Indictment in White-Collar Crime Proceedings
Meaning and Procedure of the Indictment
The indictment plays a central role in white-collar crime proceedings. It is the binding document that formalises the allegations against the accused individual (and, in cases of confiscation, also against the company) and initiates the trial. In the context of economic criminal law – covering offences such as fraud, breach of trust, insider trading, tax evasion, or money laundering – the precise drafting of the indictment is of decisive importance.
Definition and Purpose of the Indictment
The indictment is prepared by the public prosecutor’s office and sets out the essential facts and legal grounds leading to criminal liability. Its main purpose is to transparently inform both the court and the accused about the charges and their legal basis. It therefore functions as the basis for decision-making by the court and the defence. The indictment marks the conclusion of the investigation phase.
Essential Components of an Indictment
An indictment in white-collar crime proceedings typically contains:
- Detailed description of the offence: Circumstances of the alleged crimes, including time, place, method, and involved persons or companies.
- Evidence: A comprehensive list of supporting evidence such as documents, e-mails, witness statements, or financial records.
- Legal classification: Precise reference to the relevant provisions of the German Criminal Code or other applicable laws.
- Application to open the main proceedings: The formal request to the court to initiate the trial, often combined with additional motions (e.g. confiscation, appointment of mandatory defence counsel).
The Delimitation Function and Revision
Beyond formally presenting the charges, the indictment also serves a delimitation function. It defines the scope of the proceedings and ensures legal certainty. This applies to both the alleged acts and their legal classification.
A properly framed indictment ensures that both the court and the accused know exactly which facts and evidence are relevant. The effectiveness of the indictment (§ 200 StPO) and the proper opening decision (§ 203 StPO) are fundamental procedural requirements. Defects in the indictment can directly affect the opening of the trial.
It is essential to distinguish between the informational function and the delimitation function:
- Deficiencies in the delimitation function (e.g. vague description of the act) may constitute a procedural obstacle.
- Minor defects affecting only the informational function (e.g. omission of details) do not invalidate the indictment.
For example, the German Federal Court of Justice (BGH, 2 StR 291/20) overturned a conviction because essential details of the offence were missing from the indictment. The lack of a supplementary indictment under § 266 StPO rendered the conviction unlawful.
This illustrates why a precise indictment is crucial: only acts explicitly included in the indictment may lead to a conviction.
FAQ – Indictment in White-Collar Crime
What is the purpose of an indictment?
It formally sets out the charges, the underlying facts, and the legal basis, marking the transition from investigation to trial.
What offences are typically covered in economic criminal law?
Fraud, breach of trust, insider trading, tax offences, corruption, and money laundering.
Why is the delimitation function so important?
It ensures that the accused knows precisely what they are charged with, prevents double jeopardy, and provides a clear framework for the proceedings.
Can defects in the indictment lead to dismissal?
Yes, if they affect the delimitation function. Purely informational deficiencies usually do not prevent proceedings.
What role does the indictment play in appeals or revision?
In revision, courts first examine whether the indictment was properly framed, as procedural errors at this stage can invalidate the entire judgment.
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