我国反垄断宽恕制度研究

发布时间：2019-03-31 00:50

【摘要】：对垄断协议的规制是现代反垄断法实体制度的重要组成部分。协议垄断不仅表现为书面的或者口头的协议,而且表现为彼此心照不宣的默契,因此垄断协议的一个重要特点就是难以发现和取证。同时,协议垄断的参与者为了规避反垄断法对其的严厉处罚,订立协议的形式更加隐秘,且采取多样化的回避方式,使得执法机构对垄断协议的调查取证更为艰难。此外,如今的协议垄断在世界经济全球化趋势的推动下,越来越多的呈现出跨国性的特征,这无疑增加了对其的打击难度。而滥觞于美国的宽恕制度就是一种被证明为有效分化瓦解垄断联盟、获取垄断协议证据的重要举措,且该制度一度成为各国反垄断研究的重要课题。宽恕制度的效用在实践中逐渐显现后,被许多国家予以借鉴和引入,我国于2008年8月1日开始施行的《反垄断法》也导入了该制度,该法第46条第2款就是我国关于反垄断宽恕制度的规定,即经营者如果主动报告有关情况、提供重要证据的,可以酌情减轻或免除处罚。但是该条款只是对宽恕制度的一个原则性立法,规定过于粗略,如宽恕制度适用的具体条件不明确、宽恕制度的适用程序未做规定、宽免的法律责任范围和幅度不确定、反垄断执法机构的自由裁量权过大等等,这必然导致宽恕制度的可预见性不强,执行存在许多困难。因此,系统、深入地研究反垄断宽恕制度的相关问题,完善我国反垄断宽恕制度的实体性规则和程序性规则,强化和明确宽恕待遇,肃清宽恕制度执行的外部环境,因此出台反垄断宽恕制度的实施细则或执行指南迫在眉睫。
[Abstract]:The regulation of monopoly agreement is an important part of the substantive system of modern antitrust law. The monopoly of agreement is not only a written or verbal agreement, but also a tacit understanding of each other. Therefore, an important feature of the monopoly agreement is that it is difficult to find and obtain evidence. At the same time, in order to avoid the severe punishment imposed by the antitrust law, the participants of the agreement make the form of the agreement more secret and adopt a variety of evading ways, which makes it more difficult for the law enforcement agencies to investigate and obtain evidence of the monopoly agreement. In addition, nowadays the agreement monopoly is promoted by the globalization of the world economy, more and more of them show the characteristics of transnational nature, which undoubtedly increases the difficulty of cracking down on it. The forgiveness system originated in the United States is proved to be an important measure to effectively divide and disintegrate the monopoly alliance and obtain the evidence of the monopoly agreement, and this system has once become an important subject of anti-monopoly research in various countries. After the effectiveness of the forgiveness system has gradually appeared in practice, it has been used for reference and introduced by many countries, and the Anti-monopoly Law, which was implemented in China on August 1, 2008, has also been introduced into the system. Article 46, paragraph 2, of the Act is our country's system of anti-monopoly forgiveness, that is, if the operator voluntarily reports the relevant situation and provides important evidence, he or she may, as appropriate, mitigate or waive the punishment. However, this provision is only a principled legislation on the system of forgiveness, and the provisions are too rough, if the specific conditions for the application of the system of forgiveness are not clear, the procedure for the application of the system of forgiveness is not provided for, and the scope and extent of the legal liability of the waiver is uncertain, The excessive discretion of the anti-monopoly law enforcement agencies will inevitably lead to the weak predictability of the forgiveness system and many difficulties in its implementation. Therefore, systematically and deeply study the related problems of anti-monopoly forgiveness system, perfect the substantive and procedural rules of our country's anti-monopoly forgiveness system, strengthen and clarify the treatment of forgiveness, and eliminate the external environment of the implementation of the system of forgiveness. Therefore, the introduction of anti-monopoly forgiveness system of the implementation of the rules or guidelines is imminent.
【学位授予单位】：湖南师范大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.294

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