterrence theory to justify parental liability for antitrust violations. With this framework established, the chapter then employs it to construct a robust argument that justifies, in principle, the imposition of parental liability to enforce antitrust law. That argument has three steps: first, one determines the size of the optimal antitrust fine on the basis of the unlawful gain variant of economic deterrence theory; second, one then employs this optimal fine to demonstrate that, due to a subsidiary’s inability to pay the optimal fine, a ‘deterrence gap’ will be created if one attempts to enforce competition law with sole reliance upon the imposition of fines upon the infringing subsidiary; and finally one demonstrates how the imposition of parental liability can help one to ‘fill’ the identified ‘deterrence gap’ to the benefit of the general deterrence of anticompetitive behaviour. By constructing such an argument, this chapter ensures that the essential groundwork is in place for the legitimacy-focused analyses conducted later in the book.
The Personal Responsibility of the Parent Company for the Antitrust Violation of Its Subsidiary
Authors: Whelan Peter
Published: June 2024

To ensure fairness in (punitive) antitrust enforcement, a person should only be officially sanctioned for an antitrust violation when personally responsible for such a sanction. The EU-level doctrine of parental antitrust liability is controversial for this reason: a link is frequently made between the doctrine’s alleged disregard for the principle of personal responsibility and a potential lack of legitimacy in EU competition enforcement. In a book examining the legitimacy of the EU-level doctrine of parental liability, it is thus important that one robustly establishes the extent to which a parent company can be genuinely deemed to be ‘personally responsible’ for its subsidiary’s antitrust violation when the said doctrine is employed. The current chapter undertakes this task. It thus analyses the ‘personal responsibility’ of a parent company when its subsidiary violates competition law. There are three steps to this analysis. The first step articulates the concept and preconditions of ‘personal responsibility’, the second demonstrates that the parent company fulfils the identified preconditions, whilst the third step evaluates the extent to which personal responsibility can be found within the ‘offence’ committed by the parent company in the context of parental liability.
The EU-Level Doctrine of Parental Liability and the Presumption of Innocence
Authors: Whelan Peter
Published: June 2024

This chapter evaluates whether the 100% shareholding presumption complies fully with the right to be presumed innocent. First, the legal framework underpinning the said right is presented. It is noted that a prima facie interference with the presumption of innocence via a presumption can be justified if a legitimate aim exists and that legitimate aim survives a proportionality test. Second, it analyses whether a prima facie interference of the presumption of innocence occurs with the 100% shareholding presumption. Its argues that a solid case exists that the presumption interferes with the presumption of innocence. Third, in acknowledgement of the identified prima facie case of an interference with the presumption of innocence, it articulates the legitimate objective that the 100% shareholding presumption pursues, thereby overcoming the initial filter that is required for that presumption to pass a proportionality analysis. Fourth, the EU Courts’ stance on whether the 100% shareholding presumption is justifiable is examined. It is noted that the Courts condition the proportionality—and thus legal acceptability—of the said presumption on whether it can be rebutted by parent companies. Fifth, the specific issue of rebutability is examined. The chapter concludes that one can come to a reasonable, supportable conclusion that the 100% shareholding presumption is in fact irrebuttable, irrespective of claims to the contrary in the EU-level jurisprudence. Within the current legal terms of the debate, then, there is a case to be made that the presumption of innocence is unlawfully violated by the European Commission’s current practice.
Justifying in Principle the 100% Shareholding Presumption: An Alternative (Proportionality-Focused) Assessment
Authors: Whelan Peter
Published: June 2024

The previous chapter presented a supportable argument that the 100% shareholding presumption is irrebuttable, irrespective of contrary claims in EU-level jurisprudence. If this is accepted, then on the specific legal terms articulated by the EU Courts, the said presumption would violate the right to be presumed innocent and thus be illegitimate under this monograph’s fourth legitimacy criterion (‘legality’). The qualifier just employed—‘the specific terms articulated by the EU Courts’—is important. It is arguable that the EU Courts, whilst influenced by the European Court of Human Rights (ECtHR), have gone further than the ECtHR’s position regarding presumptions, as for them rebutability is not one of many relevant—but not necessarily determinative—factors applicable to a proportionality test; instead, in EU law, rebutability is a determinative issue. If this argument is correct, then any prima facie interference with the presumption of innocence by the 100% shareholding presumption could be legally acceptable if the ECtHR approach to presumptions is fully adopted by the Courts. Two issues should thus be analysed to conclude this monograph’s fourth legitimacy criterion: (i) whether it is true that rebutability of a presumption is not determinative of its lawfulness under ECtHR jurisprudence; and (ii) if so, whether the 100% shareholding presumption would pass a proportionality test that does not require rebutability to be legally acceptable. These issues are examined in turn to see if, on an alternative reading of the legal rules on presumptions, the 100% shareholding may be acceptable under the criterion of legality.
Economics for Competition Lawyers 3e
Authors: Niels Gunnar , Jenkins Helen , Kavanagh James
Published: June 2024

