Tài liệu TOWARDS A EUROPEAN UNFAIR COMPETITION LAW A Clash Between Legal Families docx

TOWARDS A EUROPEAN UNFAIR

COMPETITION LAW

A Clash Between Legal Families

Intellectual Property Law Library

1. R.W. de Vrey, Towards a European Unfair Competition Law. A Clash Between Legal

Families (2006)

2. M. Ogawa, Protection of Broadcasters’ Rights (2006)

Towards a European

Unfair Competition Law

A Clash Between Legal Families

A comparative study of English, German

and Dutch law in light of existing European

and international legal instruments

by

Rogier W. de Vrey

MARTINUS NIJHOFF PUBLISHERS

LEIDEN / BOSTON

A C.I.P. record for this book is available from the Library of Congress.

CRC prepared by: G.J. Wiarda Institute (Utrecht Institute of Legal Studies),

Boothstraat 6, 3512 BW Utrecht, the Netherlands.

This book is the published version of the PhD thesis defended on 13 December 2005

Printed on acid-free paper.

ISSN 1871-6725

ISBN 90-04-15040-4

© 2006 Koninklijke Brill NV, Leiden, The Netherlands

Koninklijke Brill NV incorporates the imprints Brill Academic Publishers,

Martinus Nijhoff Publishers and VSP.

http://www.brill.nl

All rights reserved. No part of this publication may be reproduced, stored in a retrieval

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Fees are subject to change.

Printed and bound in The Netherlands.

PREFACE

From the moment I got in contact with the law as a student, I have been try￾ing to find the crosslinks between the various areas of law as well as rela￾tionships between certain areas of law and matters of public policy and

economics. Unfair competition law, as a separate area of law, has proved to

be a particularly attractive area of law in light of the above. Not only is it

situated on the borderline of intellectual property law, competition law and

consumer protection law, but it is clearly connected to areas situated outside

of the legal landscape like competition policy, state interference and ethical

standards of behaviour. Should we provide for unfettered competition

between traders by relinquishing any call for arranging the behaviour of

players on the market, or do we need to provide for a set of rules to counter

unfair behaviour? And if so, what constitutes unfair behaviour? Do we want

to create more monopolies by introducing new quasi-intellectual property

rights? Shouldn’t companies be able to develop one single marketing strate￾gy when introducing their products on the European market instead of

being hindered by differences in unfair competition laws of the Member

States. And what set of rules should be provided to consumers who enter

into a cross-border transaction?

These considerations have motivated me to start and finish my research on

the harmonisation of unfair competition law. Because of the wide scope of

my research topic, I am particularly grateful to my promoter prof.mr. F.W.

Grosheide for helping me keep my track by supporting me and placing his

confidence in me. In addition, I am very grateful to the Max-Planck-Institut

für Geistiges Eigentum, Wettbewerbs- und Steuerrecht in Munich, in par￾ticular prof. dr. dres. h.c. J. Straus and Dr. F. Henning-Bodewig for their

hospitality and the possibility to conduct research as a Stipendiat, as well as

the Queen Mary Intellectual Property Research Institute in London in par￾ticular in the person of prof.dr. M Blakeney and finally, the European Com￾mission, DG Health and Consumer protection for their hospitality. Special

words of thanks should be extended to mr. P.A. Morris LL.B., who has edit￾ed the text of the manuscript and to mrs. W.J. Vreekamp and mrs. T. Kloos

of the Wiarda Institute of the University of Utrecht for making the manu￾script ‘camera ready’. Last but not least, I want to offer my warm thanks to

my wife, Robijn, my parents and my sister, Evelyn, for providing me with

unfailing support in my work.

The research was completed in July 2005. Any case law or literature pub￾lished after this date has – with some minor exceptions – not been incorpo￾rated.

