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題名 國際競爭法合作協定與經貿協定中競爭規範之研究－兼談國營事業競爭中立議題
A Study on Antitrust Cooperation Agreements and the Competition Chapters in Trade Agreements － Also on Competitive Neutrality Issues of SOEs作者 吳孟洲
Wu, Meng-Zhou貢獻者 楊培侃
吳孟洲
Wu, Meng-Zhou關鍵詞 競爭法合作協定
經貿協定
競爭專章
國際執法合作
國際反托拉斯
國營事業
競爭中立
國際卡特爾
國際結合管制
Antitrust Cooperation Agreement
FTA
Competition Chapter
International Enforcement Cooperation
International Antitrust
SOE
Competitive Neutrality
International Cartel
International Merger Control日期 2014 上傳時間 1-May-2015 11:30:37 (UTC+8) 摘要 隨著世界各國開放市場，事業間的競爭已步入國際化，是以競爭法制與政策也必須國際化，然而各國間競爭法規範的調和並未隨著經貿自由化而自然達成。本文點出競爭法與國際接軌的重要性，進一步檢視各國就競爭法案件在單邊、雙邊、複邊等層次將面臨哪些執法上的問題。又因國際反競爭案件越趨頻仍，競爭法主管機關間的合作需求隨之提高，究竟在執法合作上可能面臨哪些困難與限制，未來在合作上發展的趨勢如何，本文將循序漸進加以探討。目前國際間迄未形成一套強勢的競爭法制，世界貿易組織（World Trade Organization, WTO）亦放棄在杜哈談判回合處理競爭議題，然經貿自由化對國際競爭法制仍持續注入新元素。譬如各國簽訂之自由貿易協定與區域經濟整合，多設有競爭相關章節，並開始關注國營事業涉及的反競爭問題（即競爭中立的問題），此等新發展亦屬本文探討之範圍。
Along with the trend of trade liberaliztion, the competition among enterprises has gone global. However, the competition rules seem to have no chance to reach international coordination in the near future. This article emphasizes that it’s important for a nation to coordinate its own competition law with other countries. Thus, the issues of competiton law enforcement at unilateral level, bilateral level, plurilateral level, regional level, and mutilateral level are also well discussed in this article. Due to the increasing number of anti-competition cases, the need for enforcement cooperation has risen. As a result, this article spends many efforts on recognizing the restraints and obstacles when cooperating with other competition authorities, trying to find the solutions to the problems of cooperation. Despite the fact that WTO failed to deal with international competition issues, there are many ambitious FTAs and reginal trade agreements trying to make common competition rules, which induce new elements into the field of international competition laws and policies. For exaples, TPP and many FTAs are in the negotiation of competitive neutrality requirement in the draft agreements. Such new development will not be excluded when speaking of international competition laws and policies.參考文獻 中文部分專書公平交易委員會，認識公平交易法，第14版，自版（2012）。丘宏達，現代國際法，第3版，三民書局（2012）。史惠慈、顏慧欣、葉長城、胡聚男，加入TPP臺灣準備好了嗎，由ECFA到TPP：台灣區域經濟整合之路，遠景基金會出版（2014）。吳秀明，「公平交易法民事責任基本問題概說」，競爭法研究，1版，元照出版公司（2010）。羅昌發，貿易與競爭之法律互動，元照出版公司（1998）。期刊李淳，「公營事業之競爭中立問題及對我國經貿政策之意涵」，中華經濟研究院台灣WTO中心WTO電子報，第341期（2012）。陳志民、陳和全，「結合矯正措施制度之一項功能性導向的理解架構」，公平交易季刊，第22卷第1期（2012）。陳榮傳，「涉外反競爭行為的管轄權與準據法」，公平交易季刊，第22卷第2期（2014）。楊光華，「競爭法與競爭政策的國際合作」，公平交易季刊，第10卷第3期（2002）。羅昌發，「競爭法與競爭政策之國際合作：我國經驗之回顧與前瞻」，公平交易季刊，第10卷第3期（2002）。學位論文楊佳政，國際貿易上限制競爭問題研究，私立東吳大學法律研究所碩士論文（1995）。謝孟珊，國際競爭法的調和，國立政治大學法律研究所碩士論文（2005）。政府資訊王性淵，「OECD-韓國政策中心『10週年紀念』暨『跨境競爭案件國際合作研討會』出國報告」，公務出國報告（2014）。