互联网企业滥用市场支配地位的法经济学研究

发布时间：2018-01-26 04:07

  本文关键词： 互联网企业 相关市场 滥用市场支配地位 法经济学研究　出处：《西南政法大学》2016年博士论文　论文类型：学位论文

【摘要】：随着中国经济进入新常态,国民经济增长开始转向依靠居民消费和战略性新兴产业。在这个背景下,一批具有广泛影响力的中国互联网企业如BAT(百度、阿里巴巴、腾讯)已成为社会关注的焦点。一方面,占据市场支配地位的互联网企业借助技术优势和成本优势,为用户提供便利的交易环境,既降低了商品价格又降低了交易成本,还孵化出新型的商业模式。这种商业模式的特征是“网络效应+双边市场效应”。另一方面,具有市场支配地位的互联网企业实施的某些行为对经济社会发展造成了实质性损害。例如,在“3Q大战”事件中,掌握市场领先优势的腾讯公司在即时通讯服务市场上,强迫QQ用户卸载奇虎公司360杀毒软件而安装其提供的配套电脑软件,对继续使用360杀毒软件的QQ用户将不再得到公司的技术支持。腾讯公司采取的“二选一”行为,一定程度上损害了消费者的自由选择权,对市场竞争秩序和社会福利造成了不良影响。考虑到互联网企业滥用支配地位具有较强的隐蔽性,而且还具有一定的正当性。互联网企业具有的规模效应、网络效应和双边市场效应,或将成为其滥用市场支配地位行为的辩护理由。再考虑到各国反垄断法的条条款款对互联网相关市场界定、市场支配地位及滥用支配地位的认定较为模糊,缺少具体的量化标准,故而互联网企业滥用支配地位行为容易逃脱反垄断法的规制。依据法经济学理论的预测,互联网企业取得市场支配地位后,如果不受到反垄断法有效规制,他们将采取排除或限制竞争的垄断行为以攫取超额利润。因而,在看到互联网企业提高经济效率、改善民生的同时,不能忽视互联网企业滥用市场支配地位行为已经产生或者将要产生的实质性损害。互联网企业滥用市场支配地位的法经济学研究,既要从实证分析的角度研究相关市场界定和市场支配地位认定,又要从规范分析的角度研究滥用价格行为和滥用非价格行为的认定,既要从经济学的视角研究滥用市场支配地位的危害性,又要从法学的视角研究滥用市场支配地位的违法性。具言之,互联网企业的市场支配地位行为如果有悖于完全竞争理论和科斯定理,对市场公平竞争、资源配置效率、产品及技术创新、社会福利造成实质性损害,它将成为反垄断语境中的滥用支配地位行为,继而应当受到反垄断法的严厉规制。反之,互联网企业实施的市场支配地位行为若符合经济社会发展的要求,在对其进行反垄断调查时应当持谨慎或宽容的态度。基于这样的研究逻辑,互联网企业和传统企业之间的内在差异,互联网企业滥用市场支配地位的概念和危害,法律界普遍采用的反垄断规制原则,将成为本文首先要厘清的几个基本问题。接着,论文阐述用于分析互联网企业滥用市场支配地位的法经济学理论如完全竞争理论、交易成本理论和芝加哥学派的反垄断理论等。继而,文章从反垄断法律的条文出发,考察互联网企业相关市场界定和市场支配地位认定的影响因素和计算方法,从法经济学角度研究互联网企业的市场支配地位行为对市场竞争、交易成本、资源配置效率造成的实质性影响,并提出相应的反垄断规制选择。最后,文章提出有效规制互联网企业滥用市场支配地位的法律改革建议。全文共约13万余字。除引言外,正文共包括以下六章内容:第一章互联网企业滥用市场支配地位的基本问题。本章研究的几个基础问题分别是互联网及互联网企业的内涵、互联网企业日新月异的创新行为、用于规制互联网企业滥用行为的基本原则。经过系统梳理,本章认为互联网企业是指借助互联网经营平台、以提供电子信息和数据服务为主营业务,以互联网交易为主营收入的轻资产企业。互联网企业的创新主要体现在产品服务创新和经营模式创新。在现阶段,规制互联网企业滥用支配地位行为的法律原则主要适用于行为合理原则。第二章互联网企业滥用市场支配地位的法经济学理论。促进市场竞争,提高经济效率,增进社会福利是规制互联网企业滥用行为的最终目标。而新兴互联网企业得以快速增长的主要原因在于,它能够减少信息不对称、降低交易成本、促进技术创新。两者的交集为完全竞争理论、交易成本理论和反垄断理论。这三种理论在很大程度上互联互通,如果互联网企业的行为满足完全竞争理论的内在要求,它既能够降低交易成本、又不违背反垄断法的禁止性规定,反之则反是。第三章互联网企业的相关市场界定和支配地位认定。相关市场界定包括相关商品市场界定、相关地域市场界定,在反垄断研究中界定相关市场是一个极为关键的问题。本章以“3q大战”案件为例,详细阐述替代分析法和假定垄断者测试法,在互联网企业零价格营销模式下替代分析法更具适用性。经研究后发现,互联网企业相关市场界定具有很大争议,不同法院的认定范围存在明显差异。本章还论述了市场支配地位认定的影响因素、方法选择以及认定结果的合理性。虽然市场份额推定分析法具有一定局限性,但不应否定它在市场支配地位认定中的基础作用,就算互联网企业的市场份额出现剧烈变化也是如此。第四章互联网企业滥用价格行为的法经济学分析。本章首先从反垄断法的角度考察垄断定价、价格歧视和掠夺性定价三种滥用行为的法律认定,以及它们是否对市场竞争、技术创新、经济效率及社会福利产生实质性损害。接着再从法经济学的角度考察这三种滥用价格行为对市场公平竞争、交易成本和资源配置效率造成的影响,在此基础上判断是否应该对它们进行反垄断规制。经过研究,本章发现对垄断定价、掠夺定价的反垄断规制存在一定争议,对价格歧视的反垄断规制态度较为一致。第五章互联网企业滥用非价格行为的法经济学分析。本章首先从反垄断法的角度考察搭配销售、拒绝交易和限定交易三种非滥用行为的法律认定,以及它们是否对市场竞争、技术创新、经济效率和社会福利产生实质性损害。接着再从法经济学的角度考察这三种滥用非价格行为对竞争秩序和交易成本造成的影响,在此基础上判断是否应该对它们进行反垄断规制。经过研究,本章发现对搭售行为的反垄断规制存在较大争议,但是对拒绝交易和限定交易的反垄断规制态度较为统一。第六章有效规制互联网企业滥用市场支配地位的法律改革建议。本章围绕相关市场准入条件和滥用行为的反垄断规制,详细阐述有效规制互联网企业滥用市场支配地位行为的法律措施。大幅增加同类经营者的数量,可以从根源上预防和制止互联网企业滥用价格行为和非价格行为,因而应该推行互联网相关商品市场准入的负面清单制度、相关地域市场准入的负面清单制度。为了有效推行反垄断执法工作,应当建立反垄断法律案例指导制度、完善三大反垄断机构出台的规章制度,修订《反垄断法》司法解释及相关律制度。
[Abstract]:With the Chinese economy has entered a new norm, economic growth began to rely on consumer spending and strategic emerging industries. In this context, a number of influential Chinese Internet companies such as BAT (Baidu, Alibaba, Tencent) has become the focus of attention of the society. On the one hand, market dominant enterprises with technical superiority and the Internet the cost advantage, provide convenient trading environment for users, which reduces the price and reduces the transaction cost, but also spawned new business models. The characteristics of this business model is the "effect" network effect + bilateral market. On the other hand, has certain behaviors of market dominant position Internet enterprises caused substantial damage to the economic and social development. For example, in the "3Q war" event, grasp the market advantage of the Tencent Inc in the instant messaging market, forced Q Q users to uninstall antivirus software and installed 360 Qihoo provide supporting computer software, to continue to use the 360 antivirus software QQ users will no longer get the technical support of the company. The Tencent Inc to take the "one of two" behavior, a certain degree of damage to the freedom of choice for consumers, resulting in adverse effects on the market competition order and social welfare. Considering the Internet companies abuse of a dominant position with a strong concealment, but also has some validity. The scale effect of Internet companies with the network effect and the bilateral market effect, or will become the abuse of a dominant position. The definition of justification