Utrecht, September 2005

vii

Table of Contents

Preface v

List of Abbreviations xiii

Chapter 1: Introduction 1

1.1 The Europeanization of Unfair Competition Law 1

1.2 Thesis 4

1.3 Delimitation of the research 5

1.4 Methodology 7

1.5 Terminology 8

1.6 Plan of Action 9

Chapter 2: International and European Law 11

2.1 Introduction 11

2.2 International Rules on Unfair Competition 12

2.2.1 The Paris Convention for the Protection of Industrial Property 12

a General clause 13

b Specific cases of unfair competition 14

c Legal redress 15

2.2.2 Special agreements following the Paris Convention 16

2.2.3 TRIPs 17

2.2.4 WIPO Model Provisions on protection against unfair

competition 18

2.2.5 The International League of Competition Law 22

2.2.6 Conclusions 23

2.3 Unfair Competition within the European Community 24

2.3.1 Introduction 24

2.3.2 The need for harmonisation 27

2.3.3 Community harmonisation so far 29

2.3.4 Primary European Union Law 30

2.3.5 Secondary European Union Law 33

2.3.5.1 The Ulmer comparative study 33

2.3.5.2 Harmonisation in specific areas 35

a Misleading Advertising Directive 35

b Cases of very specific EU regulation relating to unfair

competition 37

Contents

viii

c Unfair competition law accommodated in other areas of law 37

d Comparative Advertising Directive 39

e E-commerce Directive 40

f Conclusions 42

2.3.6 The European Convention of Human Rights 43

2.4 The introduction of consumer protection in unfair competition law 45

2.5 Common principles suggested in legal doctrine as alternative approaches

to harmonisation 48

2.5.1 Unjust enrichment 48

2.5.2 The doctrine of misappropriation 50

2.6 New European legislative initiatives 52

2.6.1 Draft Regulation on Sales Promotions 53

2.6.2 The Unfair Commercial Practices Directive 55

2.6.2.1 The Green Paper and its Follow-up 55

2.6.2.2 An analysis of the Unfair Commercial Practices Directive 57

a Introduction 57

b Total harmonisation 58

c Confined to B2C relations 59

d The country-of-origin rule 64

e General Clause 65

f Specific clauses; Misleading commercial practices 68

g Specific clauses; Aggressive commercial practices 69

h Blacklist of unfair commercial practices 70

i Remedies 72

2.7 Conclusion 75

Chapter 3: Dutch Law 79

3.1 Introduction 79

3.2 Freedom of trade 79

3.3 Legislative development of unfair competition 80

3.3.1 The 19th century 80

3.3.2 Bills before Parliament 84

3.3.3 Criminal Law regulation of 1915 85

3.3.4 The Lindenbaum/Cohen case of the Hoge Raad 86

3.3.5 The 1941 and 1963 Preliminary Reports and the draft

NBW legislation 87

a The 1941 Preliminary Reports 87

b The 1963 Preliminary Reports 89

3.3.6 The 1967 Report by the Committee of Orderly Commerce 90

3.3.7 The 1971 SER Proposal 91

3.3.8 Developments following the 1971 SER proposal 93

Contents

ix

3.3.9 Voices in literature 1971-1992 94

3.3.10 New Civil Code 1992 96

3.3.11 Voices in literature 1992-present 97

3.3.12 Conclusions 97

3.4 Scope of Protection 100

3.5 Acts prohibited under unfair competition law 101

3.5.1 Introduction 101

3.5.2 Classification of acts prohibited under unfair competition law 102

3.5.3 Misleading the public: Misleading advertising 104

3.5.3.1 Provisions in the Civil Code 104

3.5.3.2 Art. 6:194-196 BW 105

a Misleading 105

b Burden of proof 108

c Sanctions 108

3.5.3.3 Self regulation 110

3.5.4 Discrediting competitors 111

3.5.5 Imitation and misappropriation 112

3.5.5.1 Slavish imitation 113

a Distinctiveness 116

b Confusion 117

c Similarity regarding features that are not important for the

reliability and usefulness of the product 119

d Needless confusion 120

3.5.5.2 Slavish imitation; controversies in literature 120

a The requirement of confusion 121

b The ‘Reflex-Effect’ 126