黃立、楊光華、司維瑄、吳宜平， OECD對競爭政策的處理及其對多邊體制之影響，公平交易委員會合作研究計劃（1999）。監察院0990801073號調查報告（2010）。外文部分專書American Bar Association, International Antitrust Cooperation Handbook (2008).Averitt, Neil W., “Protecting Consumer Choice: Competition and Consumer Protection Law Together,” in More Common Ground for International Competition Law (2011).Holmes, William C. and Mangiaracina, Melissa H., Antitrust Law Handbook, 2010-2011 ed. (2012).Noonan, Chris, “The Fundamental Forces Shaping International Competition Law,” The Emerging Principles of International Competition Law (2008).Noonan, Chris, “The proper scope of Transnational Competition Law,” in The Emerging Principles of International Competition Law (2008).Taylor, Martyn, International Competition Law: A New Dimension for WTO (2005).期刊Bergman, M. A., and Coate, M. B., and Jakobsson, M., and Ulrick, S. W., “Comparing merger policies in the European Union and the United States.” 36 Review of Industrial Organization (2010).Connor, John M. and Lande, Robert H., “Cartel Overcharges and Optimal Cartel Fines,” Issues in Competition Law and Policy (2008).Galloway, Jonathan, “Convergence in International Merger Control,” 5(2) the Competition Law Review (2009).國際組織文件APEC, “The Manila Action Plan: APEC Leaders’ Declaration” (1996).APEC, “The Osaka Action Agenda: APEC Leaders’ Declaration” (1995).ASEAN, Regional Guidelines on Competition Policy (2010).Brusick, Philippe and Alvarez, Ana María and Cernat, Lucian, Competition Provisions in Regional Trade Agreements: How to Assure Development Gains, UNCTAD (2005).Damtoft, Russel W., “Key Obstacles and Challenges: the Confidentiality Issue,” OECD Workshop on Cooperation (2014).ICN, “Co-operation between Competition Agencies in Cartel Investigations,” Report to the ICN Annual Conference (2007).ICN, “Findings Related to Technical Assistance for Newer Competition Agencies” (2007).ICN, “Implementation of the ICN Recommened Practice” (2005),ICN, “Practical Aspect of International Cooperation in Merger Cases: investigation,” ICN MWG Teleseminar (2013).ICN, “Recommended Practices for Merger Notification Procedures” (2004).ICN, “Report on the Costs and Burdens of Multijurisdictional Merger Review” (2004).ICN, Unilateral Conduct Workbook Chapter 1: The Objectives And Principles Of Unilateral Conduct Laws (2012).OECD, “ Report on the Notification of Transnational Mergers” (1999).OECD, “Best Practices for the Formal Exchange of Information between Competition Authorities in Hard Core Cartel Investigations” (2005).OECD, “Competition Law and Policy in Chinese Taipei,” Policy Brief, (2006).OECD, “OECD Competition Assessment Reviews: Greece” (2013).OECD, “OECD/ICN Questionnaire on International Cooperation” (2013).OECD, “Recommendation Concerning Action against Hard Core Cartel” (2001).OECD, “Recommendation of the Council Concerning Structural Separation in Regulated