【作者】 卢昉青；

【导师】 钟文兴；

【作者基本信息】 华东政法大学 ， 经济法， 2010， 硕士

【摘要】 卡特尔是一种严重影响市场竞争秩序的行为,各国法律一般都对其予以严厉规制。卡特尔所具有的隐蔽性和复杂多样性,往往又加大了执法机关的侦破难度。宽恕制度作为一种有效侦破卡特尔的工具,向主动揭发卡特尔并提供合作的参与者给予责任减免,鼓励参与者检举卡特尔,帮助执法机关及时发现和处理违法行为,以提高卡特尔侦破率。自美国1978年首次实行宽恕制度以来,多数国家都在本国竞争法律制度中借鉴美国立法,设立了宽恕制度。我国2007年颁布的《反垄断法》也首次引入宽恕制度,但高度概括性、原则性的规定,影响了其实施效果,在法律实施后的一年多时间中,没有一起适用该制度的案例。本论文借鉴对比了国外宽恕制度先进理论,针对我国法律实施环境和具体适用规则的缺失不足,从实体和程序两方面提出完善反垄断法宽恕制度的构想。本论文由六部分组成,以下是各部分主要内容的概述:第一部分绪论介绍了本论文的选题意义、文献综述和研究方法,使读者对本文的写作目的和主旨有一个大致认识,并对已有学者的理论研究和本文的创新之处有所了解。第二部分从传统道德理论基础、法理基础以及经济学基础三个角度,论述了宽恕制度存在的合理性。对卡特尔积极揭发,说明了申请者具有的悔过意识,惩罚减免体现了仁爱的传统伦理道德;利用宽恕制度可以节省执法成本,阻止卡特尔对市场经济秩序的进一步破坏,保障了消费者的公平交易权和自主选择权,有利于社会整体效率这一竞争法立法目标的实现;作为一个理性经济人,卡特尔参与者永远追求自身利益最大化,宽恕制度制造的“囚徒困境”对卡特尔成员互相背叛起到一种促进作用。第三部分分析了《反垄断法》颁布以来,宽恕制度在我国并未取得良好实施效果的原因。一方面是法律实施环境的缺失,具体体现在刑事责任空白、行政责任过轻、民事责任模糊以及执法权的分散;另一方面是具体的实体性规则和程序性规则的缺失。第四部分简要介绍了美国、欧盟等国宽恕制度的立法进程和制度概要,“他山之石可以攻玉”,相关制度和经验的介绍,对我国宽恕制度完善有很大的借鉴意义。第五部分和第六部分是本硕士论文的重点,通过借鉴国外先进立法,并结合我国自身法律环境,从法律责任构建、明确执法主体、完善程序性和实体性规则几方面,提出了对宽恕制度全面构建的设想。更多还原

【Abstract】 Cartel is a conduct that affects market order badly and each country sets up a severe regulation on it. The hidden and diversity nature of cartel raises the difficulty of detecting by the enforcement authority. As a method to detect the cartel effectively, Leniency program provides a waiver or partial waiver to the cartel member who revealing the illegal conduct automatically and providing cooperation to the authority. The program encourages members in reporting the cartel to help the authority finding and dealing with the unlawful act and to increase the rate of solving cases. Since the United States carried out the Leniency program in 1978, most of the countries introduced this program in their competition law. In 2007, China’s Anti-monopoly Law also studied from the United States’experience to introduce the Leniency program. However, the abstract and principled provision affects the enforcement of Leniency program. In more than one year after the enforcement of the Anti-monopoly Law, there is no case applying the Leniency program. This paper gives advices to perfect leniency program in procedural rules and substantial rules by learning by and comparing the advanced theory of the other countries.This paper comprises six parts and the main content of each chapter is as follows:Chapter one introduces the topic meaning, literature interview and researching method in order to make the readers have a general realization both of the paper’s researching purpose and of the researching status adds the author’s innovation.Chapter two discusses the reasonable of Leniency program from the moral theory, basis of principle of law and economics foundation. Revealing the cartel represents the applicant having the resipiscence consciousness. The waiver or partial waiver of punishment embodies the traditional moral theory of kindheartedness. By the means of Leniency program, the cost of enforcement is saved and the unlawful behavior destroying the market order is hindered. Besides, the right to fair deals and the right of option of the consumers are protected and the goal of realizing the whole social efficiency can be realized. As a rational economic man, cartel members always maximize their own benefits. The Prisoner’dilemma made by the Leniency program promotes the cartel members revealing each other.Chapter 3 analyzes the reasons of unsatisfied enforcement after the Anti-monopoly Law enacted. For one thing is the deficiency of the enforcement environment which embodies in the deficiency of criminal liability, the mild administrative responsibility and the obscure civil liability. For another is the deficiency of the procedural rules and substantial rules.Chapter 4 introduces the law making process and rules briefly. The introduction of the relative systems and experiences provides us a merit lesson to perfect China’s Leniency program.Chapter 5 and Chapter 6 are the main points in this paper. By learning from the advanced legislation of other countries and combining our own legal environment, this paper provides the thoughts of building the Leniency program in a whole perspective from forming of legal liability, making clear the authority and perfecting the substantial and procedural rules.更多还原