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題名 寬恕政策與競爭法有效執行之研究—以制度設計暨其他執法機制為核心
Study on Leniency Program and Effective Competition Law Enforcement: Focusing on Institutional Design and Other Mechanisms of Enforcement作者 連彬翰
Lien, Pin-Han貢獻者 王立達
Wang, Li-Dar
連彬翰
Lien, Pin-Han關鍵詞 聯合行為
卡特爾
寬恕政策
刑事處罰
民事責任
檢舉獎金
法令遵循
權利拋棄聲明
Cartel
Leniency program
Criminal sanctions
Damages claim
Informant reward system
Compliance program
Waiver日期 2019 上傳時間 7-Aug-2019 16:40:17 (UTC+8) 摘要 限制競爭之聯合行為有損於市場競爭、消費者利益與整體社會福祉，然而聯合行為具有秘密性而難以察覺。於國際間寬恕政策被認為係有效之執法工具，各國遂紛紛引入，我國亦於2011年引入寬恕政策，然而迄今僅有三起成功適用案件，且公平會近年來查處聯合行為之數量亦呈現下滑之趨勢，而有檢討我國寬恕政策與相關執法之必要。本文整理國內外相關文獻、規範與制度，以寬恕政策與競爭法有效執行為核心，探討寬恕政策之制度設計及與其他執法機制。本文除了介紹寬恕政策之理論基礎及美國、歐盟與我國之規範外，並討論聯合行為之執法趨勢及處罰方式是否應採刑事處罰，探討寬恕政策之制度內涵及與其他執法途徑之互動，並檢視寬恕政策制度之優缺點及對於公司而言申請寬恕政策之利與弊，以及寬恕政策申請人陳述之證據價值。最後，以上述關於寬恕政策有效性之各議題作為基礎，檢視我國現行之寬恕政策與執法，並提出相關改善之建議。欲使寬恕政策有效，對於違法之處罰應足夠嚴厲，規範與執法過程應具有透明性與可預測性，寬恕政策應僅作為補充之執法工具而非替代手段，執法機關在無寬恕政策下亦應有能力查緝到聯合行為，以及搭配其他相關制度以促使申請人及早申請寬恕政策，並且不應使寬恕政策申請人處於相較於未申請寬恕政策更糟之處境。
Cartel brings much harm to market competition, consumers’ benefit and social welfare. However, cartel is so secret that it is difficult for competition authorities to detect it. Today, competition authorities among the world regard leniency program as an effective tool in detecting cartel, and many jurisdictions have introduced leniency program. Taiwan also has introduced leniency program since 2011. However, there are only 3 successful application cases until now, and the number of detected cases per year of FTC seems to decline. So, we need to examine Taiwanese leniency program and competition law enforcement.The study focuses on the effectiveness of leniency program and researches on institutional design and other mechanisms of enforcement under competition law. First, the study introduces the basis of leniency program and the U.S., EU and Taiwanese regimes of leniency program. Then, the study discusses on the trends of cartel enforcement and whether to criminalize cartel. The study also researches on the contents of leniency program, the interaction with other mechanisms of enforcement, the pros and cons of leniency program, and the probative value of statement of applicants. Finally, the study examines current Taiwanese leniency program and competition law enforcement on the basis of above issues concerning the effectiveness of leniency program and brings some recommends.An effective leniency program is built on the followings. Sanctions for those who don’t cooperate with competition authorities should be severe