- 學位論文
由反托拉斯看企業法規遵循與因應策略
Legal Compliance & Corporate Strategies in Dealing with Antitrust Case
摘要
台灣製造業中資本密集與技術密集產業比重愈來愈高，雖為可喜之事，但是重要的產業如航空、TFT-LCD，近年來因為受到國際反托拉斯調查而遭處罰金與被刑事起訴的情況是愈來愈嚴重。這些業者受調查的原因，是因為從事聯合壟斷商品價格，約定不為相互競爭的聯合行為，即所謂的違法卡特爾(CARTEL)。 傳統上，台灣企業普遍有輕視法律風險的傾向，以致於企業治理的問題與缺失頻傳，內線交易、賄賂醜聞，包括近年來亞洲企業所遭歐美反托拉斯調查，均屬於輕忽法規遵循與公司治理，而產生之結果。實務上，現階段台灣企業逐漸設有法務單位，但大部分功能著重在合約審查、專利授權與談判或是法律意見諮詢。 面對本文所討論的企業需要主動事前防範上，控制反托拉斯風險，其功能性遠遠不足。所以公司在組織運作上，實在有必要強化法務功能，設立法規遵循計畫，藉由健全的運作來預防不當行為的發生，避免傷害企業的商譽與利潤。有關法規遵循的準則，建議如下： 1.執行有效與易懂的法規遵循訓練。 2.宣導：為與不為的十大觀念。 3.同業合法交流的準則。 4.同業訊息蒐集的準則。 另外有關反托拉斯案件之處理準則，建議如下： 1.外部律師有效的進行：解釋反托拉斯法法律架構並說明違法後果。 2.企業必須考慮：完整的寬恕政策。 3.對內標準作業流程：管理團隊必須保留任何文件與對外因應原則。 4.對外標準作業流程：公司必須司法部進行認罪協商與罰金計算。
並列摘要
The proportion of capital-intensive and technology-intensive manufacturing industries in Taiwan has steadily increased in recent years. Though this has been a positive development, important industries such as international airlines carriers and TFT-LCD manufacturers have in recent years been targets of international antitrust investigations, resulting in increasingly aggressive and severe criminal prosecutions and fines imposed on these industry players for conduct involving concerted action to monopolize markets and/or to control product pricing -- actions constituting so-called illegal cartel activity. Historically, Taiwan companies have generally tended to underestimate the legal risks associated with poor corporate governance, prevalent negligence problems, insider trading, and bribery scandals, as well as US and EU antitrust investigations, as experienced in recent years by many Asian companies. The consequences serve to underscore and illustrate the consequences of a general lack of adequate attention to legal and regulatory compliance and corporate governance. To be sure, Taiwan companies have gradually come to establish in-house legal departments, but most of such departments have focused on contract review, licensing and negotiation or limited legal advice. In terms of their capability to take advance prevention initiatives to manage antitrust risks, which is the subject-matter of this thesis, Taiwan companies have been seriously deficient. Accordingly in organizational operations, it is very necessary to strengthen the legal function and implement compliance programs, in order to have sound modus operandi to prevent the occurrence of improper conduct, and to avoid damage to business credibility and profitability. Regarding compliance provisions, the following is recommended: 1. Implement effective and easy to understand compliance training. 2. Advocacy and Awareness: concepts of top ten “do’s and don’ts”. 3. Rules and regulations pertaining to lawful interaction among industry competitors. 4. Rules and regulations pertaining to the collection of industry related information. In addition, the following is recommended in terms of rules and guidelines to effectively deal with antitrust matters: 1. Effective engagement of outside legal counsel to properly advise on legal framework of antitrust law and regulation and the consequences of violations. 2. Comprehensive understanding of leniency policies which must be considered by companies. 3. Standard operating procedures by company management for document retention and external communications. 4. Standard operating procedures for the company’s interaction with the Department of Justice and/or relevant law enforcement authorities concerning plea negotiations and calculation of fines.