我国经营者集中豁免实体审查标准研究

发布时间：2018-11-20 06:09

【摘要】：本文从中国南车、北车合并为中国中车的案例出发,结合反垄断豁免、经营者集中豁免相关的理论和国际上关于企业并购逐步放开的趋势,思考了在我国当前经济发展的大背景下经营者集中豁免制度的实体审查标准可以如何考虑。同时指出我国的《反垄断法》和《关于评估经营者集中竞争影响的暂行规定》关于经营者集中豁免实体审查标准的局限性,根据我国的现实条件和其他国家、地区经营者集中豁免实体审查标准的经验借鉴,提出可能的改进建议。文章指出了我国现行经营者集中豁免实体审查标准存在的问题。我国的相关规定主要体现在《反垄断法》第二十八条:“经营者集中具有或者可能具有排除、限制竞争效果的,国务院反垄断执法机构应当作出禁止经营者集中的决定。但是,经营者能够证明该集中对竞争产生的有利影响明显大于不利影响,或者符合社会公共利益的,国务院反垄断执法机构可以作出对经营者集中不予禁止的决定。”本文认为,我国的经营者集中豁免实体审查标准存在界定不明确、规定笼统、操作性不强的问题。并且我国的《反垄断法》具有高度统领性,缺乏辅助立法,仅有的规定在立法层级上也不够高,效力有限,这些不足表现在经营者集中豁免制度上即是缺少实体审查标准如何运用规定的细化和支撑。本文整理、比较了其他国家和地区经营者集中豁免实体审查标准的相关规定,从效率分析、破产抗辩、潜在的市场进入、公共利益抗辩、改善市场竞争条件、适应国际竞争和中小企业保护七个方面,总结了值得关注和借鉴的经验。文章旨在考虑到我国现阶段经济和法律发展程度的前提下,为改善我国经营者集中豁免实体审查标准相关规定提供参考性建议。因此在进行理论研究和经验借鉴之后,本文提出了相关建议。首先修改《反垄断法》当中的相关条款,将经营者集中实体审查标准类型化,包括效率抗辩、破产抗辩、潜在的市场进入、社会公共利益抗辩,同时将原规定的“有利影响明显大于不利影响”作为兜底条款。其次,制定《反垄断法》相关经营者集中实施细则作为《反垄断法》的补充规范,将类型化的经营者集中豁免实体审查标准的操作方法在其中进行进一步的细化。
[Abstract]:This paper starts from the case of CSR and CNV merging into China Central, combining with anti-monopoly exemption, the related theories of centralized exemption of operators and the international trend of gradual liberalization of enterprise merger and acquisition. Under the background of our country's current economic development, this paper discusses how to consider the substantive examination standard of the centralized exemption system for operators. At the same time, it points out the limitation of our country's Anti-monopoly Law and the Provisional provisions on evaluating the impact of centralized Competition of operators on the examination standard of the entity of operator's centralized exemption, according to the realistic conditions of our country and other countries. This paper draws lessons from the experience of the examination standard of regional operator's centralized exemption entity, and puts forward some possible suggestions for improvement. This paper points out the problems existing in the existing standard of the entity examination of the centralized exemption of the operator in our country. The relevant provisions of our country are mainly embodied in Article 28 of the Anti-monopoly Law: "where the concentration of operators has or may have the effect of exclusion and restriction of competition, the anti-monopoly law enforcement agency under the State Council shall make a decision to prohibit the concentration of operators." However, if the operator can prove that the beneficial impact of the concentration on competition is obviously greater than the adverse effect, or is in the public interest, the anti-monopoly enforcement agency under the State Council may make a decision not to prohibit the concentration of the operator. " This paper holds that there are some problems in the examination standard of the entity of operator's centralized exemption in our country, such as unclear definition, general stipulation and weak maneuverability. Moreover, the "Anti-monopoly Law" of our country has a high degree of dominance, lacking of auxiliary legislation, and the only provisions are not high enough at the legislative level, and the effectiveness is limited. These deficiencies in the system of centralized exemption of operators is the lack of entity review standard how to use the provisions of refinement and support. This paper collates and compares the relevant regulations of other countries and regions in terms of the standards for the examination of centralized exemption entities for operators in other countries and regions, from efficiency analysis, bankruptcy defense, potential market entry, public interest defense, and improvement of market competition conditions. To adapt to international competition and the protection of small and medium-sized enterprises in seven aspects, summed up the experience worthy of attention and reference. The purpose of this paper is to provide some reference suggestions for improving the relevant provisions of the standard for the examination of the entity for the centralized exemption of operators in our country, taking into account the current economic and legal development of our country. Therefore, after the theoretical research and experience, this paper puts forward the relevant suggestions. First of all, the relevant provisions of the Anti-monopoly Law are amended to classify the criteria for the examination of centralized entities of operators, including efficiency defences, bankruptcy defences, potential market entry, social and public interest defences. At the same time, the original provision of "favorable impact is obviously greater than adverse impact" as a bottom clause. Secondly, the detailed rules of centralized implementation of the relevant operators in the Anti-monopoly Law should be formulated as the supplementary norms of the Anti-monopoly Law, and the operational methods of the standard of centralized exemption from entity examination for the type of operators should be further refined.
【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.294

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