The book does what the title says: it is a practitioner textbook on economics written specifically for competition lawyers. It takes the reader from first economic principles through to the application of those principles to competition cases. The book covers all the main topics in competition law—not only the ‘standard’ themes of market definition, market power, mergers, and anti-competitive practices, but also remedy design, damages, and use of experts in competition cases. This third edition covers recent developments, including the rise of digital platforms, killer acquisitions in innovative markets, competition in labour markets, and ‘green’ agreements related to climate change.
Introduction: Starting from First Principles
Authors: Niels Gunnar , Jenkins Helen , Kavanagh James
Published: June 2024

This introductory chapter explains the role of economics in shaping competition law, including the original economic notion that competition is ‘good’ and monopoly is ‘bad’. Economic theory, in particular microeconomics and industrial organization (IO), has contributed to an understanding of the effects of business practices that regularly feature in competition inquiries. In addition, econometrics and data science provide tools to quantify effects. Other strands used in competition law are financial economics and behavioural economics. The chapter provides health warnings on competition (what objectives can it achieve and what can it not?) and on competition policy, and the choice between over- and under-enforcement.
Abuse of Dominance
Authors: Niels Gunnar , Jenkins Helen , Kavanagh James
Published: June 2024

This chapter sets out the main economic principles for assessing exclusionary conduct, including the discussion on form versus effects, and the various tests and cost benchmarks used to identify anti-competitive effects. It then turns to the main types of abuse: predatory pricing, price discrimination, loyalty rebates, margin squeeze, bundling and tying, and refusal to supply. Abuse of dominance cases against large digital platforms have grabbed headlines, and the chapter covers practices such as platform envelopment, self-preferencing, and the collection of user data. Finally, it explains the relevant economic principles of excessive pricing.
Cartels and Other Horizontal Agreements
Authors: Niels Gunnar , Jenkins Helen , Kavanagh James
Published: June 2024

This chapter explains the distinction between hardcore cartels and other types of agreement, including information exchange. It then turns to counterfactual analysis and to various forms of cooperation among competitors, including joint purchasing and selling, and R&D and technology licensing agreements. It also discusses horizontal agreements to achieve environmental objectives and horizontal agreements in labour markets, including no-poaching agreements and restrictions on professions. Finally, the chapter addresses collusion by algorithms and how economic tools can assist with enforcement against cartels through leniency programmes and cartel detection.
Vertical Restraints
Authors: Niels Gunnar , Jenkins Helen , Kavanagh James
Published: June 2024

This chapter covers vertical restraints and explains how they differ from horizontal agreements. It starts with the main efficiency rationales for vertical restraints (free riding, hold-up, and double marginalization). The chapter then turns to foreclosure effects, which are often similar to those in abuse of dominance cases. Next it considers vertical restraints that continue to receive hostile treatment under competition law: resale price maintenance and territorial restrictions along national boundaries, which in the European Union violate the single-market objective. The chapter then deals with vertical restraints in online markets, including online distribution systems and most-favoured-nation clauses (MFNs).
The Interaction of Public and Private Enforcement Systems
Authors: Caro de Sousa Pedro
Published: June 2024

This chapter discusses the interplay between public and private enforcement systems. It explains how competition systems compromise competition laws and the institutions that enforce them, such as competition law enforcement agencies and courts. Public enforcement can be defined as the enforcement of competition laws by a governmental body, while private enforcement can generally be defined as litigation initiated by an individual, a legal entity, an organization, or a public entity. The chapter considers a number of systems in which either private enforcement or public enforcement predominates. It then details the areas of tension between both types of enforcement, such as access to the competition agency file.
Ensuring the Effectiveness of Redress Schemes
Authors: Caro de Sousa Pedro
Published: June 2024

This chapter looks at the effectiveness of redress schemes in light of the fact that factors such as quantifying and proving losses significantly increase the costs of competition litigation. The chapter also discusses the mechanisms of third-party funding, success-based billing, cost-based billing, and after-the-event insurance, all of which are intended to assist with the expense of litigation. Such mechanisms are similar in that they transfer the risk of bringing a claim to someone other than the victim of the competition infringement. The chapter notes that the effectiveness of a system often depends on the mechanisms that allow for sharing the risk and costs of bringing a claim or that reduce the costs of bringing a successful claim.
Establishing an Infringement
Authors: Caro de Sousa Pedro
Published: June 2024