and considering the anti-monopoly law doctrines 189799 on the Internet the relevant market, market dominance and abuse of dominant position is vague, the lack of specific quantitative criteria, so that Internet companies abuse of dominant position Easy to escape the behavior regulation of the anti-monopoly law. According to the forecasting theory of law and economics, to achieve market dominance of Internet companies, if not subject to antitrust regulation, they will take a monopoly to exclude or restrict competition to seize the excess profit. Therefore, in the Internet to see enterprises to improve economic efficiency, improve the people's livelihood, essence damage can not ignore the Internet enterprise abusing the dominant market status has been or will be produced. The research of law and economics of Internet enterprises abuse of market dominance, both from the perspective of empirical analysis of the relevant market definition and market dominance of identification, but also from the Perspective of normative analysis identify the abuse of price behavior and abuse of non price behavior harm, not only from the perspective of Economics Research on abuse of market dominance, but also from the perspective of law on the abuse of the city The illegality of dominant position. That is, the Internet enterprise market dominant position if contrary to the theory of perfect competition and the Coase theorem, fair competition in the market, the efficiency of resource allocation, product and technology innovation, social welfare caused substantial damage, it will become a monopoly in the context of the abuse of a dominant position, and should be severely regulated by anti-monopoly law. On the other hand, the Internet enterprises to implement market dominance behavior if they meet the requirements of economic and social development, we should take a cautious or tolerant attitude in its antitrust investigation. This logic of the research based on the inherent difference between Internet companies and traditional companies, the concept and harm of Internet enterprise abusing the market the dominant principle of anti-monopoly regulation, commonly used by the legal profession, will become the first to clarify some basic problems. Then, the paper used In the analysis of Internet enterprises abuse of market dominance theory of law and economics such as complete competition theory, transaction cost theory and the Chicago School of antitrust theory. Then, the article from the anti-monopoly law, investigate the influencing factors and calculation methods that define the Internet enterprise related market and market dominance, from the angle of law and economics research the Internet enterprise market dominant position of market competition, transaction cost, substantial impact on resource allocation efficiency, and puts forward the choice of anti-monopoly regulation accordingly. Finally, the article put forward the legal reform suggestions for the effective regulation of Internet enterprise abusing market dominant position. The full text is about more than 13 words. Besides the introduction, the main text includes the following six chapters: the first chapter the basic problems of Internet enterprise abusing of dominant position. Several basic problems in this chapter are the Internet The connotation of network and Internet companies, Internet companies innovative behavior change rapidly, for the basic principles of regulation of Internet enterprise abusing. After systematically, this chapter thinks that the Internet enterprise refers to the use of the Internet business platform, to provide electronic information and data services for the main business, to Internet transactions for the main income asset light business innovation in the Internet. The enterprise is mainly reflected in the product innovation and business model innovation. At present, the regulation of the Internet enterprise abusing the legal principle of dominant behavior is mainly applicable to the rational principle. The theory of law and economics second chapter Internet enterprise abusing market dominant position. To promote market competition, improve economic efficiency, promote the social welfare is the ultimate goal of the regulation of the Internet enterprise abuse. While emerging Internet companies are the main reason for the rapid growth