我国纵向垄断行为的监管框架建构研究

发布时间：2018-06-17 16:21

本文选题：反垄断 + 监管　；参考：《中国科学技术大学》2016年博士论文

【摘要】：企业间的纵向关系具有隐蔽性、多样性和复杂性,各类纵向限制对竞争和消费者福利的影响具有两面性。因此,纵向垄断行为的合法性评估是全球反垄断理论和实务界关注的核心领域之一,也是竞争政策发展和反垄断执法的一大挑战。纵向垄断行为主要表现为各类纵向价格限制和非价格限制,纵向价格限制是各国反垄断法的重点规制对象,不具备显著市场力量的经营者实施的纵向非价格限制受到的关注相对较低。我国《反垄断法》纵向垄断行为规则表现为对欧美法制原则和欧盟法律条文的继受和移植,具有高度概括性和较大的解释空间。纵向垄断行为现阶段在我国很多行业普遍存在,扭曲竞争、打击新业态,损害消费者的选择权,导致我国消费者背负高价负担。我国《反垄断法》生效以来,执法机构在一系列纵向垄断案件中,成功适用了《反垄断法》的既有规则,有力矫正和惩处了垄断行为,恢复了市场的竞争秩序,保护了消费者的福利。反垄断制度是保障市场发挥配置资源的决定性作用,科学、合理界定市场与政府角色的重要一环。由于我国《反垄断法》纵向垄断行为规则的高度概括和抽象性与企业需要的法律确定性和执法机构需要的可操作性具有一定程度的脱节,纵向垄断行为的有效监管已成为我国治理体系中一个不容忽视的难点和热点问题。目前,国内一些学者受芝加哥学派保守经济分析和美国2007年丽锦案判决的影响,对纵向垄断在何种情形下应启动反垄断规制、如何规制存有不同意见,倾向于生搬硬套美国实践,对欧盟模式的研究借鉴深度不够,缺乏对中国治理现状和市场发展阶段的实证考察。基于上述实践情况和需要,从我国国情出发,本文从法学、法经济学分析、比较分析和实证研究入手,引入公共政策分析方法。首先以汽车产业的纵向垄断现象为研究案例,分析我国汽车行业纵向垄断行为,并总结出我国纵向垄断的症结。其次总结、比较纵向垄断行为的反垄断规制在欧盟和美国的发展现状,系统梳理了欧盟“禁止+豁免”模式以及美国反托拉斯法规制纵向价格限制的历史脉络,批判了2007年丽锦案美国最高法院判决及丽锦案后的困境,欧盟模式的“禁止+豁免”框架为中国的纵向垄断监管提供借鉴。然后通过访谈和问卷方法,根据公共管理的相关理论构建监管模型,从公共价值,授权环境和运营能力三个方面提出影响监管的重要因素,构建以“反垄断法”和“反垄断指南”为核心的监管方案,并对汽车行业进行应用分析。最后在总结研究的同时,提出在政府与市场互动中的角色、规则的适用、电商模式中的纵向垄断行为以及反垄断行政执法与司法审查的关系等未来研究方向。本文坚持实用主义和灵活性,紧密围绕在执法实践中识别出的具有紧迫性的难点问题,服务于我国加强反垄断制度建设,健全统一开放、竞争有序的市场体系,科学、合理界定市场与政府角色的需要,旨在促进我国反垄断执法能力的提升,降低执法机构的执法成本与企业的合规成本,保护竞争,提高消费者福利。
[Abstract]:The vertical relationship between enterprises is concealed, diverse and complex, and the effects of various vertical restrictions on competition and consumer welfare are two sides. Therefore, the evaluation of the legitimacy of the vertical monopoly is one of the core areas of concern in the theory and practice of the global antitrust, and is also a major challenge for the development of competition policy and the law enforcement of antitrust. Vertical monopolistic behavior is mainly manifested in all kinds of vertical price restrictions and non price restrictions, vertical price restriction is the key regulation object of the anti-monopoly law of various countries, and the vertical non price restrictions which the operators do not have the significant market force are relatively low. The adoption and transplantation of the principles of the system and the legal provisions of the EU have a high degree of generality and larger explanation space. The vertical monopoly is prevalent in many industries in our country at this stage, distorting competition, combating the new format, damaging the consumer's right to choose, and causing the high price burden of our consumers. In a series of vertical monopoly cases, it has been successfully applied to the existing rules of the antitrust law, effectively rectifying and punishing the monopolistic behavior, restoring the market competition order and protecting the welfare of the consumers. The antitrust system is the decisive role of the market to protect the allocation of resources, science, and a reasonable definition of the role of the market and the government. Because of the high generalizations and abstractness of the antitrust law, the legal certainty of the needs of the enterprise and the operability of the law enforcement agencies, the effective supervision of the longitudinal monopoly has become a difficult and hot issue in China's governance system. The scholars, influenced by the conservative economic analysis of the Chicago school and the decision of the 2007 Lijin case in the United States, have different opinions on how to regulate the antitrust regulation under the circumstances of the vertical monopoly, and are inclined to carry out the practice of the United States. The study of the EU model is not enough, and the current situation of China's governance and the stage of market development are lacking. Based on the actual situation and needs of our country, starting with the national conditions of our country, this paper introduces public policy analysis methods from law, law and economics analysis, comparative analysis and empirical research. First, the longitudinal monopoly of automobile industry is taken as a case study, and the longitudinal monopoly behavior of China's automobile industry is analyzed, and the longitudinal direction of China is summarized. Secondly, it compares the development of the anti monopoly regulation of the vertical monopoly in the EU and the United States, systematically combs the European Union's "prohibition + exemption" model and the historical context of the regulation of the vertical price restrictions by the American antitrust law, and criticizes the predicament of the Supreme Court decision of the United States and the case of the Lijin case in the 2007, the European Union. The "prohibition + exemption" framework provides reference for China's vertical monopoly regulation. Then through interviews and questionnaires, the regulatory model is constructed according to the relevant theories of public management, and the important factors affecting the supervision are put forward from three aspects of public value, authorized environment and operational ability, and the "antitrust law" and "antitrust" refer to the "anti monopoly law" and "antitrust". In the end, the role of the interaction between the government and the market, the application of the rules, the vertical monopoly in the e-commerce model and the relationship between the administrative law enforcement and the judicial review are put forward at the end of the study. Activity, closely related to the urgent and difficult problems identified in the practice of law enforcement, serves our country to strengthen the construction of antitrust system, perfect the unified open and competitive market system, scientifically and rationally define the needs of the market and the role of the government, in order to promote the enhancement of the anti-monopoly law enforcement ability of our country and to reduce the law enforcement of the law enforcement agencies. The compliance costs of enterprises and enterprises, protecting competition and improving consumer welfare.
【学位授予单位】：中国科学技术大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D922.294

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