反垄断法宽恕制度的比较与完善-经济法学专业论文.docxVIP

摘 要 作为一个理性的经营者，不遗余力的追求自身利润最大化是其根本目标。随 着全球经济的快速发展，经营者之间的竞争越来越激烈，这也成为经营者达成垄 断协议的根本原因。垄断协议行为对经济发展的影响是巨大的。因此，各国都对 其进行严厉的处罚。为了逃避法律的制裁，经营者实施垄断协议的行为从“显性” 转变为“隐形”，这无疑加大了对垄断协议案件的侦查难度。为了高效的侦破垄 断协议案件，1978 年美国率先制定了宽恕制度。该制度是综合运用经济学原理 和法学原理设计而成，旨在通过对垄断协议参与者法律责任的减免来鼓励该参与 者主动揭发其他成员违法行为，从垄断协议成员内部进行瓦解的制度。美国的宽 恕制度对垄断协议的查处起到了较好的效果，使得世界很多国家纷纷效仿。在国 外 30 多年的司法实践中，美国等国家对宽恕制度不断的加以改进和完善，已经 形成一个较为成熟的制度。我国 2008 年开始实施的《反垄断法》中也初步确立 了宽恕制度。但由于诸多规定较为概括和原则，可操作性较差。尽管国家工商行 政管理总局在 2009 年和 2011 年颁布了相关的实施细则，但依旧有值得商榷的地 方。 本文第一部分对宽恕制度产生的背景、概念、特征与法理基础做了简单的阐 述；第二部分对我国反垄断法宽恕制度的发展以及相关规定的进步性与不足之处 分别作了评析；第三部分则着眼于国外宽恕制度的比较分析，选取的比较因子主 要有申请者序位、数量、义务、停止违法行为是时间、宽恕程度等。在此基础上 总结出国外宽恕制度的共同特点，为我国宽恕制度的完善提供参考；最后一部分 则立足我国国情与第二部分中我国宽恕制度存在的问题，对国外相关规定有选择 的进行借鉴，并分别从实体条件和程序条件加以完善。 关键词：反垄断法；宽恕制度；垄断协议；实体条件；程序条件 ABSTRACT As rational operators, sparing no efforts to pursue their own profit maximization is the fundamental goal. With the rapid development of the global economy, the competition between the operators is getting increasingly fierce, which has also become the root cause of the monopoly. The influence monopoly agreements have on economic development is enormous. Therefore, all countries have harsh punishment. In order to avoid legal sanctions, the operators act invisibly instead of dominantly causing increased difficulty of the investigation of cases of monopoly. A leniency program was first passed in 1978 in America for efficient detection of cases of monopoly agreements. The system was a comprehensive use of principles of economics and jurisprudence, designed to encourage the participants of the monopoly agreement in the relief of the legal responsibility to reveal the illegal acts of the other members so that the system collapse on its own. After 30 years of judicial practice in the United States and other countries, the system has been improved and is a more mature one. China’s “Anti-monopoly law” also initiated the leniency program first in 2008. However, many provisions are general and not practical. Although amended