is that it can Enough to reduce information asymmetry, reduce transaction costs, promote technological innovation. The intersection of the two is the complete competition theory, transaction cost theory and antitrust theory. The three theories of Internet to a great extent if the Internet exchange, the behavior of enterprises meet the inherent requirements of the theory of perfect competition, it can reduce the transaction cost, and does not violate the anti antitrust prohibitions, vice versa. The definition and identification of relevant market dominant position in Internet companies. The third chapter includes the definition of relevant market definition of the relevant commodity market, define the relevant geographic market, the anti monopoly of the definition of the relevant market is a very important problem. In this chapter, the "3Q war" case for example, detailed analysis and replace the ssnip method in Internet enterprise marketing mode under zero price substitution approach is more applicable. The study found that Internet companies In the definition of relevant market has great controversy, there are obvious differences in different scope of the court. This chapter also discusses the influence factors of market dominant position recognition, methods and results of the determination of rationality. Although the presumption of market share analysis method has certain limitations, but it should not dominate the basic role in identifying the market. Even if the Internet companies' share of the market have changed dramatically as well. The fourth chapter law and economics analysis of Internet enterprise abusing the price behavior. This chapter from the perspective of anti-monopoly law on the monopoly pricing, price discrimination and predatory pricing of three kinds of abuse of legal identification, and whether they are on the market competition, technological innovation, have substantial damage to economic efficiency and social welfare. Then from the perspective of law and economics of these three kinds of abuse of fair competition in the market price behavior, transaction costs The efficiency of resource allocation and the impact, whether it should be judged on the basis of anti-monopoly regulation on them. After the study, this chapter of the monopoly pricing, there are some controversial antitrust regulation of predatory pricing, the attitude of antitrust regulation of price discrimination is consistent. The fifth chapter analyzes the abuse of non internet enterprise price behavior method economics. This chapter from the perspective of anti-monopoly law on collocation and limited transactions to sales, three non abuse of legal identification, and whether they are on the market competition, technological innovation, produce substantial damage to economic efficiency and social welfare. Then from the perspective of law and economics of the three kind of abuse of non price caused by the behavior of the competitive order and transaction cost, whether it should be judged on the basis of anti-monopoly regulation on them. After the study, this chapter found on tying behavior There is great controversy in the antitrust regulation, but the refusal to deal and limit the attitude of anti-monopoly regulation transactions unified law reform proposals of the sixth chapter. The effective regulation of Internet enterprise abusing market dominant position. The anti monopoly regulation of this chapter focuses on relevant market access conditions and the abuse of the legal measures in detail the effective regulation of Internet enterprise abusing the market dominant behavior. A substantial increase in the number of other operators, can from the source to prevent and stop the abuse of the Internet enterprise price behavior and non price behavior, so it should be the implementation of the Internet related commodity market access negative list system, the relevant geographic market access negative list system. In order to effectively implement the anti-monopoly law enforcement work, should establish the anti monopoly the legal case guidance system, perfect the three antitrust regulations, amendments to the anti-monopoly law > division method Interpretation and relevant law system.

【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D922.294
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本文编号：1464629