Industries” (2001).OECD, “Recommendation of the OECD Council Concerning International Co-operation on Competition Investigations and Proceedings” (2014)OECD, “Recommendations for Enhancing Integrity in Public Procurement” (2008).OECD, Challenges of International Co-operation in Competition Law Enforcement (2014).OECD, Competitive Neutrality: A Compendium of OECD Recommendations, Guidelines and Best Practices (2012).OECD, Competitive Neutrality: Maintaining a Level Playing Field between Public and Private Business (2012).OECD, Policy Framework for Effective and Efficient Financial Regulation: General Guidance and High-level Checklist (2010).OECD, Report On the OECD/ICN Survey on International Enforcement Co-Operation (2013).OECD, SOE Guidelines (2005).TPP, “Trade Ministers’ Report to Leaders” (2014).UNCTAD, “ Informal Cooperation among Competition Agencies in Specific Cases” (2014).WTO, “Doha WTO Ministerial 2001: Ministerial Declaration,” ¶25, WT/MIN(01)/DEC/1 (Nov. 14, 2001).其他論文Rowley, J. William QC and Campbell, A. Neil, “ Multi-Jurisdictional Merger Review – Is It Time for a Common Form Filing Treaty?” (1999).Pham, Alice and Hanoi, CUTS, “The TPP Agreement: Chapter on Competition Policy,” Consumers International (2013).Whish, Richard, Merger Cases in the Real World - A Study of Merger Control Procedures (1994).Woolcock, Stephen, “International Competition Policy and the World Trade Organization,” paper for the LSE Commonwealth Business Counsil Trade Forum in South Africa (2007) 描述 碩士
國立政治大學
國際經營與貿易研究所
101351044
103資料來源 http://thesis.lib.nccu.edu.tw/record/#G0101351044 資料類型 thesis dc.contributor.advisor 楊培侃 zh_TW dc.contributor.author (Authors) 吳孟洲 zh_TW dc.contributor.author (Authors) Wu, Meng-Zhou en_US dc.creator (作者) 吳孟洲 zh_TW dc.creator (作者) Wu, Meng-Zhou en_US dc.date (日期) 2014 en_US dc.date.accessioned 1-May-2015 11:30:37 (UTC+8) - dc.date.available 1-May-2015 11:30:37 (UTC+8) - dc.date.issued (上傳時間) 1-May-2015 11:30:37 (UTC+8) - dc.identifier (Other Identifiers) G0101351044 en_US dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/74910 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 國際經營與貿易研究所 zh_TW dc.description (描述) 101351044 zh_TW dc.description (描述) 103 zh_TW dc.description.abstract (摘要) 隨著世界各國開放市場，事業間的競爭已步入國際化，是以競爭法制與政策也必須國際化，然而各國間競爭法規範的調和並未隨著經貿自由化而自然達成。本文點出競爭法與國際接軌的重要性，進一步檢視各國就競爭法案件在單邊、雙邊、複邊等層次將面臨哪些執法上的問題。又因國際反競爭案件越趨頻仍，競爭法主管機關間的合作需求隨之提高，究竟在執法合作上可能面臨哪些困難與限制，未來在合作上發展的趨勢如何，本文將循序漸進加以探討。目前國際間迄未形成一套強勢的競爭法制，世界貿易組織（World Trade Organization, WTO）亦放棄在杜哈談判回合處理競爭議題，然經貿自由化對國際競爭法制仍持續注入新元素。譬如各國簽訂之自由貿易協定與區域經濟整合，多設有競爭相關章節，並開始關注國營事業涉及的反競爭問題（即競爭中立的問題），此等新發展亦屬本文探討之範圍。 