论文标题:反垄断豁免制度研究
WTO and Transform of Our Government Function
论文作者 张金川
论文导师 程宝山,论文学位 硕士,论文专业 经济法学
论文单位 郑州大学,点击次数 642,论文页数 64页File Size1992k
2002-05-01论文网 http://www.lw23.com/lunwen_159247/ 法制行政;德治
administration by law,the rule of virtue
随着我国市场经济体制的建立，旨在维护市场自由竞争的反垄断法也正在加紧制定之中。如何合理高效地执行反垄断政策将是今后面临的重要问题。尤其是，我国已经加入世界贸易组织，解决企业规模小、成本费用高、竞争过度、生产能力分散、资源配置效率较低这些问题显得更为迫切。因此，必须实施规模经济发展战略，通过产业政策导向产权市场作用，引导企业重组和资源有效配置。世界上已经制定反垄断法的国家无不对垄断作出例外规定，允许一部分垄断有条件地存在。因此，在我国未来的反垄断法中，应对部分垄断有条件地作出豁免规定。本文即用法经济学和比较法学的方法对反垄断豁免的概念、特征和范围这些问题进行探讨，以期抛砖引玉，引起学者对反垄断豁免的重视。 第一部分，分析了反垄断豁免的概念和特征、反垄断豁免的原因以及反垄断豁免的价值取向。反垄断豁免就是对本届反垄断法规制的对象的垄断往开一面，不予实行反垄断法的制度。从立法上讲，反垄断豁免具有以下特征：(1)形式多样性。如德国采用法典的形式，美国采用判例兼单行法规的形式，日本则采用法典兼单行法规的形式。(2)内容普遍性。不仅制定了反垄断法的国家都规定有适用除外制度，而且在反垄断法的垄断控制制度的主要方面均有适用除外的内容。(3)效力相对性。各国反垄断法对其适用除外的对象并非是全面、绝对的豁免，而是有条件的、相对的豁免。(4)除外内容变化性。在一个国家的法律体系中，反垄断法比任何法律部门都更容易受到本国的经济形势、产业政策、政治动态甚至经济理论的直接影响，从而表现出较强的变动性，相应地，适用除外的内容也随之变化。法律之 所以对一部分垄断予以豁免，主要是为了提高经济效益和实现社会公 平，这也汀是反垄断豁免的价值取向所在。 第二部分。对几个典型国家和国际组织反垄断豁免制度进行了比 较。通过比较得知：在反垄断豁免制度的构建中，多数把提高经济效 益作为构建反垄断豁免制度的基础，同时兼顾社会公平。在立法形式 上，美国是采用判例法的典型国家，其灵活、实用的特点在竞争法领 域得到充分体现，弥补了成文法的滞后与不足：德国和R本是大陆法 系的代表，但他们在竟争法领域则采取不同的立法形式：德国法以严 格的立法形式，尽可能将一切归纳到法典中去；而「本采纳了美国法 中判例理论，通过司法实践来作出调整。笔者认为，在构建我国的反 垄断法体系时，首先，我们可采用日本的做法，除了在反垄断法中原 则规定“适用除外”的一般情况以外，还可以在一些相关单行法规中 视具体情况作出规定，以避免限于一部法律又难以面面俱到：其次， 在成文立法的基础上，我们应重视和肯定判例的作用，以弥补成文法 的不足。 第三部分，在前两部分分析和比较的基础上，给出了我国反垄断 豁兔的主要内容，其主要应包括自然垄断行业，银行业、保险业，对 外经济贸易领域，知识产权领域的豁兔，农业、林业、渔业，体育业， 工会组织、消费者协会，自山职业和企业协同组织等。特别是对学术 界争议较大的自然垄断行业的豁免作出特别说明。对自然垄断产业， 传统经济理论认为，必须山政府对进入实施管制来形成和维持垄断， 对价格、质量等实施管制来防止垄断企业自山决策时所产生的低效 率。1966年，西方学者莱本斯坦提出的X非效率理论，从理论上对 自然垄断的传统看法提出了有力挑［’1戈。他认为。自然垄断的传统观点 假定企业能有效地购买和使用十产要素，垄断的咐病只是价格和产 I （ 量的扭曲；垄断的福利损失仅限于哈伯格三角形。但女际卜，如果企 业回管理卜的问题而未能有效地购买和仲用生产要素，它所引起的 潜在福利损大要大得多。同时，很多实证研究也表明，政府对自然垄 断产业的管制会产生企业内部无效率，而且这种企业内部无效率在 既实行价格管制又实行进入管制时更为严重。在X非效率理论的影响 下，自70年代后期许多国家纷纷对自然垄断行业放松管制，并取得 了一定的成功，而此时我国的自然垄断行业也出现了效益低下、产品 和服务质次价高等问题，因此，我国学者纷纷提笔对包括自然垄断在 内的垄断进行了猛烈的抨击，反垄断之声此起彼伏。然而，自然垄断 的经济效益是客观存在的。怎样既发挥自然垄断行业的规模优势，又 最大?