enough. Policies and processes of law enforcement should have transparency and predictability. Leniency program should not be a substitute but a complement tool, and competition authorities should have the ability to detect cartel without leniency program. It is much better that more cartel members can apply leniency program, so it is appropriate not to exclude leaders and recidivists to apply leniency program. Corporates should establish effective compliance programs to prevent to participate in cartel and early to apply leniency program. In addition, some mechanisms like individual leniency program or informant reward system could trigger corporates to apply leniency program. 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國立政治大學
法律科際整合研究所
105652011資料來源 http://thesis.lib.nccu.edu.tw/record/#G0105652011 資料類型 thesis dc.contributor.advisor 王立達 zh_TW dc.contributor.advisor Wang, Li-Dar en_US dc.contributor.author (Authors) 連彬翰 zh_TW dc.contributor.author (Authors) Lien, Pin-Han en_US dc.creator (作者) 連彬翰 zh_TW dc.creator (作者) Lien, Pin-Han en_US dc.date (日期) 2019 en_US dc.date.accessioned 7-Aug-2019 16:40:17 (UTC+8) - dc.date.available 7-Aug-2019 16:40:17 (UTC+8) - dc.date.issued (上傳時間) 7-Aug-2019 16:40:17 (UTC+8) - dc.identifier (Other Identifiers) G0105652011 en_US dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/124896 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 法律科際整合研究所 zh_TW dc.description (描述) 105652011 zh_TW dc.description.abstract (摘要) 限制競爭之聯合行為有損於市場競爭、消費者利益與整體社會福祉，然而聯合行為具有秘密性而難以察覺。於國際間寬恕政策被認為係有效之執法工具，各國遂紛紛引入，我國亦於2011年引入寬恕政策，然而迄今僅有三起成功適用案件，且公平會近年來查處聯合行為之數量亦呈現下滑之趨勢，而有檢討我國寬恕政策與相關執法之必要。本文整理國內外相關文獻、規範與制度，以寬恕政策與競爭法有效執行為核心，探討寬恕政策之制度設計及與其他執法機制。本文除了介紹寬恕政策之理論基礎及美國、歐盟與我國之規範外，並討論聯合行為之執法趨勢及處罰方式是否應採刑事處罰，探討寬恕政策之制度內涵及與其他執法途徑之互動，並檢視寬恕政策制度之優缺點及對於公司而言申請寬恕政策之利與弊，以及寬恕政策申請人陳述之證據價值。最後，以上述關於寬恕政策有效性之各議題作為基礎，檢視我國現行之寬恕政策與執法，並提出相關改善之建議。欲使寬恕政策有效，對於違法之處罰應足夠嚴厲，規範與執法過程應具有透明性與可預測性，寬恕政策應僅作為補充之執法工具而非替代手段，執法機關在無寬恕政策下亦應有能力查緝到聯合行為，以及搭配其他相關制度以促使申請人及早申請寬恕政策，並且不應使寬恕政策申請人處於相較於未申請寬恕政策更糟之處境。 zh_TW dc.description.abstract (摘要) Cartel brings much harm to market competition, consumers’ benefit and social welfare. However, cartel is so secret that it is difficult for competition authorities to detect it. Today, competition authorities among the world regard leniency program as an effective tool in detecting cartel, and many jurisdictions have introduced leniency program. Taiwan also has introduced leniency program since 2011. However, there are only 3 successful application cases until now, and the number of detected cases per