zh_TW dc.description.abstract (摘要) Along with the trend of trade liberaliztion, the competition among enterprises has gone global. However, the competition rules seem to have no chance to reach international coordination in the near future. This article emphasizes that it’s important for a nation to coordinate its own competition law with other countries. Thus, the issues of competiton law enforcement at unilateral level, bilateral level, plurilateral level, regional level, and mutilateral level are also well discussed in this article. Due to the increasing number of anti-competition cases, the need for enforcement cooperation has risen. As a result, this article spends many efforts on recognizing the restraints and obstacles when cooperating with other competition authorities, trying to find the solutions to the problems of cooperation. Despite the fact that WTO failed to deal with international competition issues, there are many ambitious FTAs and reginal trade agreements trying to make common competition rules, which induce new elements into the field of international competition laws and policies. For exaples, TPP and many FTAs are in the negotiation of competitive neutrality requirement in the draft agreements. Such new development will not be excluded when speaking of international competition laws and policies. en_US dc.description.tableofcontents 第一章、緒論 5第一節、研究背景 5第二節、研究目的 7第三節、研究目的 8第二章、國際反競爭行為型態、管制困難與解決方法 10第一節、國際反競爭行為的型態 10 （一） 結合 10（二） 卡特爾 13 （三） 其他單方行為 15第二節、各國管制國際反競爭行為的困難 18（一） 跨國結合審查與國際卡特爾－執法合作機制的不足 18（二） 單方行為方面－公私部門的競爭不中立 20第三節、國際反競爭行為的單邊解決途徑及其限制 20（一） 美國－以效果主義為主 21（二） 歐盟－以實施理論為主 22（三） 歐美法制小結 24（四） 我國公平法域外適用的架構 25（五） 單邊解決途徑之不足 28第四節、欠缺多邊國際競爭法規範 30第三章、競爭法合作協定與經貿協定之競爭專章概述 35第一節、雙邊之競爭法規範 35（一） 現有的競爭法合作協定與FTAs競爭專章 36（二） 競爭法合作協定與FTAs競爭專章內容－依國家別檢視 38（三） 競爭法合作協定與FTAs競爭專章－合作內容之演進 62（四） 我國競爭法合作協定與FTAs競爭專章之不足 64（五） 小結 66（六） 雙邊解決途徑之不足 68第二節、複邊或區域經貿協定中的競爭規範 70（一） APEC 70（二） NAFTA 71（三） 歐盟 73（四） TPP 74（五） 複邊/區域經貿協定處理國際反競爭問題之限制 76第三節、政府間組織 76（一） OECD 77（二） ICN 81（三） 政府間組織處理競爭議題之限制 82第四節、競爭法合作協定與FTAs競爭專章之比較分析 83（一） 不同的背景淵源 83（二） 生效、效力之差異 84（三） 處理競爭問題的切入角度不同 87（四） 關心的議題不同 88（五） 小結 89第四章、國際執法合作機制之挑戰 91第一節、背景 91第二節、國際合作機制之需求 92第三節、國際合作機制之困難與挑戰 93（一） 易生分歧的跨國結合管制 93（二） 跨國結合面臨的困境 96（三） 國際卡特爾執法合作面臨的挑戰 99第四節、執法合作之強化與未來展望 103（一） 減少跨國結合不必要的成本支出 103（二） 強化查處國際卡特爾的合作 108（三） 擴充雙邊、區域之競爭法合作協定與FTAs的競爭規範 109（四） 善用主管機關之間的非正式合作 112第五節、結論 114第五章、FTAs之競爭規範－兼談競爭中立 115第一節、FTAs競爭專章考察 116（一） 消費者保護在FTAs競爭章的規範 116（二） 指定獨占事業與國營事業在FTAs競爭章的規範 118（三） 小結 120第二節、競爭中立與國營事業之概念 121（一） 競爭中立與國營事業的定義 121（二） 追求競爭中立的論理 123第三節、達成競爭中立之重點事項 124（一） 改善政府參與商業行為的營運型態 124（二） 就政府的商業行為必須辨明其直接成本 124（三） 合理的商業報酬機制 125（四） 公用事業的競爭中立要求 125（五） 租稅中立性 126（六） 管制中立性 126（七） 債務中立性及直接補貼 126（八） 政府採購上的競爭中立 127（九） 小結 127第四節、達成競爭中立之建議作法 128（一） 改善政府參與商業行為的營運型態 128（二） 就政府的商業行為必須辨明其直接成本 129（三） 合理的商業報酬機制 130（四） 公用事業的競爭中立要求 131（五） 租稅中立性 131（六） 管制中立性 133（七） 債務中立性 134（八） 政府採購上的競爭中立 134（九） 小結 135第四節、TPP中的競爭中立 135第六章、全文總結 137參考文獻 140 zh_TW dc.format.extent 2275931 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0101351044 en_US dc.subject (關鍵詞) 競爭法合作協定 zh_TW dc.subject (關鍵詞) 經貿協定 zh_TW dc.subject (關鍵詞) 