横向垄断协议违法性认定规则研究

发布时间：2018-09-05 08:22

【摘要】：反垄断法以维护自由竞争的市场经济为目的,保障市场发挥最优化资源配置作用,进而推动经济的发展和社会的进步。根据《中华人民共和国反垄断法》(以下简称《反垄断法》)第1条,我国反垄断法的任务为“预防和制止垄断行为,保护市场公平竞争,提高经济运行效率,维护消费者利益和社会公共利益,促进社会主义市场经济健康发展”。垄断与公平竞争之间的矛盾在我国特色社会主义市场经济的飞速发展过程中日益凸显,由于垄断案件的复杂多变性使得我国于2008年开始实施反垄断法效果并不尽人意,而且涉及反垄断民事诉讼案件,原告胜诉的案件屈指可数。而在中国反垄断法实施与反垄断执法实践的发展进程中,横向垄断协议违法性的认定适用何种规则这一问题历来存在较多争议,甚至本身违法原则与合理原则起源国——美国对横向垄断协议协议违法性的认定也经历了从本身违法原则到合理原则的变迁。随着社会经济的发展,垄断行为日趋多样化,日益丰富的案例素材也提供了立足中国反垄断实施反思横向垄断协议违法性的认定规则的契机。但囿于司法实践中对横向垄断协议违法性的认定与反垄断执法机构的实践认识乖离的困惑和我国反垄断法有关横向垄断协议立法的逻辑失范与笼统模糊,对有关横向垄断协议违法性认定问题成为一大瓶颈。我国反垄断法在适用本身违法原则和合理原则规制横向垄断协议行为时,应充分考虑我国的国情而不可一概而论。本文综合运用案例类型化分析法、比较分析法、法经济学分析法、法解释学分析法、历史研究法等多种方法,基于理论与实践考察反垄断法关于横向垄断协议违法性认定规则及其法律规制的具体内容,以探求我国反垄断法对横向垄断协议违法性的认定形成司法、执法实践相统一的认识。通过梳理相关理论和典型案例,总结出更具体化分歧点以及相关启示镜鉴以建构横向垄断协议违法性的认定结构型合理分析范式与判定标准。文章正文部分主要包括以下五个部分:第一部分,即导论部分,从深圳有害生物防治协会垄断案出发,通过简要分析,基于此提炼出论文后面的问题。接着简单的陈述了本文的选题背景及意义,对当前已有的规定和研究成果作出了自己的评论,对国内外研究现状进行了综述并分析了其发展的趋势,简要介绍文章论述思路和研究方法;第二部分,通过对反垄断法上“协议”的界定、横向垄断协议的内涵、本身违法原则与合理原则的历史演进和两者之间的辨析等方面的理论分析,考察了横向垄断协议认定的一般理论或原理;第三部分,从实践中典型的案例出发,总结了我国司法审判与反垄断执法实践认识上的分歧点,另外,对域外横向垄断协议违法性认定规则的具体实践进行考察,主要以美国与欧盟为例,阐述了其横向垄断协议违法性认定规则的经验与启示;第四部分,反观与检讨中国反垄断法上关于横向垄断协议的认定规则,梳理我国反垄断立法模式的理论学说并予以辩驳,在检讨我国司法实践横向垄断协议违法性认定的适用方法与学界分析模式与逻辑思路的基础上,厘清我国横向垄断协议违法性认定及其适用规则,区分显而易见达成的协议、决定与相对隐蔽达成的协同行为两部分,根据损害其他经营者、消费者的权益,排除、限制竞争的严重程度,以及社会危害性的程度分情形判断,以结构型合理分析范式以实现司法与执法实践认识法统一路径。在最后的结语中,概括了全文的内容,并提炼了论文的研究成果,以期为横向垄断协议违法性认定的规则提供可资统一借鉴的判断标准。希冀为完善我国反垄断法对横向垄断协议违法性实质认定形成相统一的认识作出一定贡献,促进我国横向垄断协议违法性认定在理论认知与司法实务的实践与发展,对反垄断法在理论领域的研究和实践都有重要的指导意义。
[Abstract]:The purpose of the Anti-monopoly Law is to safeguard the free competition market economy and to ensure that the market plays the role of optimizing the allocation of resources so as to promote economic development and social progress. The contradiction between monopoly and fair competition has become increasingly prominent in the rapid development of the socialist market economy with Chinese characteristics. The complexity and variability of monopoly cases made China in 2008. The effect of the implementation of the Anti-monopoly Law was unsatisfactory, and there were only a few cases in which the plaintiff succeeded in the anti-monopoly civil litigation cases. The origin of the principle of illegality and the principle of reasonableness-the United States'recognition of the illegality of horizontal monopoly agreements has also undergone a change from its own principle of illegality to the principle of reasonableness. With the development of social economy, monopoly behavior has become increasingly diversified, and increasingly rich case materials also provide a basis for China's anti-monopoly implementation to reflect on horizontal monopoly agreements. However, due to the confusion of the identification of the illegality of horizontal monopoly agreements in judicial practice and the misunderstanding of the practice of antimonopoly law enforcement agencies and the logic anomie and vagueness of the legislation of horizontal monopoly agreements in China's antimonopoly law, the identification of the illegality of horizontal monopoly agreements has become a major bottleneck. When applying the principles of illegality and reasonableness to regulate the conduct of horizontal monopoly agreements, China's anti-monopoly law should take full account of China's national conditions and should not be generalized. This paper investigates the specific contents of the rules and legal regulations of the transverse monopoly agreement illegality cognizance in the anti-monopoly law, in order to seek a unified understanding of the judicature and law enforcement practice of the transverse monopoly agreement illegality cognizance in the anti-monopoly law of our country. The main body of the article mainly includes the following five parts: the first part is the introduction part, starting from the Shenzhen Pest Prevention and Control Association monopoly case, through a brief analysis, based on this refinement of the problems behind the paper. This paper describes the background and significance of this topic, makes its own comments on the existing provisions and research results, summarizes the current research situation at home and abroad and analyzes its development trend, and briefly introduces the ideas and research methods of this article; the second part, through the definition of "agreement" in the anti-monopoly law, horizontal monopoly agreement The connotation, the historical evolution of the principle of violation of law and the principle of reasonableness, and the theoretical analysis between them have been studied. The general theory or principle of the cognizance of horizontal monopoly agreements has been examined. The third part, starting from the typical cases in practice, summarizes the divergence points of our judicial trial and the practice of antitrust law enforcement. The specific practice of transverse monopoly agreement illegality cognizance rules is investigated, mainly taking the United States and the European Union as examples, expounding the experience and Enlightenment of transverse monopoly agreement illegality cognizance rules; the fourth part, reviewing and reviewing the transverse monopoly agreement cognizance rules in China's anti-monopoly law, combing the theory of China's anti-monopoly legislation model. On the basis of reviewing the applicable methods and academic analysis mode and logical thinking of the illegality determination of horizontal monopoly agreements in China's judicial practice, this paper clarifies the illegality determination of horizontal monopoly agreements in China and its applicable rules, distinguishes the obvious agreements and decides to take the relatively concealed agreements as two parts. According to the judgment of impairing the rights and interests of other operators, consumers, excluding, restricting the severity of competition, and the degree of social harmfulness, this paper uses the structural and rational analysis paradigm to realize the unified path of judicial and law enforcement practice. It is hoped that this paper will contribute to the perfection of our country's anti-monopoly law and promote the practice and development of our country's theory cognition and judicial practice on the identification of transverse monopoly agreement's illegality. Antitrust law has important guiding significance in the research and practice of the theoretical field.
【学位授予单位】：扬州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.294

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