您的位置 : 环球研究 / 环球评论 / 新闻详情
钱伯斯2023大中华区法律指南——中国竞争法/反垄断领域年度概览
2023年02月18日刘淑珺 | 顾巍巍 | 任清 | 穆颖 | 刘平

该文章首次发表在钱伯斯(Chambers and Partners)2023大中华区法律指南中。环球律师事务所受邀独家撰写中国竞争法/反垄断(Competition/Antitrust)领域的专业文章。

 

Overview

概述

 

On June 24, 2022, the Standing Committee of the National People's Congress passed a decision on amending the Anti-Monopoly Law (hereinafter referred to as the “AML”), which has been effective since August 1, 2022. This is the first amendment to the AML since it became effective on August 1, 2008.

2022年6月24日,全国人大常委会通过了关于修改反垄断法的决定,并于2022年8月1日施行。这是中国反垄断法自2008年8月1日施行后迎来的首次修订。

 

Since the second half of 2021, China's AML enforcement agencies have continued to intensify their anti-monopoly enforcement. In October 2021, State Administration for Market Regulation (hereinafter referred to as "SAMR") imposed a fine of RMB3.442 billion on an online catering take-out platform for its abuse of dominant market position. And in May 2022, SAMR announced that it initiated an anti-monopoly investigation into a well-known academic online platform. From October 2021 to October 2022, SAMR imposed penalties in 89 gun-jumping cases (illegal concentrations of undertakings), most of which involved internet platform companies. These cases show that China's AML enforcement agencies maintain a tough stance in investigating and punishing internet platform monopolistic practices. In addition, China's AML enforcement agencies have also investigated and punished a number of cases involving monopoly agreements and abuse of dominant market position in other industries.

自2021年下半年以来,中国的反垄断执法机构继续强化反垄断执法。2021年10月,国家市场监督管理总局(“市场监管总局”)对某网络餐饮外卖平台滥用市场支配地位行为,处以34.42亿元人民币罚款;另外于2022年5月宣布对某知名的学术网络平台开展反垄断调查。自2021年10月至2022年10月,市场监管总局共就89件违法实施经营者集中案件作出处罚,其中多数案件涉及互联网平台企业。这显示中国的反垄断执法机构对于互联网平台垄断行为的查处继续保持高压态势。此外,中国的反垄断执法机构也查处了其他行业的多个垄断协议及滥用市场支配地位案件。

 

Several administrative and civil litigations have attracted wide attention in the judicial area, for example, the administrative litigation between two active pharmaceutical ingredients of calcium gluconate distributors and SAMR; the administrative litigation between a concrete company and a provincial-level municipal administration for market regulation; and a civil litigation between two platform companies arising out of refusing to use data. In addition, with the implementation of the new AML, the Supreme People's Court of China promulgated the Provisions on Several Issues Concerning the Application of Law in the Trial of Monopolistic Civil Dispute Cases (Draft for Public Comments) on November 18, 2022, to solicit public opinions.

在司法领域,多个行政诉讼及民事诉讼案件备受关注,例如两家葡萄糖酸钙原料药分销企业诉市场监管总局案、1家混凝土企业诉某省级市监局案等行政诉讼案件,以及发生在两个平台企业之间的因为拒绝使用数据而引发的民事诉讼案件。另外,随着新反垄断法的施行,中国的最高人民法院还于2022年11月18日发布了《关于审理垄断民事纠纷案件适用法律若干问题的规定(公开征求意见稿)》,向社会公开征求意见。

 

We highlight below the crucial trends of China's anti-monopoly legislation and law enforcement to provide reference to undertakings regarding their anti-monopoly compliance.

