企业合营行为的反垄断法规制研究

发布时间：2018-03-14 20:35

本文选题：企业合营行为　切入点：反垄断法　出处：《浙江财经学院》2010年硕士论文　论文类型：学位论文

【摘要】： 随着经济的全球化发展,企业之间的联系更加紧密。企业之间利用建立合营企业来分担风险,互补资源,也就成为了它们提高自身竞争力的重要方式之一。与企业合营随之而来的是企业合营中的反垄断问题。由于这一问题的特殊性,已越来越受到各国的关注,并通过立法纷纷加以规范。传统经济学仅仅将合营企业视为一个将投入转化成产出的经济单位。新制度经济学家的理论贡献在于使我们能真实地将合营企业作为一种典型的中间形态而进行研究。合营企业双方的协议是一份面向未来的关系性契约,这种契约产生的后果便是合营双方构成了一个合作性的共同体。民商法通过对合营企业法律形式的确定,重在维护企业在市场竞争中的权利和义务。反垄断法则淡化了对合营企业具体应该采取哪些法律形式的关注,而把关注的重点放在是否限制竞争的合营行为上来,因为这才是反垄断法所关注的最终目标。当然,企业合营行为的范围很大,不仅是指合营企业的设立行为,还包括合营企业的经营活动,它是一个动态的历史的过程,贯穿到合营企业的整个发展过程。企业合营能加快企业进入新市场的速度；分散风险和降低成本；形成规模效应；提高资源有效利用,加快新技术的开发速度。企业之间的合营行为在对竞争秩序产生有利影响的同时,也会产生一些限制竞争的消极后果。如,合营企业本身可能提高市场集中度,有抑制竞争的可能；合营各方因其建立合营企业的便利,很容易在合营领域之外相互勾结,从事限制竞争的行为。合营企业的成立有可能成为各控制企业之间“共谋”规避法律规制的借口。各控制企业为了牟取私利,在建立合营企业的借口掩盖之下,进行企业的联合,从而进行固定价格、限制产量、划分市场等行为,其实真正意义上的合营企业是不存在的,所设的合营企业只是控制企业进行联合限制竞争的掩护。正因为企业合营行为存在上述的限制竞争行为或限制竞争倾向或可能,所以有必要对合营行为进行反垄断法规制。欧盟在对企业合营行为规制过程中,遵循的是成文法传统,即通过立法明确对集中型合营和协调型合营进行分别规制的原则。美国是判例法国家,注重企业交易的实质,强调剥去企业伪装合营的外衣,而不拘泥于是否以合营企业的名义作为规制的前提条件。上述这些做法应当为我们设计规制企业合营行为制度时学习。在分析对我国企业合营行为进行反垄断规制时,必须先确立规制时应遵循的基本原则。一是遵循与产业政策相协调的原则。二是应尊重企业合理选择经济组织形式的原则。三是根据合营行为的类型分别规制的原则。在确定规制企业合营行为的立法模式时,我国应该借鉴欧盟的立法模式,根据企业合营行为的类型,构建规制的法律制度,这与我国成文法传统所追求的法律确定性精神是相一致的。同时,也应借鉴美国的多种合营行为的分类方法,采取概括与列举并存的立法方式,而不应拘泥于欧盟的分别列举的方式。这与反垄断法的政策性特点是相协调的。现阶段,根据我国反垄断法执法机构的分工以及合营行为的分类,我国合营行为的反垄断法规制执法分工如下：(1)集中型合营行为由商务部负责查处。(2)协调型合营行为(合作型合营)由国家工商总局负责查处。(3)协调型合营涉及价格行为时由国家发改委负责查处。从2008年8月1日《反垄断法》实施以来,国家商务部、国家工商总局、国家发改委先后制定了若干反垄断法规定,并向社会广泛征求意见。这些举措,无疑大大提高反垄断执法的透明度,加强了反垄断法的可操作性和实用性。这些规定同样也为我们规制合营行为提供了法律基础。不过,我们仍有必要根据中国企业合营行为特点,借鉴发达国家的经验,制定更加切实可行的企业合营反垄断单行法规或指南。Ⅱ
[Abstract]:With the development of economic globalization, enterprises are getting closer and closer. By the establishment of the joint venture between enterprises to share the risk, complementary resources, has become one of the important ways to improve their competitiveness. With the joint venture followed by anti monopoly enterprises in joint ventures. Due to the special nature of this problem, has been more and more the attention of all countries, and through legislation to regulate.
The traditional economics only as a joint venture will be input into output economic units. The theory contribution of the new institutional economists is that we can truly be a joint venture as an intermediate form and typical research. The joint venture agreement of the parties is a face to the future of the relational contract, this contract the consequence is that the parties to form a cooperative community.
Civil and commercial law by deciding on the legal form of joint venture, focusing on the maintenance of the rights and obligations of the enterprise in the market competition. Anti monopoly law played on the joint venture should take what specific forms of law, and to focus attention on the joint venture bank has restricted the competition to come up, because this is the ultimate target of interest the anti monopoly law. Of course, the scope of enterprise behavior, not only refers to the behavior of the joint venture set up joint ventures, including the business activities, it is a dynamic process of history, throughout the entire development process of the joint venture.
The joint venture can speed up the entry of enterprises into the new market, disperse risks and reduce costs, form scale effect, improve effective utilization of resources and speed up the development of new technologies.
