反垄断法宽恕制度的适用问题及其制度完善研究

发布时间：2018-03-03 20:14

本文选题：宽恕制度　切入点：适用问题　出处：《深圳大学》2017年硕士论文　论文类型：学位论文

【摘要】：垄断协议作为极为普遍、对市场竞争危害极为严重的违法竞争行为,一直都是反垄断法重点打击的对象,但由于垄断协议与生俱来的隐蔽性,又加之经营者为避开执法机构的查处更为隐蔽和巧妙的反侦察手段等因素的存在,反垄断执法常常陷入执行僵局,这严重影响了反垄断法对违法竞争行为的有效遏制。于是,为了确保垄断协议的有效查处,美国在1978年首创了基于法经济学上的“囚徒困境”理论而产生的宽恕制度,其主要功能在于对垄断协议从内部进行分化、瓦解,以解决反垄断执法机构在查处该类垄断行为过程中执行难、取证难的问题,对有效地查处垄断协议、吓阻违法竞争行为具有明显的效果。基于宽恕制度明显的反垄断执法效果,后来许多国家和地区都将该制度引入本国反垄断执法领域。《中华人民共和国反垄断法》(以下简称《反垄断法》)虽立法晚成,但也将宽恕制度引入其中,第46条对宽恕制度作了明确规定,随后,国家工商行政管理总局和国家发改委也相继出台了几个与之相配套的规定。然而,我国反垄断法律法规对于宽恕制度只是原则性的规定,从具体的案件实施情况来看,我国反垄断宽恕制度适用中存在的问题也是颇多的。因此,本文笔者拟采用价值分析法、比较研究法、经济分析法和实证分析法等研究方法,按照提出问题—分析问题—解决问题的逻辑结构,更为系统、全面地对我国反垄断法宽恕制度的实施现状和缺失状态进行剖析,并在此基础上对我国反垄断宽恕制度提出完善建议。本文笔者主要从五个部分对反垄断法之宽恕制度进行研习。第一部分:我国反垄断法宽恕制度的适用现状及存在的问题。本章以案例为切入点,在分析我国宽恕制度的立法现状和具体案例适用情况的前提下,对我国反垄断宽恕制度存在的几个主要问题进行深入剖析。第二部分:反垄断法宽恕制度实体规则之研究。笔者以宽恕制度的理论基础和价值分析为切入点,对反垄断宽恕制度适用对象、适用条件等实体规范问题作了简单分析。第三部分:反垄断法宽恕制度程序规则之研究。结合上一章实体问题的研究,笔者以域外反垄断宽恕制度为主线,对宽恕制度申请程序、事前问询、标记制度、受理及审查程序以及撤销程序等程序性规则作了比较分析。第四部分,反垄断法宽恕制度实施机构之研究。本章笔者总体对反垄断宽恕制度的实施机构及其职权作了详细解读,旨在为下文完善意见奠定基础。第五部分:我国反垄断法宽恕制度的完善建议。本章笔者主要通过对前述我国现行反垄断法宽恕制度实施现状的分析,结合我国宽恕制度的实施困境,将重点放在对该实施困境的解决方法上,并在此基础上提出笔者对于我国反垄断法宽恕制度实体以及程序方面的几点完善建议。
[Abstract]:As a monopoly agreement is very common, the market competition is extremely serious harm illegal competition, has been the object of anti-monopoly law focus on, but because of the monopoly agreement and inherent concealment, and combined with the operators to avoid law enforcement agencies to investigate more subtle factors such as the existence of the anti reconnaissance measures the anti monopoly law enforcement, often fall into deadlock, which seriously affected the effective containment of the anti monopoly law of illegal competition. So, in order to ensure the effective handling of the monopoly agreement, the United States in 1978 was based on law and Economics on the "prisoner's dilemma" theory and the forgiveness system, its main function lies in the monopoly agreement from internal differentiation, collapse, in order to solve the anti-monopoly law enforcement agencies in the investigation process of this kind of monopoly behavior in the implementation difficult, hard evidence of the problem, to investigate monopoly agreements effectively deter illegal competition With obvious effect. The anti monopoly law enforcement effect forgiveness system based on later, many countries and regions to introduce the system of national anti-monopoly law enforcement in the field of People's Republic of China. The anti monopoly law "(hereinafter referred to as the" anti monopoly law ") although legislation late recognition, but will also forgive system by introducing the forty-sixth article of the pardon system made clear, then, the State Administration for Industry and Commerce and the national development and Reform Commission has also issued several regulations and matching. However, China's anti-monopoly laws and regulations for the forgiveness system is the principle provision, from the specific case implementation situation, existing antitrust forgiveness system in China for the problems in is also a lot of. Therefore, in this paper, the author uses the method of value analysis, comparative research method, research method and empirical analysis method of economic analysis, according to raise problems, analyze problems and solve problems The logical structure for system, analyzes comprehensively on China's anti-monopoly law of forgiveness system implementation of the status quo and deficiency, and on the basis of the system of antitrust forgiveness in China put forward a perfect suggestion. In this paper, the author mainly from the five parts of the anti-monopoly law of forgiveness system into the study. The first part: application the status quo of China's anti-monopoly law of forgiveness system and problems. This chapter takes the case as the breakthrough point, in the premise of application of legislation and specific case analysis of China's leniency program under the in-depth analysis of the main problems of China's antitrust forgiveness system. The second part: Research on the anti monopoly law of forgiveness the system of substantive rules. Based on the theoretical foundation and value analysis of forgiveness system as the starting point of the leniency policy applies to objects, makes a simple analysis of applicable conditions of substantive norms. The third part: Study on the rules of the leniency program of the antimonopoly law procedure. Based on the last chapter substantive issues, the extraterritorial antitrust forgiveness system as the main line of forgiveness system application, advance inquiries, marking system, acceptance and review procedures and revocation procedures of procedural rules are analyzed. The fourth part, research institutions to implement counter the leniency program of the antimonopoly law. This chapter is overall on the implementation of antitrust agencies and theirfunctions gave a detailed explanation, to lay the foundation for the following improvement suggestions. The fifth part: China's anti-monopoly law of forgiveness system perfect. In this chapter the author mainly through the analysis of the current anti-monopoly law of forgiveness system implementation the status quo, combined with the implementation of the plight of our country of forgiveness system, will focus on the solution to the dilemma of the implementation, and on this basis, the author puts forward the system of China's anti-monopoly law of forgiveness Some advices on the degree entity and the program.

【学位授予单位】：深圳大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.294

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