论我国企业并购反垄断审查程序的完善

发布时间：2018-06-16 03:34

本文选题：企业并购 + 反垄断　；参考：《华东政法大学》2015年硕士论文

【摘要】：自上世纪末开始,投资的自由化使得各国经济快速发展,而企业并购在此过程中逐渐成为一种世界性的经济现象。对世界上许多国家来说,企业并购已经成为企业扩张、提高规模经济效益和国际竞争力的有效途径,这是因为企业并购具有很多积极作用,如增强企业实力、调节生产、扩大市场份额、优化资源配置以及推动技术和经济发展。与此同时,企业并购也可能会形成垄断,在推动经济发展的过程中无疑会出现排除或限制市场竞争的现象,造成损害消费者福利,甚至危及社会经济发展的后果。因此,世界各国都从反垄断法意义上来监督和调控并购行为,在我国的法律中,对企业并购行为的控制也是我国反垄断法的内容之一。各国对企业并购所采取的反垄断监管措施大体是一致的,即都要求并购企业进行并购申报,区别在于事前申报还是事后申报,申报结束后主管机关对符合条件的申报进行立案,然后再根据反垄断审查的具体规定进行审查,最后做出是否对该项并购予以批准的决定。本文主要通过研究找出我国企业并购反垄断审查程序中存在的问题,从而找出完善这些问题的途径,进而提升反垄断审查程序的公平公正价值,保证程序正义得以实现。在强调程序正义的同时,也要强调效率,要实现程序正义与效率的平衡。我国的反垄断审查采用的是行政审批模式,这样有利于提高效率,在保证效率的同时,要强调程序正义。完善程序规则不仅能够提高执法透明度,限制执法人员任意的行为,也可以指导执法行为,减少投资的不确定性,同时也可以增强实体规则的操作性,为企业并购审查提供合理且确定的期待。考察世界各国的反垄断法,我们能够发现,有的国家的程序制度相当具体,而实体制度相对单一并有继续简化的趋向,出现这样的趋势大概是为了补足实体规则适用性不强的缺点。相较于欧美在企业并购反垄断监管上的历史发展,我国对并购的反垄断监管立法还处于低级水平,在立法上还存在很多不足之处。本文选取了企业并购领域相当重要而现有研究又相对薄弱的企业并购反垄断审查程序展开讨论,通过对比欧盟和美国在企业并购反垄断审查程序上的规定,寻找欧美在反垄断审查程序立法上的先进理念,从而为我国反垄断审查制度的完善提供借鉴。本文内容共有四章。第一章对企业并购相关概念、企业并购反垄断审查的必要性和审查程序完善的必要性进行概述,主要包括企业并购所涉及到的兼并和并购的区别,进一步明确我国进行反垄断审查的必要性和对企业并购反垄断审查程序完善的必要性。本文第二章主要是针对欧盟和美国法律体系中有关企业并购反垄断审查制度的介绍。主要系统介绍了美国和欧盟反垄断审查的程序性规定和执法机构等内容,并通过对比找出美国和欧盟反垄断并购审查程序上的异同。本文第三章主要通过商务部官方网站上公布的一个企业并购的案例来介绍我国企业并购反垄断审查制度的现状。主要系统的介绍了我国反垄断审查的程序性规定、审查机构和立法现状。本文第四章主要总结我国企业并购反垄断审查程序中存在的弊端并提出相关的完善建议。本章主要是对前文所分析的我国反垄断审查程序规定指出其不足,就如何完善我国企业并购反垄断审查程序,进而提升反垄断审查程序公平公正提出本人的意见,期望在完善我国反垄断审查程序上有所作用。主要包括:第一,完善反垄断审查法律制度,制定一部单独的企业并购指南;第二,完善反垄断执法机构设置,明确具体职责和分工;第三,细化听证程序,进一步保障审查程序的公正性和中立性;第四,增加审查过程的公开性,保证审查过程的透明性。
[Abstract]:Since the end of the last century, the liberalization of investment has made the economy of all countries develop rapidly, and mergers and acquisitions have gradually become a worldwide economic phenomenon in this process. For many countries in the world, mergers and acquisitions have become an effective way for enterprises to expand and improve their economies of scale and international competitiveness. This is due to the merger and acquisition of enterprises. There are many positive effects, such as strengthening the strength of the enterprise, adjusting production, expanding market share, optimizing the allocation of resources and promoting the development of technology and economy. At the same time, mergers and acquisitions may also form a monopoly. In the process of promoting economic development, there will be no doubt that market competition will be excluded or restricted, resulting in damage to consumer welfare and even the welfare of consumers. The consequences of social and economic development are endangered. Therefore, all countries in the world supervise and control mergers and acquisitions in the sense of antitrust law. In the law of China, the control of mergers and acquisitions is also one of the contents of our anti-monopoly law. The anti-monopoly measures adopted by various countries are generally consistent, that is, the merger and acquisition enterprises are required. To declare the merger and acquisition, the difference lies in pre declaration or post declaration. After the end of the declaration, the competent authorities make a case for the declaration of conformity, and then review the specific provisions of the antitrust review, and finally make a decision on whether to approve the merger and acquisition. This article is mainly to find out the anti monopoly of the merger and acquisition of our enterprises. To examine the problems existing in the procedure, and to find ways to improve these problems, and to improve the fair and fair value of the antitrust review process, and to ensure the realization of procedural justice. While emphasizing procedural justice, we should also emphasize efficiency and realize the balance between procedural justice and efficiency. In this way, it is beneficial to improve efficiency and to emphasize procedural justice while guaranteeing efficiency. The