寬恕政策對制裁卡特爾行為之適用研究

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Title:	寬恕政策對制裁卡特爾行為之適用研究 A Study on the Leniency Policy to Fight Cartel
Authors:	吳亭儀
Contributors:	法律學系
Keywords:	卡特爾競爭法聯合行為寬恕政策反托拉斯 Cartel Competition law concerted action Leniency Policy Antitrust
Date:	2017
Issue Date:	2017-10-18 10:17:18 (UTC+8)
Abstract:	卡特爾為同一產業中，數競爭者以契約、協議等方式達成合意，來共同決定商品的售價、產量、交易對象等商業條件，用以影響市場秩序進而提升獲利的行為。因卡特爾對市場競爭秩序、消費者權益與產業發展有諸多不利的影響，早已是現代國家競爭法普遍禁止之行為。然隨著各國競爭法主管機關查處卡特爾行為的力度增強，以及資訊技術的進步，卡特爾組織成員用以規避查緝的手段也相對日益精進。如何突破卡特爾行為高度隱蔽性所造成的查處困難，提高執法效率，減少卡特爾破壞市場競爭的時長與廣度，成為執法機關的重大考驗。「寬恕政策」即是在此一背景下所誕生的產物，其係利用卡特爾成員本為競爭對手，互信相對薄弱的基礎，透過重罰的威逼與寬恕的誘惑來離間卡特爾成員，吸引他們爭相通報卡特爾涉案事證，突破卡特爾的隱蔽性，從而達到迅速查處卡特爾行為，恢復市場正常競爭秩序之目的。此一制度自美國於 1978 年創設以來，歷經數次變革，從成效不彰到逐步成熟，如今已有超過 50 多國將其納入競爭法規範，成為各國主管機關制裁卡特爾的良方，並從適用案例中展現出不同的執法風貌。我國直至 2012 年才正式施行寬恕政策，相關的配套措施隨後也陸續增修，無論是在制度面或執行面都有待持續的研究及經驗積累。因此本文嘗試從美國、歐盟、中國大陸及我國競爭法的卡特爾與寬恕政策規範出發，輔以各國近年來之特色案例進行探討，就完善我國寬恕政策與相關規範以及廠商對卡特爾查緝之因應，提出思考與建議，以祈為我國的競爭環境和產業發展略盡棉薄之力。 Cartels consist of more than one firm, and engage in price-fixing, bid-rigging, allocation of resources, and market shares in the market. Cartels have had a harmful impact on consumer welfare, public interest, and national economy. Through organising a cartel, the members achieve great profits. The common goal of profit maximisation requires the cartel members to cooperate. It is obvious that, cartels have to be detected and punished by competition authorities. However, the difficult problem is how to discover secret cartels. Therefore, the competition authorities published a policy which is called “Leniency Policy” to discover more and more secret cartels. As the cartel members were originally competitors, don’t have enough trust in each other. Leniency Policy uses the heavy penalties of coercion and exempt from penalty to attract members to inform the facts and evidence of cartel. Thus, the competition authorities can investigate and deal with cartel quickly, and restore the normal order of the market order. Today, more than 50 countries have incorporated Leniency Policy into competition law and have become a good way to counter cartels. Taiwan formally implement Leniency Policy in 2012, there was still a need for continuous research and experience. Therefore, this paper attempts to introduce and analyze the cartel and Leniency Policy of the United States, European Union, China and Taiwan, and then discuss the representative cases of these countries in recent years. Finally put forward suggestions to improve Taiwan's Leniency Policy and cartel regulations. Expecting to make insignificant contributions for the development of competition law in Taiwan.
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