year of FTC seems to decline. So, we need to examine Taiwanese leniency program and competition law enforcement.The study focuses on the effectiveness of leniency program and researches on institutional design and other mechanisms of enforcement under competition law. First, the study introduces the basis of leniency program and the U.S., EU and Taiwanese regimes of leniency program. Then, the study discusses on the trends of cartel enforcement and whether to criminalize cartel. The study also researches on the contents of leniency program, the interaction with other mechanisms of enforcement, the pros and cons of leniency program, and the probative value of statement of applicants. Finally, the study examines current Taiwanese leniency program and competition law enforcement on the basis of above issues concerning the effectiveness of leniency program and brings some recommends.An effective leniency program is built on the followings. Sanctions for those who don’t cooperate with competition authorities should be severe enough. Policies and processes of law enforcement should have transparency and predictability. Leniency program should not be a substitute but a complement tool, and competition authorities should have the ability to detect cartel without leniency program. It is much better that more cartel members can apply leniency program, so it is appropriate not to exclude leaders and recidivists to apply leniency program. Corporates should establish effective compliance programs to prevent to participate in cartel and early to apply leniency program. In addition, some mechanisms like individual leniency program or informant reward system could trigger corporates to apply leniency program. Finally, and most importantly, leniency applicants should not face a worse situation than non-cooperation. en_US dc.description.tableofcontents 第一章 緒論 1第一節 研究動機與目的1第二節 研究範圍與方法 2第三節 本文架構 2第二章 寬恕政策之源起與基本架構 4第一節 背景介紹 4第一項 聯合行為之概述 5第二項 聯合行為現行法之規範 8第一目 美國與歐盟之規範 8第二目 我國法之規範 10第三項 寬恕政策之起源 15第二節 寬恕政策之理論基礎與基本架構 16第一項 競爭法下之賽局理論與吹哨者 16第二項 有效寬恕政策之基礎 19第三項 美國與歐盟之寬恕政策 22第四項 我國之寬恕政策 33第五項 引入寬恕政策可能之問題 39第三章 寬恕政策之制度內涵 42第一節 胡蘿蔔與「棍棒」──論聯合行為之處罰方式 42第一項 聯合行為之執法趨勢 42第二項 聯合行為是否採用刑事處罰 55第一目 刑事罰之理論 55第二目 聯合行為是否入刑化 58第三目 我國之立法例 66第二節 「胡蘿蔔」與棍棒──論寬恕政策之內涵 74第一項 事前寬恕與事後寬恕 74第二項 完全免除與部分減輕 77第三項 公司寬恕與個人寬恕 83第四項 聯合行為領導人與寬恕政策 87第五項 累犯與寬恕政策 90第六項 附加寬恕與附加懲罰 92第四章 寬恕政策與其他執法途徑之關係 95第一節 寬恕政策與民事執法之關係 95第一項 寬恕政策是否適用於民事損害賠償 95第二項 申請寬恕政策之事證是否用於民事訴訟 98第二節 寬恕政策與檢舉獎金 101第三節 寬恕政策與法令遵循 108第四節 國際聯合行為可能發生之問題 114第五章 寬恕政策之實施成效與檢討 121第一節 寬恕政策之利與弊 121第一項 寬恕政策是否促進聯合行為 