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  • 學位論文

公平交易法寬恕政策立法與案例研究──以聯合行為處分案為中心

Study on legislation and dispositions case of Leniency Program under the Fair Trading Act: From the Perspective of administrative decision for Illegal Concerted Actions

指導教授 : 陳櫻琴

摘要


因應各國嚴懲惡性聯合行為之國際趨勢,我國公平交易法於民國100年11月23日引進寬恕政策及大幅提高對聯合行為之罰鍰金額,期藉由棒子與胡蘿蔔並行以有效打擊聯合行為。然而根據公平交易委員會公布資料,自101年至今實際有涉案事業申請寬恕政策以及被同意的案件數相較公平交易委員會所查處的聯合行為案件數比例上並不相當,其中原因頗值得進一步探討;此外,少數幾件由公平交易委員會宣稱因涉案事業主動申請寬恕政策進而查處的重大聯合行為案件均屬跨國聯合行為,是否完全歸功於寬恕政策之成效,尚有疑義。又就各國寬恕政策之內容而言,我國寬恕政策之法制於主要規範上與歐盟較為相近,亦以事業通報時,公平交易委員會是否已開始調查或知悉為免除或減輕罰鍰為基準點,亦訂定有減輕之幅度、事業之協力義務、保密義務等,惟修正法律條文的執行貴在實證土壤,如何將其改良並適用於我國民情的寬恕政策是本研究重點核心。 本文首先介紹我國公平交易法寬恕政策之立法發展,研究寬恕政策如何用於查處聯合行為及其設計理念,再從比較法觀點分析美歐競爭法執行機關對於如何實施寬恕政策與其成效之演進,能對我國寬恕政策帶來之具體啟示。之後再逐一檢視我國寬恕政策實施子法-聯合行為違法案件免除或減輕罰鍰實施辦法、違反公平交易法第九條及第十五條情節重大案件之裁處罰鍰計算辦法的具體規定,提出對現行寬恕政策法制及執行面之檢討,再就公平交易委員會運用寬恕政策查處聯合行為之具體案例-跨國光碟機廠聯合採購圍標案、民營電廠聯合拒絕台電公司調降費率案,探討公平會的處分與其後法院判決的爭點評析並對現況提出檢討。最後則從檢討如何提高國內事業申請適用寬恕政策之因應方法,進而檢視公平交易法吹哨子條款-反托拉斯基金運用於檢舉獎金之施行現況。藉由以上內容循序漸進探討找出我國現行法制適用於聯合行為寬恕政策的盲點,並就其有不足之處提出建議,期望能作為建立適合我國民情法制的修法或建立配套措施的參考,以確實達到我國引進寬恕政策預期應獲得之成效。

並列摘要


Follow the international trend of punishing Hard Core Cartels by all countries, Taiwan Fair Trade Act also introduced the Leniency Programs on November 23, 2011, and a substantial increase in the amount of fines imposed on illegal concerted actions. Through the stick and the carrot parallel to effectively combat the illegal concerted actions. However, Since 2012, according to the Fair Trade Commission published information, the number which actually involved in the application of the Leniency Programs and the cases agreed to be compared with the Fair Trade Commission investigated and dealt with the proportion of the number of cases of concerted actions is not comparable, which is worthy of further study. In addition, the few cases in which the Fair Trade Commission claims that were attributed to Leniency Programs are all international cartels. There is still doubt as to the effectiveness of the Leniency Programs. As far as the content of each country’s Leniency Program is concerned, the legal system of our country's Leniency Program is relatively similar to that of the EU on the main norms. Whether the fair trade committee has started to investigate or know as a reference point for exempting or mitigating fines, the reduction in the degree of the cause of the business obligations, and confidentiality obligations etc. However, the implementation of the legal provisions of the amendment in the empirical soil, how to improve it and apply to our national affliction policy is this thesis focus. First, this thesis introduces the legislative development of Fair Trade Law Leniency Programs, researches how the Leniency Programs is used to investigate and deal with concerted actions and its design concept, and then analyzes the evolution of the US and EU competition law enforcement authorities from how to implement the Leniency Programs and concrete effect. Wish to bring concrete enlightenment for Leniency Programs of Taiwan through such articles. And by reviewing the subsidiary laws of Taiwan's Leniency Programs, including Regulations on Immunity and Reduction of Fines in Illegal Concerted Action Cases, and Regulations for Calculation of Administrative Fines for Serious Violations of Articles 10 and 14 of the Fair Trade Act, expect to present a review of the current legal system of Leniency Programs and its enforcement. And then through introducing the specific case of administrative decision which the Fair Trade Commission through Leniency to investigate and deal- the bid rigging case of international markets for computer CD-ROMs, the cartel of IPPs jointly rejected to reduce the sale rate with Taiwan Power Company, to discuss the issue of law between administrative decision by the Fair Trade Commission and corresponding court judgment, and present the review for current implantation situation.Finally, from the review of how to improve the domestic business application to apply the policy of forgiveness policy, and furtherly review the whistle clause of fair trading law, antitrust fund used in reporting reward, the currently implementation status.In order to achieve the expectation that the introduction of forgiveness Leniency Program, with the above steps, we try find out the blind spot of the current legal system applicable to the domestic concerted action Leniency Program and make suggestions on its shortcomings, and hope to make a reference for the establishment of the legal system or the establishment of supporting measures suitable for our national legal system.

參考文獻


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