The behavior of joint venture between enterprises in the competition in order to produce beneficial effects at the same time, will also have some negative consequences of restricting competition. For example, the joint venture itself may increase market concentration, inhibiting competition may be; the parties of the joint venture established because of its convenience, easy in the field outside of the collusion in restricting competition the behavior of the joint venture was established. The control is likely to become the "conspiracy" between enterprises to circumvent the legal regulation of the excuse. The control of enterprises in order to gain, under the establishment of the joint venture enterprises to jointly carry out a pretext to cover, and thus a fixed price, limiting the yield, dividing market behavior, in fact, the true meaning of the joint venture there is not a joint venture, just control enterprises jointly limit the competition cover.
It is necessary to regulate the action of the joint venture by anti monopoly law because of the above-mentioned restrictive competition behavior or the possibility of restricting competition.
In the process of regulating the behavior of joint venture, follow the tradition of law, which is defined by legislation of centralized coordination and joint venture joint venture respectively regulation principle. The United States is the case law of the country, to focus on the essence of trade enterprise, joint venture enterprise that stripped the camouflage coat, but not rigidly adhere to or on behalf of the joint venture the precondition for regulation. These practices should be learning design system for our joint venture enterprise behavior regulation.
In the analysis of the antitrust regulation of our joint venture behavior, the basic principles should be abided by to establish regulation. One is to follow the principle of coordination and industrial policy. The two is the enterprise should respect the reasonable choice of economic organization principle. The three is based on the type of the behavior regulation principles respectively.
In the legislative model to determine the regulation of joint venture behavior, our country should learn from the EU legislative model, according to the type of joint venture behavior, build the legal system of regulation, this and our country into the spirit of the pursuit of legal certainty grammar is consistent with the traditional classification methods. At the same time, should also learn a variety of behavior of the United States joint venture take, summarizes and lists the coexistence of legislation, and should not rigidly adhere to the EU are enumerated. The characteristics of this policy and anti-monopoly law is coordinated.
At this stage, according to the classification and the behavior of joint venture of China's anti monopoly law enforcement agency division, China joint venture behavior regulation of anti monopoly law enforcement division are as follows: (1) from the behavior of joint venture by the Ministry of Commerce shall be responsible for investigation. (2) the coordination behavior of joint venture (cooperative joint venture) by the State Administration for Industry and Commerce shall be responsible for investigation. (3) coordinated joint venture involving price behavior by the national development and Reform Commission is responsible for the investigation.
Since the anti-monopoly law since August 1, 2008 implementation of < > the national Ministry of Commerce, the State Administration for Industry and commerce, the national development and Reform Commission has formulated the provisions of the anti-monopoly law, and to solicit the views of the community. These initiatives will undoubtedly greatly improve the transparency of the anti monopoly law enforcement, strengthen anti-monopoly law operability and practicability of these Provisions also. Also for regulating behavior of joint venture to provide a legal basis. However, we still need to China behavior according to the characteristics of joint venture enterprises, using the experience of developed countries, to develop a more feasible venture antitrust regulations or guidelines II.

【学位授予单位】：浙江财经学院
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.294

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