c Term of protection 127

3.5.5.3 The imitation of badges of trade 129

3.5.5.4 Misappropriation of (valuable) intangibles 135

a Introduction 135

b Equivalent performance 135

c Statutory regulation 138

d Survey of topics of discussion concerning sweat of the

brow protection 140

e Conclusion 142

3.5.5.5 Protecting Know-how 142

3.6 Conclusion 145

Chapter 4: German Law 147

4.1 Introduction 147

4.2 Legislative development of unfair competition 148

Contents

x

4.2.1 The outset 148

4.2.2 UWG 1896 150

4.2.3 UWG 1909 150

4.2.4 Subsequent changes to the UWG 1909 152

4.2.5 UWG 2004 153

4.3 Scope of protection 157

4.3.1 Scope of the UWG 1909 157

4.3.2 Scope of the UWG 2004 158

4.3.3 Remedies under the UWG 2004 160

4.4 Classification of acts of unfair competition 165

4.5 The general clause 166

4.5.1 Introduction 166

4.5.2 UWG 1909 – ‘guten Sitten’ 166

4.5.3 UWG 2004 – ‘Unlauterkeit’ 169

4.6 Misleading the public 170

4.6.1 Introduction 170

4.6.2 Prerequisites 171

4.6.3 Misleading 172

4.6.4 Specific cases of misleading advertising 175

4.7 Discrediting competitors 176

4.7.1 Introduction 176

4.7.2 Trade libel by statements of opinion 176

4.7.3 Trade libel by statements of fact 177

4.8 Imitation and misappropriation 178

4.8.1 Introduction 178

4.8.2 Freedom of competition 179

4.8.3 Unlawful imitation by misrepresentation or misappropriation 180

4.8.3.1 Introduction 180

4.8.3.2 Competitive characteristics 180

4.8.3.3 Grade of imitation 182

a direct imitation 182

b virtually identical imitation 182

c imitation with sufficient similarities 183

4.8.3.4 Special circumstances 183

a confusion as to the origin 183

b exploitation of a competitor’s reputation 185

c obtaining knowledge and data by dishonest means 186

d insertion into a non-proprietary series 186

e Obstructing the competitor 188

4.8.3.5 Unlawful imitation of advertisements 189

4.8.3.6 Limitations in time 191

4.8.3.7 Exclusive rights? 192

Contents

xi

4.8.3.8 Conclusion 193

4.8.4 Protecting Know-how 194

4.8.4.1 Introduction 194

4.8.4.2 The definition of a trade secret 195

4.8.4.3 Betrayal of trade secrets 196

4.8.4.4 Industrial espionage 197

4.8.4.5 Exploitation of trade secrets 198

4.8.4.6 Exploitation of entrusted submittals or technical instructions 198

4.8.4.7 Solicitation or offer to betray trade secrets 199

4.9 Conclusion 200

Chapter 5: English Law 203

5.1 Introduction 203

5.2 Rejection of a general action for unfair competition 204

5.3 Misleading advertising 207

5.3.1 Introduction 207

5.3.2 British Code of Advertising, Sales Promotion and

Direct Marketing 207

5.3.3 ITC and RA Broadcasting Advertising Codes 209

5.3.4 Enforcement by Trading Standards Departments 211

5.3.5 Control of Misleading Advertisements Regulation 1988 212

5.3.6 Civil remedies under common law 214

5.3.7 Criteria for misleading 215

5.4 Discrediting another’s enterprise or its activities 220

5.4.1 Introduction 220

5.4.2 Malicious Falsehood 221

5.4.2.1 Introduction 221

5.4.2.2 Falsehood 222

5.4.2.3 Malice 223

5.4.2.4 Special Damage 224

5.4.3 Defamation 225

5.4.3.1 Introduction 225

5.4.3.2 Defamation in relation to malicious falsehood 226

5.4.3.3 Two types of defamation 227

5.4.3.4 Defences to an action for defamation 228

5.4.3.5 Remedies under defamation 229

5.4.4 CMAR and the British Codes of Conduct 230

5.5 Imitation and Misappropriation 233

5.5.1 Passing Off 233

5.5.1.1 Introduction 233

5.5.1.2 Misrepresentation 236

Contents

xii

5.5.1.3 Goodwill 238

5.5.1.4 Actual damage 240

5.5.1.5 Relation to the Trade Marks Act 1994 244

5.5.1.6 The tort of passing off and its boundaries 247

5.5.1.7 Conclusion 255

a Creation of a tort of unfair competition? 255

b Arguments for the introduction of unfair competition 257

