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Classification and Definition of Case Statistics of the Fair Trade Commission

Classification and Definition of Case Statistics of the Fair Trade Commission

  1. Complaint
    Complaint refers to a case filed by reporting agency or referred by other government agencies in writing (including E-mail and fax) or oral (recorded by the FTC) to the FTC, stating a possible violation of the provisions of the laws enforced by the FTC. The results of processing including:
    1. Decision
      Decision refers to a complaint reviewed and a disposition made by the FTC’s Commissioners Meeting that the defendant is confirmed to violate the laws enforced by the FTC and will receive a decision document.
    2. No-action Decision
      No-action decision refers to a complaint reviewed (or authorized persons in accordance with a precedent) and a disposition made by the FTC’s Commissioners Meeting that the defendant is confirmed not to violate the laws enforced by the FTC. Reasons for the no-action decision can be classified into following categories:
      (1) Cases subject to the regulation by the Article 45 or the Article 46 of the FTA.
      (2) Failing to meet substantive prerequisites: insufficient evidences, failing to meet substantive criteria; the defendant had already taken corrective measure, or in a minor case a settlement had already been reached between two sides.
      (3) Others: reasons may not be classified into the aforementioned items.
    3. Administrative Action
      Administrative action refers to measures taken by the FTC’s Commissioners Meeting (or authorized persons in accordance with a precedent) in response to a defendant who violated the laws enforced by the FTC or the spirit thereof. Administrative action could be any of the followings:
      (1) Industrial warning (guidance): cases for which no decision ruling will be made before a general administrative guidance is issued to require a large number of specific parties’ correction of behavior that might violate the laws enforced by the FTC or affect trading order.
      (2) Business warning: cases for which no decision ruling will be made before an administrative guidance is issued to require an individual party’s correction of behavior that might violate the laws enforced by the FTC or affect trading order.
      (3) Written advice for competent authority to take appropriate measures: cases for which the competent authority is advised by the FTC to take appropriate measures to solve competition concerns.
      (4) Other measures:cases that may not be classified into the aforementioned three items.
    4. Termination of Review
      Rejection of complaint refers to the complaint goes beyond FTC’s responsibilities, shall be referred to another agency according to division of jurisdictions between agencies, or fails to meet the FTC’s procedural requirements.
      (1) Reasons for rejection of complaint:criminal case, ‚civil dispute, ƒcase fallen upon other agency’s responsibility, „failing to meet procedural requirements (e.g., the filing party withdrew its complaint, failed to supplement information required, been out of contact, complained anonymously, or the complained party not fitting into the definitions stipulated in the laws enforced by the FTC), and …the others (not falling into the aforementioned 4 categories).
      (2) Results of rejection of complaint:replied with a written explanation, ‚filed for record, or ƒreferred to another agency.
    5. Suspension of Investigation
      Termination of review refers to the FTC’s decision to terminate an investigation once the enterprise under investigation has fulfilled its commitments by taking specific measures to cease and rectify its alleged illegal conduct according to the Article 28 of the FTA.
  2. Application for Concerted Action
    Application for concerted action refers to an application submitted by enterprises to the FTC for an approval to conduct a concerted action, an extension of time limit for the approval, and amendment of approved content of a concerted action according to the Article 15 and the Paragraph 2, the Article 16 of the Fair Trade Act. The results of processing including:
    1. Approved
      An approved case refers to an application for concerted action, an extension of time limit for the approval, and amendment of approved content of a concerted action for which the FTC decides to grant approval at its Commissioners’ Meeting.
    2. Partially Approved
      A case partially approved refers to an application for concerted action, an extension of time limit for the approval, and amendment of approved content of a concerted action for which the FTC decides to grant approval for part of the applied items at its Commissioners’ Meeting.
    3. Rejected
      A rejected case refers to an application for concerted action, an extension of time limit for the approval, and amendment of approved content of a concerted action against which the FTC decides to reject at its Commissioners’ Meeting.
    4. Termination of Review
      A review of an application case is terminated refers to an application which contains a fact taking place before the Fair Trade Act became effective, or a case whose handling results can not be classified into any one of the aforementioned three categories and which is already closed as proposed.
