经营者承诺制度中利害关系人权益保障问题研究

发布时间：2018-05-17 07:08

本文选题：经营者承诺 + 利害关系人　；参考：《南京大学》2016年硕士论文

【摘要】：经营者承诺制度是指反垄断执法机构与涉嫌垄断的经营者在调查中协商一致,由经营者承诺停止涉嫌垄断的行为并消除行为后果,执法机关中止调查的制度。作为现代反垄断公共执法中的一种重要形式,其因具有节约行政资源、提高执法效率等优点而受到世界各国的青睐。我国《反垄断法》在借鉴欧盟承诺决定制度的基础上确立了经营者承诺制度。但就我国现有的法律法规而言,经营者承诺制度仅规定了执法机关和垄断经营者的权利义务,未将利害关系人合法权益的保护纳入到承诺制度的调整范畴中。在反垄断执法机构作出中止调查决定的过程中,尚未设立完善的利害关系人权益保护机制。2016年2月2日,国家发改委新制定的《反垄断案件经营者承诺指南》(征求意见稿)虽在一定程度上弥补了我国对利害关系人参与权的立法不足,但在实践操作中仍具有局限性。本文通过采用案例分析、价值分析以及比较研究的方法,将视角聚焦于经营者承诺制度中利害关系人权益保障的问题上。在肯定该制度价值功能的基础上分析了利害关系人在承诺制度适用过程中应当享有的程序性权利,探讨了我国经营者承诺制度在利害关系人权益保障上不足的原因以及存在的问题,并结合境外国家或地区在该制度利害关系人权益保障方面的类似经验,对完善我国经营者承诺制度提出了建议。本文主体内容分为四个部分展开。第一部分是关于我国经营者承诺制度的执法现状与问题提出。本部分开门见山,以“中国电信、联通垄断案”为引,分析并总结了我国关于经营者承诺制度的立法现状与执法实践,并以此为基础,提出我国经营者承诺制度在利害关系人权益保障方面存在的问题。第二部分是关于承诺制度中利害关系人的范围及其权益的界定。本部分首先对利害关系人的范围进行界定,将除涉案经营者以外的权利义务受涉嫌垄断行为影响的公民、法人或组织纳入到利害关系人的范畴。并在此基础上论述了利害关系人在适用承诺制度过程中应当享有的知情权、参与权以及救济权等程序性权利。第三部分是关于承诺制度中利害关系人权益保障不足的原因及存在的问题。本部分首先分析了承诺制度中利害关系人权益保障不足的原因,并结合“中国电信、联通垄断案”的处理过程,提出了我国经营者承诺制度在利害关系人权益保障方面存在的种种问题。第四部分是完善承诺制度中利害关系人权益保障制度的建议。本部分在分析比较美国、欧盟及我国台湾地区立法理论及执法经验的基础上,立足我国国情,针对我国实践中承诺制度在利害关系人权益保障方面的不足,提出进一步完善相关制度的建议,以期对我国经营者承诺制度中的利害关系人权益给予更为全面和有效的保护。
[Abstract]:The system of operator commitment refers to the system in which the antitrust law enforcement agency and the suspected monopoly operator agree in the investigation, the operator promises to stop the suspected monopoly behavior and eliminate the consequences of the behavior, and the law enforcement agency suspends the investigation. As an important form of modern anti-monopoly public law enforcement, it has the advantages of saving administrative resources and improving law enforcement efficiency. China's Anti-monopoly Law establishes the operator's commitment system on the basis of EU commitment decision system. However, as far as the existing laws and regulations are concerned, the commitment system of operators only stipulates the rights and obligations of law enforcement agencies and monopoly operators, and does not bring the protection of the legitimate rights and interests of interested parties into the scope of adjustment of the commitment system. In the course of the decision of the antitrust law enforcement agency to suspend the investigation, a mechanism for protecting the rights and interests of the stakeholders has not yet been established. On February 2, 2016, The new guidelines of the National Development and Reform Commission on the commitment of operators in antitrust cases (draft of soliciting opinions), although to some extent make up for the lack of legislation on the rights of participation of interested parties in our country, are still limited in practice. By using the methods of case study, value analysis and comparative study, this paper focuses on the protection of the rights and interests of the stakeholders in the system of undertakings. On the basis of affirming the value function of the system, this paper analyzes the procedural rights that the interested parties should enjoy in the application of the commitment system, This paper probes into the reasons and problems of the inadequate protection of the rights and interests of the interested parties in the system of undertakings of operators in China, and combines the similar experiences of overseas countries or regions in the protection of the rights and interests of the interested parties in the system. Some suggestions are put forward to perfect the system of manager commitment in our country. The main content of this paper is divided into four parts. The first part is about our country operator commitment system law enforcement present situation and the question put forward. This part begins with the case of China Telecom and China Unicom, analyzes and summarizes the current legislative situation and enforcement practice of the system of undertakings of operators in China, and takes it as the basis. This paper puts forward the problems in the protection of the rights and interests of the interested parties in the system of undertakings of operators in our country. The second part is about the scope of the stakeholders and the definition of the rights and interests in the commitment system. This part firstly defines the scope of the interested parties and brings the rights and obligations other than the operators involved into the category of the interested parties. On this basis, it discusses the procedural rights of the interested parties in the process of applying the promise system, such as the right to know, the right to participate and the right to remedy. The third part is about the reasons and problems of the inadequate protection of the rights and interests of the stakeholders in the commitment system. This part first analyzes the reasons for the inadequate protection of the rights and interests of the interested parties in the commitment system, and combines the process of handling the "China Telecom, Unicom monopoly case". This paper puts forward all kinds of problems in the protection of the rights and interests of the interested parties in the undertaking system of the operator in our country. The fourth part is the suggestion of perfecting the guarantee system of the rights and interests of the interested parties in the commitment system. Based on the analysis and comparison of the legislative theory and law enforcement experience of the United States, the European Union and Taiwan, this part aims at the deficiency of the commitment system in the protection of the rights and interests of the interested parties in the practice of our country, based on the situation of our country. In order to protect the rights and interests of the stakeholders in the commitment system of the operators in China, the author puts forward some suggestions to further improve the relevant systems in order to protect the rights and interests of the interested parties more comprehensively and effectively.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.294

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