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輸出卡特爾豁免之研究

A Study on the Exemption of Export Cartels

指導教授 : 何之邁
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摘要


聯合行為於我國係採「原則禁止,例外許可」的立法模式,原則上禁止事業為聯合行為,但若在有利於整體經濟與公共利益情況下,則要求參與聯合之事業,事先向主管機關申請許可,才例外允許其從事聯合行為,諸如中小企業卡特爾、輸出入卡特爾等。其中輸出卡特爾可因國籍等因素有不同種類,若以組成成員觀之,可分為「國內輸出卡特爾」及「國際輸出卡特爾」;以是否在外國市場有所影響,可分為「純粹輸出卡特爾」以及「混合輸出卡特爾」。又對於輸出卡特爾之豁免,尚可區分成「明示輸出卡特爾豁免」及「默示輸出卡特爾豁免」。 本論文主要為研究輸出卡特爾之豁免,對此議題,值得研究之處在於其涉及貿易法與競爭法,就國際法角度觀之,或當然認定輸出卡特爾之豁免不應容忍,然再由內國法之角度觀之,又有其支持之理由,此種制度是否有必要存在或者選擇廢除,不易選擇。易言之,輸出卡特爾豁免是否可促進國內整體出口、是否可節省成本等,各有不同定論。 據此,本文之研究方法,係先行介紹輸出卡特爾豁免之背景及其經濟分析,從此可知為何世界各國基於其立場會豁免輸出卡特爾,並對各國採取的不同制度有所介紹,之後亦就其法制面上採比較法之分析,透過各國文獻資料之整理與歸納,瞭解各國法制之運作模式,比如美國與歐盟,藉其不同制度之採取,以與我國法制互為參考;再者,於政策面上,本文亦參酌各學者見解以及各世界組織對輸出卡特爾豁免之見解或相關報告,以探討輸出卡特爾豁免之優缺點,始可分析輸出卡特爾豁免;末者,本文再參酌文獻上對於如何輸出卡特爾豁免提出適用建議,做比較分析,並提出本文建議,以俾參考。

並列摘要


Although most countries prohibit cartels, there are still some exemptions. Cartels are illegal in principle, unless the cartels are beneficial to the economy as a whole and in the public interest. Most countries permit export cartels relating to foreign markets. Because of expecting to increase exports by enabling domestic enterprises to compete more in foreign markets, exporting countries permit domestic export cartels. In other words, they expect export cartels can reduce export costs and enhance bargaining power against foreign buyers and competitors. However, rising a question, that is to say, whether exempting export cartels can really match the goal which the countries want, or violate the objective of international trade. Export cartels usually restrict competition in foreign markets, so they do not subject to the jurisdiction of competition law of the exporting country. According to “effects principle”, it depends whether the "effects" of anticompetitive activities occur on the domestic market. Only under the principle of effects, national competition law applies to domestic enterprises. Therefore, from the view of competition law, export cartels do not belong to the range of antitrust law when they only affect foreign markets, but from the view of trade law, export cartels may distort trade between countries. The objective of this article is to discuss whether exempting export cartels can promote national exports and whether export cartels can help small and medium-sized firms without individual export ability. In this study, it analyzes export cartels in some ways. First, this article introduces the kinds of export cartels. Under the effects principle, export cartels can distinguish between pure export cartels and mixed export cartels. If exporters come from several countries, it is called international cartels. In addition, there are two different exemptions of export cartels in US and EC. Explicit exemptions are accepted in United States, and implicit exemptions are accepted by European Community. Second, this article examines export cartels through economics analysis. Therefore, it needs to use a lot of economics papers to understand whether the exemptions of export cartels can promote exports or not. Third, this article also introduces US and EC antitrust laws about exempting export cartels. In US, there are three laws relating to exemptions of export cartels: they are Webb-Pomerene Act, Export Trading Company Act, and Foreign Antitrust Improvements Act. In EC, the Article 81 of the European Treaty applies to cartel activities. If export cartels do not affect the trade between Member States, Article 81 will not be applied. Besides, there are not any supervision schemes. This article will discuss which exemption is better between US and EC. Fourth, this article will review the policies about whether exempting export cartels. Finally, aiming the exemptions of export cartels, this study will suggest some ways to cure export cartels, and hopes these discussions and suggestions would have a little help for domestic authorities and academia.

參考文獻


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