c Arguments against the introduction of unfair competition 262

d Final observations 264

5.5.2 Protecting Know-how 266

5.5.2.1 Introduction 266

5.5.2.2 Confidential information 267

5.5.2.3 Obligation of confidence 268

5.5.2.4 Third parties 271

5.5.2.5 Unauthorised use 272

5.5.2.6 Trade secrets as property rights 273

5.6 Conclusion 275

Chapter 6: Comparative Law 277

6.1 Introduction 277

6.2 Unfair competition as a legal concept 278

6.3 Misleading advertising 282

6.4 Denigrating one’s competitor 287

6.5 Unlawful imitation by misrepresentation 289

6.6 Misappropriation of another’s achievements 298

6.7 Protecting Know-how 301

Chapter 7: Conclusion 307

Table of Cases 317

Bibliography 330

Index 357

Annex I: Unfair Commercial Practices Directive 359

Annex II: WIPO Provisions on Protection against Unfair Competition (1996) 377

xiii

List of Abbreviations

AA Ars Aequi

AC Law Reports: Appeal Cases

AIPJ Australian Intellectual Property Journal

AIPPI International Association for the Protection of

Intellectual Property

All ER All England Law Reports

ALR Australian Law Reports

AMI Tijdschrift voor auteurs-, media- & informatierecht

art(s). article(s)

ASA Advertising Standards Authority

B2B Business-to-business

B2C Business-to-consumer

BB Der Betriebs-Berater

BDMA (BTMW) Benelux Designs and Models Act

BGB Bürgerliches Gesetzbuch (German Civil Code)

BGBl Bundesgesetzblatt

BGH Bundesgerichtshof

BGHZ Sammlung der Entscheidungen des BGH in

Zivilsachen

BIE Bijblad bij de Industriële Eigendom

B.U. J. Sci. & Tech. L. Boston University Journal of Science & Technology

Law

BW Burgerlijk Wetboek (Dutch Civil Code)

CAP Committee of Advertising Practice

CB Common Bench

cf. confer (compare)

Ch.D. Law Reports: Chancery Division

CIER Centrum voor Intellectueel Eigendomsrecht (Centre

for Intellectual Property Law)

CLJ Cambridge Law Journal

CMAR Control of Misleading Advertisements Regulations

CMLR Common Market Law Reports

Col. LR Columbia Law Review

CvB College van Beroep (Board of Appeal)

DG Sanco Directorate-General Health and Consumer Protection

DGFT Director General of Fair Trading

EEC European Economic Community

EC European Community

List of Abbreviations

xiv

ECJ European Court of Justice

ECR European Court Reports

ECHR European Court of Human Rights

e.g. exempli gratia (for example)

EIPR European Intellectual Property Review

E.L.Rev. European Law Review

EMLR Entertainment & Media Law Reports

ER English Reports

ESB Economisch Statistische Berichten

ETMR European Trade Mark Reports

et al. et alii, et alia (and others)

et seq. et sequens, et sequentes, et sequentia (and following)

etc. et cetera (and so on)

EU European Union

EWCA Civ Court of Appeal Civil Division (England & Wales)

EWHC (Admin) England and Wales High Court (Administrative Court)

diss. General Agreement on Tariffs and Trade

FS Festschrift

FSR Fleet Street Reports

GRUR Gewerblicher Rechtsschutz und Urheberrecht

GRURInt Gewerblicher Rechtsschutz und Urheberrecht

Internationaler Teil

GRUR-RR Gewerblicher Rechtsschutz und Urheberrecht

Rechtsprechungs-Report

GWB Gesetz gegen Wettbewerbsbeschränkungen

HcoJ High Court of Justice

HL House of Lords

HR Hoge Raad (Dutch Supreme Court)

ibid. ibidem (in the same place)

ICC International Chamber of Commerce

i.e. id est (that is)

IER Intelletuele Eigendom en Reclamerecht

IIC International Review of Intellectual Property and

Competition Law

IPQ Intellectual Property Quarterly

IPRax Praxis des Internationalen Privat- und

Verfahrensrechts

ITC Independent Television Commission

IVIR Instituut voor Informatierecht (Institute for

Information Law)

JAVI Juridisch Tijdschrift voor Internet en E-business

JBL Journal of Business Law