This chapter discusses the establishment of an infringement, one of the required elements for a claim for liability for damages to be made under tort law. It discusses the difficulty for claimants of establishing an infringement on their own, and discusses how claimants may rely on previous infringement decisions by a competition authority in follow-on damages actions. The chapter also elaborates on the scope of the effect of infringement decisions on damages claims.
Economic Methods in Private Competition Enforcement
Authors: Caro de Sousa Pedro
Published: June 2024

In competition law, economic theory plays a large role in determining what the relevant explanations may be, and how plausible they are. Statistical and econometric evidence plays an important role in drawing inferences from the available evidence. This chapter discusses the relevance of economic models and the main techniques used in competition litigation, particularly as regards damages calculation and estimation. It argues that scientific models can be tools that assist courts to manage uncertainty together with other logical instruments such as inferences, deductions, and common sense.
The Current Legal Framework Relating to Directors
Authors: Arnold Mark
Published: June 2024

This chapter explores the current legal framework concerning directors of companies. The important elements of the legal framework primarily revolve around the company's constitution and the Companies Act 2006, but particular aspects of a director's conduct may engage other statutory provisions. Moreover, common law rules and equitable principles provide the background that informs the interpretation of the legislation and the assessment by the court of a director’s conduct. The chapter also considers the provisions of the UK Corporate Governance Code and the Financial Conduct Authority (FCA). It elaborates on the statutory framework and supporting materials to which directors of companies are subject.
Directors and Other Officers: Requirement and Definitions
Authors: Goodison Adam
Published: June 2024

This chapter covers the requirements and definitions of directors and other officers. It starts with the requirement of a company to have a director as per the Companies Act 2006. The name or description of the role or position is not relevant in deciding whether someone is a director. Thus, the court will examine the substance of the person’s activities to decide whether he occupies the position of director. The chapter then details the role and definition of several types of directors, such as appointed directors and shadow directors, before discussing the other roles correlated to directors. Meanwhile, the term officer is used as a generic term for directors and secretaries of a company.
Directors’ Powers and Responsibilities
Authors: Goodison Adam
Published: June 2024

This chapter details and discusses the powers and responsibilities of directors under the constitution. Although the Companies Act 2006 contains provisions about the nature of directors’ responsibilities, it does not state what the directors do. The exercise of the directors’ powers is not solely a matter to be regulated by articles, since the conduct of a company’s affairs affects wider interests. The chapter then explains the internal and external aspects of managing a company, which include how to deal with third parties and responsibilities. It details the conduct, knowledge, or mental state of a director and other officers that may be attributed to the company.
Appointment of Directors
Authors: Donnelly Stephen
Published: June 2024

This chapter notes the directors who are formally appointed to the role (including cases where the formal process is defective). It clarifies the rules relating to the required number of directors, their eligibility for appointment, the appointment process, and the publicity rules relating to the appointment. The Companies Act 2006 provides statutory provisions for the appointment of directors that may either be executive or non-executive directors. The Companies Act imposes a minimum number of directors, but it does not impose any maximum. The chapter then considers the validity of acts and defective appointments and the publication of the appointment of directors.
Taxation of Directors’ Earnings and Benefits
Authors: Chacko Thomas
Published: June 2024

This chapter discusses the taxation of directors' earnings and benefits. It cites that the most of tax issues in the context of directorships primarily revolve around the director’s income tax liability. Any income from the director's position will be charged as employment income under the Income Tax (Earnings and Pensions) Act 2003 (ITEPA), wherein officer-holders were regarded as employees generally. The chapter then details the golden hellos and termination payments of directors before outlining the tax implications of various share schemes that might be used. It also includes the tax issues concerned with the director's status, such as tax consequences of a director receiving funds in breach of duty.
Duty to Promote the Success of the Company
Authors: Arnold Mark , Haywood Marcus
Published: June 2024

This chapter covers the director's duty to promote the success of the company. The director of a company must act in good faith that would likely promote the success of the company for the benefit of its members as a whole. Moreover, the duty imposed by this section has effect subject to any enactment or rule of law requiring directors, in certain circumstances, to consider or act in the interest of the company creditors. The duty to promote the success of the company is closely related to the other general duties owed by a director to the company. The chapter mentions how a director who wants to be protected from the risk of being in breach of duty may obtain consent, approval, and authorization of members.