With the setting up of market economic system in china, anti monopoly law aiming at maintenance freedom competition is being constituted. How to enforce anti monopoly policy efficiently is an important problem to face. It is more important to settle the problems of corporation size too small, cost too much, overage competition, throughput decentralization, and efficiency of resources collocating too low while china has become a member of WTO. So, scale economy policy must be put enforce in china. Industry policy has the function of leading industry market. It can lead corporations to recombine and efficiency collocation of resources. Few countries that have constituted anti monopoly law don"t make an exception to monopoly; don"t permit the existing of some monopoly action. So, the future monopoly law of our country should give some monopoly actions an exception. The author studied the conception, characteristic and scale of anti monopoly exception using the method of economy analysis and comparative law in order to arose scholars giving eyes to anti monopoly exception in this article.In part one, the author analyzed the conception, characteristic, reason and aim of anti monopoly exception. Antimonopoly exception is the system that the law permits monopoly to exist. From legislation, anti monopoly has such characteristics: (1 )multiformity, for example, Germany uses the forms of code. America uses the forms of prejudication and single file statute. Japan uses the forms of code and single file statue. (2) universality in content, not only all countries which have anti monopoly law have anti monopoly exception system, but every main part in a n t i m o n o p o I y law have exceptions. (3) relativity in force, every a n t i m o n o p o I y law haven"t complete , absolutely exception. (4) variability in content, a n t i m o n o p o I y law is the easiest law in the law system o f o n e country to get adirectly influence from native economic situation, industry policy, politics trends, even if economic theory. So, the content of antimonopoly exceptions often changes with. Why the law gives some monopoly an exception is mainly to enhance economic efficiency and realize equity of society.In part two, the author gives a comparison to the antimonopoly law among some typical countries and international organizations. Known from the comparison: in the construction of antimonopoly system, most countries or organizations aim at enhance economic efficiency, at the same time give attention to equity of society. In legislation form, America is a typical country to use case law. The characteristic of agility and practical gains plentitude embodiment in competition law field, fetch up the weakness statute law. Germany and Japan are the deputation of continent law system. In the competition law system, they use different legislation forms. Germany law has strict legislation form, trying to put all into code. Japan accepted prejudication theory of America, made regulation with justice practice. The author thinks: in the construction of antimonopoly law system in China, first of all, we can learn form Japan. Except of making "funda mental exceptions" in antimonopoly law, we can make "exceptions" in single file statutes. In the next place, in the foundation of written laws, we should think much of the use ofprejudication.In the third part, on the base of the analyses and comparison of the former two part, the author present the main content of antimonopoly exceptions of our country. That is natural monopoly industry, banking industry, insurance industry, foreign trade field, intellectual property field, agriculture, forest, fishery, gym, labor union, consumer union, freedom occupation and corporation organizations, and so on. The author makes special explain to natural monopoly industry that is dispute hard in academia. On natural monopoly industry, traditionaleconomists think that the government must control the entrance to form and maintain monopoly, and control the price, quality to prevent low efficiency form
|
