【作者】 王玉学；

【导师】 程民选；

【作者基本信息】 西南财经大学 ， 政治经济学， 2011， 博士

【摘要】 本文试图通过对西方反垄断演进的研究和考察,梳理出西方社会反垄断演进的路线和机制,以期对我国反垄断执法提供它山之石。特别对西方反垄断演进中最引人注目的现象——经济学对法学的渗透、法学对经济学的运用,从而形成的经济学和法学的互动机制进行研究。从中梳理出经济效率作为反垄断核心地位的确立、司法原则由本身违法原则向合理原则的转换、反垄断调整方法由结构主义向行为主义过渡、静态效率与动态效率的并重、自由竞争理念与公共干预理念之间的动态平衡等几个“互动”现象和规律,概称为互动机制。在这个互动的演进历程中,首先是反垄断的哈佛学派的兴起和兴盛,其后芝加哥自由主义学派完成了对哈佛学派的替代,迄今后芝加哥学派又向芝加哥学派提出了挑战。在这些流行一时的经济学派的争论和演进中,反垄断的司法实践和执法活动也在不断进化和更新。多年前,人们就不得不承认,这些演进主要来自于反垄断经济学理论注入的新鲜血液。实际上,正是在经济学的支撑下,法官才得以正确处理各种反垄断诉讼。反垄断法不同于其他部门法,甚至有别于其他经济法,调整对象强烈的经济属性决定了其具有很大的不确定性,必须借助经济分析才能确定一些事实,甚至一些基本的术语也必须借助经济学加以阐释。法律的力量和权威,使得反垄断的经济分析真正得到了用武之地。所以,在反垄断的实践中,反垄断法学和经济学是一种互动的关系,而不是单向的作用力。这也正是本文的一个核心观点。这种互动被西方社会的反垄断实践反复加以证明。文明的进步充满汗水和泪水,反垄断的历史演进不仅有经验,更有教训。认识到这一点,对于初生的中国《反垄断法》及反垄断执法活动,无疑具有现实意义。由于我国的经济社会尚处于转型期,完善的市场经济有待建立,各种权力对经济的影响还很大,权力和经济势力的相互作用和交织渗透是垄断的主要特征和形式。面对这种特殊的垄断,反垄断法要能够担当重任,尚需从西方反垄断演进的历程中获得启示和借鉴。通过对西方反垄断演进的研究,结合我国的实际,本文提出了我国反垄断的总体思路,即我国的反垄断执法要区别经济垄断与行政垄断,分而治之。对于纯粹的经济垄断,要参照和大力借鉴西方反垄断的成熟经验和理论,进行深入扎实的经济学分析,避免单纯的法律思维,以免错判和漏判,即西方所谓的“假阳性错误”和“假阴性错误”。经济学分析是避免此类错误的最好选择,这已为西方实践所证明。而对于行政垄断,则要细分层次,切实治理各种行政权力的滥用。由行政权力支撑的企业垄断,笔者称之为行政性企业垄断。此类垄断是我国当前反垄断的重点与难点。虽然对于行政垄断的内涵、种类等尚有争议,但本文认为,对于行政性企业垄断必须坚决反,但要彻底清除行政性企业垄断必须进行综合治理,特别是通过深化改革以消除行政性企业垄断的根源。《反垄断法》既然被称为一把利器,那就关键看操在谁的手中。人们最不愿意看到的情况是,那些有深厚权力背景的垄断者,抢过刀柄,将其指向毫无防范力的竞争对手。而这种反垄断执法,其结果是真正该反的垄断毫发无损,而应受保护的弱者却被无情杀戮,且毫无还手之力。这样的市场当然是最坏的市场,因为竞争已为权力所替代和包办。社会主义市场经济要能够实现健康发展,必须对此高度警惕,切莫让权力的滥用扭曲了社会主义市场经济的前进方向。更多还原

【Abstract】 By researching and reviewing the evolution of Western Antitrust, this paper attempts to find out the routes and mechanism of it and provide a reference for the enforcement of the antitrust in our country. This paper in particular studies the interaction of economics and law stemmed from the most remarkable phenomenon—the penetration of economics on law, law on the use of economics. Several "interactive" phenomenon and the law are concluded, which are called interactive mechanism. Those include the establishment of the economic efficiency as the core of the antitrust, the transformation of the judicial rules from self-violation to reasonable ones, the transition of the adjustment of antitrust method from structuralism to behaviorism, the importance of both static efficiency and dynamic efficiency, the dynamic equilibrium between free competition and public intervention.In the process of this evolution, the first was the rise and prosperity of Harvard School which was against monopoly, followed by Chicago school of liberalism; so far post Chicago School has challenged the Chicago School. When these popular schools debate and evaluate, the judicial practice of antitrust and enforcement activities are constantly evolving and updated. Years ago, people had to admit that these changes were mainly from the renewed economic theories. In fact, it is the support of economics that enables the judge to handle various antitrust lawsuits rightfully. Antitrust law is different from laws of other departments, even different from other economic laws. The strong economic attribute of the adjusted subject decides the uncertainty. Economic analysis is needed to find out the facts; even some basic terms must also be elaborated by economics. The force and authority of law are truly demonstrated in the economic analysis of antitrust. Therefore, in the practice of antitrust, antitrust law and economics are interactive, not unidirectional. This is a key point of view in this dissertation. This interaction is proved repeatedly by the antitrust practice in Western society. The progress of civilization is full of sweat and tears, and the history of the evolution of antitrust not only provides us experience, but also lessons. Knowing this is undoubtedly significant for the new-born Antitrust Law of China and its enforcement activities. As China’s economy is still in the time of transition, a sound market economy is to be established and all kinds of powers have great influence to the economy. The phenomenon of interaction between power and economic forces and penetration intertwined are the main features of monopoly. Faced with this featured monopoly antitrust law is expected to be able to take the important responsibility, therefore, we should be inspired and learn from the Western evolution of antitrust.By researching Western antitrust evolution, and combined with China’s reality, this paper presents the general idea of antitrust in our country that enforcement of China’s antitrust law needs to different between economic monopoly and administrative monopoly. For pure economic monopoly, we should take the mature experience and theory of western antitrust for reference and conduct economic analysis deeply to avoid the purely judicial thinking and misjudge the case, that is the so-called "false positive error " And "false negative error" in the West. Economic analysis is the best way to avoid such errors, which has been proven by practice in the West. For administrative monopoly, we should classify the levels and deal with various administrative abuse of power.The author terms enterprise monopoly, which is supported by the administrative power, the administrative monopoly. This kind of monopoly is the most important and difficult ones we fight against in our country. Although the content and types of administrative monopoly remain controversial, this dissertation insists that administrative monopoly must be resolutely eliminated, but the elimination of administrative monopoly must be dealt comprehensively, in particular by deepening the reform of enterprises monopoly to eliminate administrative roots.The enforcement of Antitrust Law, which is called a weapon, depends on the user. We don’t want to see that those who have a strong background of monopoly seize the weapon and point at the competitors who have no defense power. And the antitrust law makes the monopoly intact while the weak killed unscrupulously. Such a market is the worst of the market, because competition has been replaced by the power. If the socialist market economy is be able to achieve healthy development, we must be alert to this and do not let the abuse of power distorts the forward movement of socialist market economy.更多还原