121第二項 寬恕政策之正面效果與負面效果 122第三項 申請寬恕政策對於公司之優缺點 125第四項 寬恕政策可能之策略性運用 126第二節 寬恕政策申請人陳述之證據價值 128第三節 我國寬恕政策之執行成效 133第一項 寬恕政策執行成效之綜觀 133第二項 我國聯合行為之案件統計 135第三項 我國寬恕政策適用之案例 142第四節 我國寬恕政策之檢討與展望 148第一項 國際經驗於我國法之啟示 148第二項 我國寬恕政策規範與執法之檢討 150第三項 聯合行為與寬恕政策之執法建議 158第六章 結論 163參考文獻 167 zh_TW dc.format.extent 2034500 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0105652011 en_US dc.subject (關鍵詞) 聯合行為 zh_TW dc.subject (關鍵詞) 卡特爾 zh_TW dc.subject (關鍵詞) 寬恕政策 zh_TW dc.subject (關鍵詞) 刑事處罰 zh_TW dc.subject (關鍵詞) 民事責任 zh_TW dc.subject (關鍵詞) 檢舉獎金 zh_TW dc.subject (關鍵詞) 法令遵循 zh_TW dc.subject (關鍵詞) 權利拋棄聲明 zh_TW dc.subject (關鍵詞) Cartel en_US dc.subject (關鍵詞) Leniency program en_US dc.subject (關鍵詞) Criminal sanctions en_US dc.subject (關鍵詞) Damages claim en_US dc.subject (關鍵詞) Informant reward system en_US dc.subject (關鍵詞) Compliance program en_US dc.subject (關鍵詞) Waiver en_US dc.title (題名) 寬恕政策與競爭法有效執行之研究—以制度設計暨其他執法機制為核心 zh_TW dc.title (題名) Study on Leniency Program and Effective Competition Law Enforcement: Focusing on Institutional Design and Other Mechanisms of Enforcement en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 中文文獻書籍1.公平交易委員會，認識公平交易法，增訂第16版，2015年7月。2.公平交易委員會，公平交易法修法沿革彙編（一），2003年12月。3.公平交易委員會，公平交易法修法沿革彙編（二），2003年12月。4.林鈺雄，新刑法總則，元照，2011年9月3版。5.張清溪、許嘉棟、劉鶯釧、吳聰敏，經濟學：理論與實務，第六版上冊，2010年8月。6.許福生，犯罪與刑事政策學，修訂一版，2012年9月。7.廖義男，公平交易法之釋論與實務（第二冊），2015年3月。期刊論文1.公平交易委員會，OECD對我國競爭法與政策同儕檢視研討會會議紀錄，競爭政策通訊，第10卷第5期，2006年9月。2.王立達，我國聯合行為規範現況之結構反省與革新：事前許可制、積極分流與事後查處制，台大法學論叢，第47卷第3期，頁1175-1219，2018年9月。3.王銘勇，公平交易法寬恕政策與檢舉獎金辦法之分析與檢討，公平交易季刊，第25卷第3期，頁127-176，2017年7月。4.王銘勇，聯合行為寬恕減免責任條款之研究，公平交易季刊，第14卷第1期，頁75-133，2006年1月。5.王曉曄，反壟斷法中的卡特爾，月旦民商法雜誌，第12期，頁128-148，2006年6月。6.甘添貴，刑法之謙抑思想，月旦法學雜誌，第24期，頁50-51，1997年4月。7.石世豪，競爭法寬恕政策實施成效之比較研究－美國、德國、韓國經驗對我國之啟示－，公平交易季刊，第26卷第2期，頁115-144，2018年4月。8.吳秀明，打擊聯合行為法制之晚近變革，月旦法學雜誌，第233期，頁197-233，2014年10月。9.吳秀明，聯合行為理論與實務之回顧與展望─以構成要件之相關問題為中心，月旦法學雜誌，第70期，頁56-79，2001年3月。10.李綱信，歐美競爭法之初步研析，經濟研究，第12期，頁341-368，2012年3月。11.施錦村，不法聯合行為案件內容結構分析-以系統化管理程序為中心，公平交易季刊，第20卷第2期，頁149-187，2012年4月。12.胡雅筑，反托拉斯法遵計畫所應採取之必要程序－從友達被控違反反托拉斯法規遵循計畫判決論起，科技法律透析，第27卷第7期，頁31-38，2015年7月。13.許曉芬，歐盟競爭法關於限制競爭協議之研究－以市場界定與市場效果為中心，公平交易季刊，第25卷第3期，頁1-34，2017年7月。14.郭大維，沉默未必是金-吹哨者法制之建構與企業不法行為之防範，台灣法學雜誌，第216期，頁46-60，2013年1月。15.陳志民，美國及歐盟反托拉斯法對國際卡特爾行為之規範，貿易政策論叢，第14期，頁37-61，2010年12月。16.黃銘傑，公平交易法第三十八條「兩罰規定?」的幾個問題點，公平交易季刊，第1卷第3期，頁85-101，1993年7月。17.黃銘傑，讓行政的歸行政、司法的歸司法─跳脫「先行政後司法」後之「先行政無司法」窘態，月旦法學雜誌，第201期，頁91-121，2012年2月。18.廖義男，2015年新修正公布之公平交易法評析（二）－聯合行為之規範，法令月刊，第66卷第7期，頁127-140，2015年7月。19.劉連煜，我國引進寬恕政策對付惡性卡特爾之立法趨勢，台灣法學雜誌，第76期，頁267-275，2005年11月。20.