【作者】 曾晶；

【导师】 许光耀；

【作者基本信息】 湖南大学 ， 经济法学， 2012， 博士

【摘要】 任何一部法律都需要一套行之有效的分析方法,否则这部法律就永远只能停留在纸面上,而无法转化成实实在在的“活法”。反垄断法的目的是维护市场有效竞争,促进市场经济健康发展,因而它与市场经济活动紧密相联。因此,反垄断法自诞生之日起,就与经济学理论和分析方法存在着千丝万缕的联系,尤其是现代反垄断法越来越深刻地受到经济学的影响,许多经济学理论和分析方法已成为反垄断法处理市场竞争问题的理论基础和主要分析手段。企业合并作为反垄断法的三大组成部分之一,它关注的根本问题是,合并对市场有效竞争的影响,即合并后市场竞争状况如何。如果合并将对市场竞争产生不利影响,则反垄断法就应事前防范,阻止合并行为发生和完成,反之亦然。到底合并会对市场竞争产生什么样的不利影响呢?从反垄断法的规定来看,它主要表现为两个方面：一是产生或加强市场支配地位,即单边效果；二是便利于企业之间达成协调或共谋行为,即协调效果。这一规定看起来似乎非常清晰明了,也易于让人明白和理解,但实践中,要具体操作和分析起来,则复杂得多,因为它背后包含了许多反垄断法的知识和原理,比如相关市场的界定,市场份额的计算,以及效率的评估等,而这些知识和原理又与经济学理论和分析方法密不可分。因此,我们要想正确评估合并的竞争效果,就必须借助于大量经济学理论和分析方法。我国反垄断法虽已颁布有五年之久,但对反垄断法的经济学理论和分析方法尚掌握不够,不能在具体案件中准确娴熟运用这些经济学理论和分析方法,这增加了我国反垄断法的执行和实施难度,尤其是企业合并的反垄断法规制,虽已处理了很多合并案件,但也饱受争议和质疑,这显然不利于实现反垄断法规制企业合并的目的,因而我们应加强企业合并反垄断法规制的经济学分析方法研究。企业合并竞争效果的分析步骤是,首先要界定相关市场,它包括相关产品市场和相关地理市场两部分。在相关市场的界定过程中,我们应考虑到需求替代性、供应替代性、替代链等因素,这涉及到的经济学分析方法有,价格弹性分析、 Lerner指数、SSNIP测试,以及产品分流比等方法。然后,在所界定的相关市场范围内,考察企业是否具有市场力量。评估市场力量的首要标准是市场份额,但它并不是判定市场力量的惟一标准,即便企业市场份额达到了法律规定的最低门槛,我们还应考虑到买方力量、潜在竞争、创新、互补性产品等因素,这里所涉及的经济学方法有,假定垄断测试、价格相关性分析、效率分析等方法。最后,再分析合并对市场竞争的影响,如果合并不会对市场竞争产生不利影响,则合并不应禁止,反之亦然,这一过程主要有仿真模型、结构模型、回归分析、市场透明度、惩罚报复机制等经济学分析方法。不管在哪个阶段,经济学的实证分析方法都很重要,它能为判定结果提供强有力的证据支持。另外,横向合并、纵向合并,以及混合合并的具体分析方法各有不同,应在考察中区别对待。更多还原

【Abstract】 Every law needs a set of effective analytical methods, otherwise it would be remained on the paper only, and could not be transformed into a real "living law". The purpose of anti-monopoly law is to maintain market effective competition, and promote the healthy development of the market economy, and thus it is closely linked with the market economic activity. Therefore, since the date of its birth, the anti-monopoly law and economic theory and analytical methods exist inextricably relationship. As the modern anti-monopoly law, more and more deeply influenced by economics, many economic theories and the analysis method has become the theoretical basis and of antitrust laws to deal with the issue of competition in the market, and the main analytical tools of the anti-monopoly law, to deal with the issue of competition in the market.The merger as the one of the three major components of anti-monopoly law, it focus on the fundamental problem is that, the impact of the merger on the market to compete effectively, namely how to the market competition condition after the merger.If the merger would adversely effects on market competition, the anti-monopoly law should prevent it, and vice versa. What adverse effects on market competition resulted from the merger? From the provisions of the anti-monopoly law, it is mainly manifested in two aspects:one is created or strengthened a dominant market position, namely unilateral effects; two is convenient to reach the coordination or collusion between firms, namely the coordinated effect. This rule seems to be very clear, easy to let people know and understand. But in practice, the concrete operation and analysis is much more complicated, because it contained many anti-monopoly law knowledge and principles, such as the definition of the relevant market, the calculation of the market share of, and the evaluation of efficiency and so on, and these knowledge and principle is inextricably linked with economic theory and analytical methods. Therefore, in order to properly assess the competitive effects of the merger, it must be by means of a large number of economic theory and analytical methods. Although our country’s anti-monopoly law has been promulgated five years, but our country has yet not mastered enough of the anti-monopoly laws of economic theory and analytical methods, and could not be used those theory and method in specific cases accurately and skillfully, this increased the difficulty of the implementation and enforcement of our anti-monopoly laws, especially the anti-monopoly regulation of the merger. Although our country has already dealt with a lot of merger cases, but those cases have been faced many Controversy and doubts, this is obviously not conducive to the realization of the anti-monopoly regulation purpose of the merger, and therefore we should strengthen the research of the economic analytical method of the merger anti-monopoly law regulationThe analysis step of the merger competitive effect is:firstly, to define the relevant market, it includes the relevant product market and the relevant geographic market. In the relevant market definition process, we should take into account the demand-side substitution, supply-side substitution, chains of substitution, and other factors. This involves many economic analytical methods, such as price elasticity analyses, Lerner index, SSNIP test, as well as the diversion ratio of product. Secondly, to examine whether the firm or not has the market power. The primary criterion for assessment of market power is market share, but it is not the only standard to determine the market power. Even if the firm’s market share reaches the statutory minimum threshold, we should also take account of buyer power, potential competition, innovation, complementary products and other factors. Here, this involves the hypothetical monopoly test, price correlation analysis, efficiency analysis and so on. Finally, to analyze the influence of the merger to market competition, if the merger would not created adverse effects on the market competition, it would not be prohibited, and vice versa. This process involves the economic analytical methods are:simulation models, structure models, regression analysis, market transparency, punishment retaliation mechanism and so on.Regardless in which stage, the economic empirical analytical.methods are very important, because they could provide the strong evidence to support our analysis results. In addition, the specific analytical method of horizontal merger and vertical merger and conglomerate merger are different, when we examine their competitive effects, they should be treated the same.更多还原