  3. Merger Notifications
    It refers to a merger notification filed by an enterprise to the FTC according to the Article 11 of the Fair Trade Act. The results of processing including:
    1. Merger not Prohibited
      Merger not prohibited refers to a merger proposal not prohibited or objected by the Commissioners’ Meetings of the FTC.
    2. Merger Prohibited
      Merger prohibited refers to a merger proposal prohibited by the Commissioners’ Meetings of the FTC.
    3. Termination of Review
      Termination of review happens either when notifying parties fail to provide sufficient documents to meet the FTC’s written request, or the results of cases handling cannot be categorized into merger not prohibited or merger prohibited.
  4. Request for Explanation
    Request for explanation refers to a request of a government agency, an enterprise, or an individual to the FTC for explanation of certain provisions of the laws enforced by the FTC or a written request of a government agency to comment whether a case is applicable to the laws enforced by the FTC. The results of processing including:
    1. Explanation
      Explanation refers to a written statement which, issued by the FTC’s Commissioner’ Meeting, deliberates and analyzes the meanings of the laws enforced by the FTC for its enforcement work upon a government agency, an enterprise, or an individual’s request.
    2. Inquiry-answering
      (1) Inquiry-answering refers to a response provided by responsible personnel, instead of the FTC Commissioners’ Meeting, in accordance with a previous explanation or based on the existent laws and regulations whose provisions are already adequate to clarify the question raised or whose provisions are very clear without controversy and need no further interpretation.
      (2) It also refers to a response to a request of FTC’s advisory opinion by a court, a prosecutor’s office, or an investigation agency.
    3. Termination of Review
      Termination of review happens when a request for explanation goes beyond the FTC’s responsibilities and for which the FTC has no authority to provide explanation, or the contents of the request are vague and the party making such request fails to respond to or ignores the FTC’s request for supplementary explanation.
  5. FTC Self-initiated Investigation
    The FTC self-initiated investigation means that the FTC take initiative to investigate, per its authorization and duties, possible illegal actions against the laws enforced by the FTC in accordance with an established procedure. This category includes actions taken by the FTC itself and triggered by the oral interpellation by the legislators, anonymous complaints, and anonymous complaints referred by other agencies. The results of processing including:
    1. Decision
      Decision refers to a disposition made by the FTC’s Commissioners’ Meeting that a FTC self-initiated investigation case is confirmed to violate the laws enforced by the FTC and will receive a decision document.
    2. No-action Decision
      No-action decision refers to a disposition made by the FTC’s Commissioners Meeting (or authorized persons in accordance with a precedent) that a FTC self-initiated investigation case is confirmed no violation of the FTA or relevant regulation. Reasons for the no-action decision can be classified into following categories:
      (1) Cases subject to the regulation by the Article 45 or the Article 46 of the FTA.
      (2) Failing to meet substantive prerequisites: insufficient evidences, failing to meet substantive criteria; the defendant had taken corrective measure already, or in a minor case a settlement had already been reached between two parties.
      (3) Others: reasons may not be classified into the aforementioned items.
    3. Administrative Action
      Administrative action refers to measures taken by the FTC’s Commissioners Meeting (or authorized persons in accordance with a precedent) in response to a FTC self-initiated investigation case which violated the laws enforced by the FTC or the spirit thereof. Administrative action could be any of the followings:
      (1) Industrial warning (guidance): cases for which no decision ruling will be made before a general administrative guidance is issued to require a large number of specific parties’ correction of behavior that might violate the laws enforced by the FTC or affect trading order.
      (2) Business warning: cases for which no decision ruling will be made before an administrative guidance is issued to require an individual party’s correction of behavior that might violate the laws enforced by the FTC or affect trading order.
      (3) Written advice for competent authority to take appropriate measures: Cases for which the agency-in-charge is advised by the FTC to take appropriate measures to solve competition concerns.
      (4) Other measures:Cases which may not be classified into the aforementioned three items.
    4. Termination of Review
      Aborgation of review happens when a FTC self-initiated investigation case goes beyond FTC’s responsibilities or should be monitored and then closed.
    5. Suspension of Investigation
      Termination of review refers to the FTC’s decision to terminate an investigation once the enterprise under investigation has fulfilled its commitments by taking specific measures to cease and rectify its alleged illegal conduct according to the Article 28 of the FTA.
Updated at:2015-08-12 14:27:13
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