謝杞森，公平交易法第三十五條、三十六條刑事處罰與第四十一條行政處罰的比較－以我國實務為中心，公平交易季刊，第9卷第2期，頁13-36，2001年4月。21.顏廷棟，寬恕政策實施子法之研究，公平交易季刊，第16卷第4期，頁67-115，2008年10月。22.顏廷棟，聯合行為之執法檢討與展望，公平交易季刊，第20卷第4期，頁1-52，2012年10月。研究計畫1.石世豪、莊春發等，各國競爭法寬恕政策實施成效之研究，公平交易委員會106年委託研究報告，2017年11月。2.廖義男、謝銘洋、黃銘傑、石世豪、吳秀明、陳志民等，公平交易法之註釋研究系列(三) 第二十五條至第四十九條，2005年12月。網路資料1.公平交易法第二十一條、第三十五條之一及第四十一條修正條文對照表，2011年11月23日，https://www.ftc.gov.tw/upload/e54bb4e5-d79b-472e-a714-8171dfc9d17e.pdf。2.公平交易委員會，公平交易統計年報（2001），https://www.ftc.gov.tw/upload/107552bf-cdfa-4a69-92bd-56ef7f81fe00.pdf，最後瀏覽日：2019年4月17日。3.公平交易委員會，公平交易統計年報（2018），https://www.ftc.gov.tw/upload/15418b0b-7752-4c94-9679-e6794e81e2f7.pdf，最後瀏覽日：2019年5月11日。4.公平交易委員會，中譯外國競爭法規，日本，https://www.ftc.gov.tw/upload/467c35fb-c66b-462c-8b23-81e7a130f1b3.pdf，最後瀏覽日：2019年4月12日。5.公平交易委員會，中譯外國競爭法規，美國，休曼反托拉斯法，https://www.ftc.gov.tw/upload/48ddf11b-d58e-4ed0-ae84-efd811820488.pdf ，最後瀏覽日：2019年3月10日。6.公平交易委員會，中譯外國競爭法規，歐盟，歐體條約第101條（原第81條）及第102條（原第82條），https://www.ftc.gov.tw/upload/fd300f84-4704-42aa-96ff-e051491b02b3.pdf，最後瀏覽日：2019年3月10日。7.立法院公報，第104卷第68期，委員會紀錄，立法院第8屆第8會期經濟委員會第4次全體委員會議紀錄，https://lci.ly.gov.tw/LyLCEW/communique1/final/pdf//104/68/LCIDC01_1046801_00007.pdf，最後瀏覽日：2019年5月15日。8.立法院公報，第107卷第119期，委員會紀錄，立法院第9屆第6會期經濟、司法及法制兩委員會第1次聯席會議紀錄，https://lci.ly.gov.tw/LyLCEW/communique1/final/pdf/107/119/LCIDC01_10711901_00001.pdf，最後瀏覽日：2019年5月15日。9.沈立委，打擊貨櫃場業者聯合壟斷，賺取獎金，拒當違法事業之獵物！公平交易委員會電子報，第57期，2016年8月。10.政治中心，制裁聯漲鼓勵當爪耙子 公平會設窩裡反條款，ETtoday新聞雲，2011年12月3日，https://www.ettoday.net/news/20111203/10409.htm#ixzz5nyMnLsPu，最後瀏覽日：2019年5月15日。11.科技政策研究與資訊中心—科技產業資訊室，http://iknow.stpi.narl.org.tw/Post/Read.aspx?PostID=4757，最後瀏覽日：2019年4月17日。12.食力，5起內部檢舉入榜！吹哨人抓出隱匿的違法業者，2017年12月20日，https://www.foodnext.net/news/newstrack/paper/4616199568，最後瀏覽日：2019年4月25日。13.張舒婷，窩裡反條款／聯合行為「抓耙仔」減免罰鍰，自由時報，2012年1月10日，https://ec.ltn.com.tw/article/paper/553175，最後瀏覽日：2019年5月15日。14.曾如瑩，被判坐牢 友達副董落淚親筆信曝光，Yahoo!奇摩，2012年3月22日，https://tw.news.yahoo.com/被判坐牢-友達副董落淚親筆信曝光.html，最後瀏覽日：2019年4月14日。15.黃美瑛，公平交易委員會業務報告，立法院第9屆第4會期經濟委員會，2017年9月28日，https://www.ftc.gov.tw/upload/12b6386c-82c9-4aa8-8fc1-936163726a90.pdf。最後瀏覽日：2019年5月15日。16.廖千瑩、張慧雯，寬恕政策、抓耙子免罰首例／4廠圍標光碟機罰5400萬，自由時報，2012年9月21日，https://ec.ltn.com.tw/article/paper/616843，最後瀏覽日：2019年5月15日。英文文獻書籍1.FURSE, MARK, THE CRIMINAL LAW OF COMPETITION IN THE UK AND IN THE US FAILURE AND SUCCESS (2012).2.JONES, ALISON & BRENDA SUFRIN, EU COMPETITION LAW-TEXT, CASES, AND MATERIALS (6th ed. 2016).3.HOLMES, WILLIAM C., ANTITRUST LAW HANDBOOK (2008-2009 ed.).4.HOVENKAMP, HERBERT, ANTITRUST (4th ed. 2005).5.HOVENKAMP, HERBERT & PHILLIP E. 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