The ne bis in idem principle is a forerunner for fundamental rights in the European legal order. It has facilitated integration, but it also meets strong resistance. This contribution deals with the principle of ne bis in idem at the interface of administrative and criminal law enforcement, which has been a particularly controversial issue over the last few years. It analyses the recent case law of the ECJ and explores its consequences, focusing on the extent to which the principle has been made dependent on the degree of harmonization of EU law and on the transnational implications. With the rise of many new forms of transnational cooperation and an increasing focus of the EU legislature on law enforcement, the significance of this case law is hard to overlook.
Abstract: Developments in the European Union (EU) in the area of prosecution of transnational crime are tempestuous. Yet the debate on the role of the principles of criminal law in this area of the law is still in its infancy. This contribution explores the role of the legality principle (nullum crimen, nulla poena sine lege) in relation to choice of forum in the Area of Freedom, Security, and Justice (AFSJ). To what extent is the legality principle applicable in transnational cases? What must one think of current developments in light of this principle? Is the principle a factor of relevance for the European legislator and for the judiciary? It is advocated in this contribution that the legality principle of Article 49 of the Charter of Fundamental Rights (CFR) needs to be adapted to its transnational setting and that this must have implications for the state of play in European criminal law. Résumé: En matière de poursuite des délits transnationaux, les développements au sein de l´Union européenne sont tumultueux. Pourtantle débat sur le rôle des principes de droit pénal dans ce domaine du droit en est encore à ses débuts. La présente contribution explore le rôle du principe de légalité (nullum crimen, nulla poena sine lege) en relation avec le choix du for dans l´Espace de Liberté, Sécurité et Justice. Jusqu´où s´applique le principe de légalité aux cas transnationaux? Que doit-on penser des développements actuels à la lumière de ce principe? Le principe est-il un facteur de pertinence pour le législateur européeen? Et pour le pouvoir judiciaire? La présente contribution défend le point de vue selon lequel le principe de légalité de l´article 49 de la Charte des Droits Fondamentaux a besoin d´être adapté à son cadre transnational et cela doit avoir des implications sur l´état du droit pénal européen.
This article deals with the question of which state, in the case of overlapping jurisdictions, should investigate, prosecute and try offences in the European area of freedom, security and justice (choice of forum). As binding instruments on the choice of forum currently have no priority for the European legislator, this issue is de facto left largely to the legislative and executive branches of the Member States. Yet the question of whether this Member State discretion is acceptable de iure remains unanswered. This article assesses the relevant EU instruments in light of the requirement of a 'tribunal established by law' (Article 6 ECHR; Article 47 CFR) and addresses the issue of whether this requirement, in addition to its role in the national context, is also of relevance for the AFSJ as a whole. It is submitted that the choice of forum has a clear constitutional dimension, including a prominent role for the national and European judiciary as well. Only if concerns of losing national sovereignty are overcome will it be possible to start the debate on what actions must follow.
The Treaty of Lisbon formulates ambitious goals for the European Union. It holds that the EU shall offer its citizens an area of freedom, security and justice, in which the free movement of citizens is guaranteed in combination with appropriate measures with respect to crime control. This wording – which explicitly establishes a relationship between citizenship, free movement and a common area of justice – raises certain expectations. Still, the promotion of free movement also induces conflicts of jurisdiction. EU law further encourages those conflicts by obliging Member States to establish extraterritorial jurisdiction, in order to prevent negative conflicts of jurisdiction. These types of conflict easily harm the position of the EU citizen. This contribution analyses this problem in light of the legality principle, a cornerstone of every criminal law system, which is also included in the EU Charter of Fundamental Rights. Its central argument is that with the transfer of powers from the national to the European level and the increasing horizontal intertwinement of national criminal justice systems and the resulting intensified cooperation, it is also increasingly difficult to protect EU citizens against arbitrary investigation, prosecution, conviction and punishment in Europe's area of freedom, security and justice. EU Charter rights therefore need to be interpreted in light of their new, transnational setting. This contribution concludes with a series of recommendations for a revised European framework for choice of forum in criminal matters.
El texto estudia las normas relativas al abuso de mercado en la Unión Europea, la aplicación de la regulación de los mercados financieros y la manipulación del mercado. Así mismo, a partir del análisis de dos casos, muestra como en el marco de la regulación actual las autoridades nacionales en la UE no son en absoluto conscientes de la dimensión de sus tareas en Europa. Realiza un análisis de las propuestas legislativas recientes que tienen como objetivo crear igualdad de condiciones para los operadores económicos, los ciudadanos y las autoridades policiales. Plantea, además, una distinción entre las medidas propuestas en el ámbito del Derecho administrativo y el Derecho penal, para argumentar que estas propuestas aún no tienen en consideración los objetivos centrales de la UE.
The European Union has long been an important driver for the integration of fnancial markets in Europe. The goal of this article is to map how the current and future legal infrastructure in respect of the investigation, prosecution and punishment of market abuse rules supports the central assumption of the EU legislature that, in order to offer a comprehensive package in the fight against market abuse, a level playing field throughout the EU is necessary. Although good progress has been made with the proposals for a new regulation and directive on market abuse, it is our opinion that these proposals still do not sufficiently take account of the fact that highly integrated financial markets also need highly integrated law enforcement structures and powers, regardless of the organizational statute of the national authorities involved (criminal or administrative).
"The European Union is increasingly engaged in criminal justice. In cross-border criminal cases, the decision on which state will commence investigations and bring cases to trial (choice of forum) is made after horizontal mutual consultation and/or with the help of European institutions, agencies and networks. At present, there is no clear framework for choice of forum. Law enforcement agencies consequently enjoy a great deal of discretion. This may lead to negative conflicts of jurisdiction in which no Member State takes action. It may also adversely affect the principle of mutual recognition and facilitate forum shopping, by defendants and/or state authorities. This book aims to help define the interests at stake and to establish the legal parameters within which choice of forum should take place, thus contributing to the further development of this fascinating area of law."--Cover
El texto estudia las normas relativas al abuso de mercado en la Unión Europea, la aplicación de la regulación de los mercados financieros y la manipulación del mercado. Así mismo, a partir del análisis de dos casos, muestra como en el marco de la regulación actual las autoridades nacionales en la UE no son en absoluto conscientes de la dimensión de sus tareas en Europa. Realiza un análisis de las propuestas legislativas recientes que tienen como objetivo crear igualdad de condiciones para los operadores económicos, los ciudadanos y las autoridades policiales. Plantea, además, una distinción entre las medidas propuestas en el ámbito del Derecho administrativo y el Derecho penal, para argumentar que estas propuestas aún no tienen en consideración los objetivos centrales de la UE.