improvement of procedural rules can not only improve the transparency of law enforcement, restrict the arbitrary behavior of law enforcement personnel, but also guide law enforcement behavior, reduce uncertainty of investment, and also enhance the operational nature of the substantive rules, and provide a comprehensive review for the merger and acquisition of enterprises. We can find that the procedural system of some countries is quite specific, and the entity system is relatively simple and has a tendency to continue to simplify. This trend is probably to make up for the lack of the strong applicability of the substantive rules. Compared to the European and American anti monopoly regulation of mergers and acquisitions in the European and American enterprises, we can find that the system of the anti-monopoly law of some countries is quite specific. In the historical development, China's anti monopoly supervision legislation on merger and acquisition is still at a low level, and there are still many shortcomings in the legislation. This paper has selected a discussion on the antitrust review procedure of enterprise merger and acquisition, which is quite important in the field of merger and acquisition and is relatively weak in existing research, and compares the EU and the United States in the review of the anti monopoly review of the merger and acquisition of enterprises. In order to find out the advanced ideas of European and American legislation on antitrust review procedure in order to provide reference for the improvement of the anti-monopoly review system in China, there are four chapters in this article. The first chapter summarizes the concept of enterprise merger and acquisition, the necessity of the review of the anti monopoly of enterprise merger and acquisition and the necessity of the perfection of the review procedure. The difference between merger and acquisition involved in the enterprise merger and acquisition, further clarifying the necessity of China's antitrust review and the necessity of improving the anti monopoly review procedure of enterprise merger and acquisition. The second chapter is mainly about the introduction of the antitrust review system of merger and acquisition in the European Union and the American legal system. The main system introduces the beauty of the system. The procedural regulations and law enforcement agencies of the antitrust review of the EU and the EU, and through comparison, find out the similarities and differences between the United States and the EU. The third chapter introduces the present situation of the antitrust review system in the state-owned enterprises' Merger and acquisition mainly through a case of enterprise merger and acquisition published on the official website of the Ministry of Commerce. The system introduces the procedural regulations of China's anti-monopoly review, the present situation of the review institutions and the legislation. The fourth chapter mainly summarizes the drawbacks in the review procedure of the merger and acquisition of enterprises in our country and puts forward some relevant suggestions. In order to improve our anti trust review procedure fair and fair, it is expected to improve our antitrust review procedure. The first is to improve the legal system of antitrust review, to establish a separate guide for enterprise merger and acquisition, and second, to perfect the anti-monopoly law enforcement agencies. Set up the specific responsibilities and division of labor; third, refine the hearing procedure, further guarantee the fairness and neutrality of the review procedure; fourth, increase the openness of the review process, and ensure the transparency of the review process.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.294

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