競爭專章 zh_TW dc.subject (關鍵詞) 國際執法合作 zh_TW dc.subject (關鍵詞) 國際反托拉斯 zh_TW dc.subject (關鍵詞) 國營事業 zh_TW dc.subject (關鍵詞) 競爭中立 zh_TW dc.subject (關鍵詞) 國際卡特爾 zh_TW dc.subject (關鍵詞) 國際結合管制 zh_TW dc.subject (關鍵詞) Antitrust Cooperation Agreement en_US dc.subject (關鍵詞) FTA en_US dc.subject (關鍵詞) Competition Chapter en_US dc.subject (關鍵詞) International Enforcement Cooperation en_US dc.subject (關鍵詞) International Antitrust en_US dc.subject (關鍵詞) SOE en_US dc.subject (關鍵詞) Competitive Neutrality en_US dc.subject (關鍵詞) International Cartel en_US dc.subject (關鍵詞) International Merger Control en_US dc.title (題名) 國際競爭法合作協定與經貿協定中競爭規範之研究－兼談國營事業競爭中立議題 zh_TW dc.title (題名) A Study on Antitrust Cooperation Agreements and the Competition Chapters in Trade Agreements － Also on Competitive Neutrality Issues of SOEs en_US dc.type (資料類型) thesis en dc.relation.reference (參考文獻) 中文部分專書公平交易委員會，認識公平交易法，第14版，自版（2012）。丘宏達，現代國際法，第3版，三民書局（2012）。史惠慈、顏慧欣、葉長城、胡聚男，加入TPP臺灣準備好了嗎，由ECFA到TPP：台灣區域經濟整合之路，遠景基金會出版（2014）。吳秀明，「公平交易法民事責任基本問題概說」，競爭法研究，1版，元照出版公司（2010）。羅昌發，貿易與競爭之法律互動，元照出版公司（1998）。期刊李淳，「公營事業之競爭中立問題及對我國經貿政策之意涵」，中華經濟研究院台灣WTO中心WTO電子報，第341期（2012）。陳志民、陳和全，「結合矯正措施制度之一項功能性導向的理解架構」，公平交易季刊，第22卷第1期（2012）。陳榮傳，「涉外反競爭行為的管轄權與準據法」，公平交易季刊，第22卷第2期（2014）。楊光華，「競爭法與競爭政策的國際合作」，公平交易季刊，第10卷第3期（2002）。羅昌發，「競爭法與競爭政策之國際合作：我國經驗之回顧與前瞻」，公平交易季刊，第10卷第3期（2002）。學位論文楊佳政，國際貿易上限制競爭問題研究，私立東吳大學法律研究所碩士論文（1995）。謝孟珊，國際競爭法的調和，國立政治大學法律研究所碩士論文（2005）。政府資訊王性淵，「OECD-韓國政策中心『10週年紀念』暨『跨境競爭案件國際合作研討會』出國報告」，公務出國報告（2014）。黃立、楊光華、司維瑄、吳宜平， OECD對競爭政策的處理及其對多邊體制之影響，公平交易委員會合作研究計劃（1999）。監察院0990801073號調查報告（2010）。外文部分專書American Bar Association, International Antitrust Cooperation Handbook (2008).Averitt, Neil W., “Protecting Consumer Choice: Competition and Consumer Protection Law Together,” in More Common Ground for International Competition Law (2011).Holmes, William C. and Mangiaracina, Melissa H., Antitrust Law Handbook, 2010-2011 ed. (2012).Noonan, Chris, “The Fundamental Forces Shaping International Competition Law,” The Emerging Principles of International Competition Law (2008).Noonan, Chris, “The proper scope of Transnational Competition Law,” in The Emerging Principles of International Competition Law (2008).Taylor, Martyn, International Competition Law: A New Dimension for WTO (2005).期刊Bergman, M. A., and Coate, M. B., and Jakobsson, M., and Ulrick, S. 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William QC and Campbell, A. Neil, “ Multi-Jurisdictional Merger Review – Is It Time for a Common Form Filing Treaty?” (1999).Pham, Alice and Hanoi, CUTS, “The TPP Agreement: Chapter on Competition Policy,” Consumers International (2013).Whish, Richard, Merger Cases in the Real World - A Study of Merger Control Procedures (1994).Woolcock, Stephen, “International Competition Policy and the World Trade Organization,” paper for the LSE Commonwealth Business Counsil Trade Forum in South Africa (2007) zh_TW