以下重点介绍中国在反垄断立法、执法方面的重要动态,以期对企业的反垄断合规有所借鉴与参考。

 

Legislation

立法

 

The main contents of the amendments to the AML in 2022 include, among other things, that:

2022年反垄断法修订的主要内容包括:

 

(a) For the RPM, it clarifies that where an undertaking can prove that a relevant agreement does not have the effect of eliminating or restricting competition, it shall not be prohibited;

(b) For vertical anti-monopoly agreements (including the RPM), it establishes the framework of safe harbor rules based on market share;

(c) Undertaking that organizes other undertakings to enter into monopoly agreements or provide substantive assistance for other undertakings to do so shall be imposed penalty according to provisions on monopoly agreements;

(d) Where a concentration of undertakings fails to reach the reporting thresholds, but the supervisory authority deems that such concentration has or may have the effect of eliminating or restricting competition, the undertakings may be required to make a declaration;

(e) The upper limit of fines for an illegal concentration of undertakings is significantly increased (10% of sales amount of the previous year where such concentration has or may have the effect of eliminating or restricting competition), and;

(f) It is the first time to establish liabilities for individuals responsible for monopoly agreements.

(1)就RPM的认定,明确了经营者能够证明相关协议不具有反竞争效果的,不予禁止;

(2)就纵向垄断协议(包括RPM),确立了以市场份额为基础的安全港规则的框架;

(3)对于经营者组织其他经营者达成垄断协议或者为其他经营者达成垄断协议提供实质性帮助的,适用垄断协议的罚则予以处罚;

(4)对于未达到申报标准的经营者集中,如果监管机构认为其具有或者可能具有排除、限制竞争效果的,可以要求经营者进行申报;

(5)大幅提高了违法实施经营者集中的罚款上限(具有或者可能具有排除、限制竞争效果的,罚款上限为上一年度销售额的10%);

(6)首次就垄断协议确立了个人法律责任。

 

In addition, SAMR has also published six draft regulations and rules of the AML for public comments on June 27, 2022, to specify more detailed rules for implementing the AML.

此外,市场监管总局还于2022年6月27日公布了6部反垄断法配套规定的征求意见稿,以期就新反垄断法的相关条款进行细化规定。

 

Law Enforcement

执法

 

From October 2021 to October 2022, China's AML enforcement agencies have published a total of 11 penalty cases of horizontal monopoly agreements, three RPM cases, and 11 cases of abuse of dominant market position. Horizontal monopoly agreement cases mainly involve the industries such as motor vehicle inspection and construction materials. The types of violations for such cases include price fixing or modifying and market segmentation. RPM cases involve industries like healthcare and educational training. The case involving the educational training industry is the first RPM case regarding the business franchise model, which indicates the compliance risks for a commercial franchisor to control the price setting on its franchisees. In addition, the RPM case of a medical device undertaking is the second RPM penalty case against a multinational medical device undertaking. The cases of abuse of dominant market position mainly involve the industries such as gas, water supply, pharmaceutical, etc. The types of violations for such cases mainly involve unfairly high pricing, restricted trading, tying and bundling, and additional unreasonable trading conditions.

自2021年10月至2022年10月,中国的反垄断执法机构共公布了11件横向垄断协议处罚案件、3件RPM案件、11件滥用市场支配地位案件。横向垄断协议案件主要涉及机动车检测、建材等行业,违法行为类型包括固定或变更价格及分割市场。RPM案件涉及医疗与教培行业,其中某教培企业RPM案,是中国反垄断执法机构公布的首个针对商业特许经营模式的RPM案件,说明商业特许人对于加盟商的价格管控存在反垄断合规风险。另外某医疗器械企业RPM案则是中国反垄断执法机构就跨国医疗器械企业出具的第2例RPM罚单。滥用市场地位案件主要涉及燃气、供水、医药等行业,违法类型主要涉及不公平高价、限定交易、搭售、附加不合理交易条件。

 

It is noteworthy that State Anti-monopoly Bureau (hereinafter referred to as "SAMB") was officially established with three departments on November 18, 2021, which implies that more resources would be devoted to anti-monopoly enforcement at the central level. In addition, from August 1, 2022, SAMR may, if necessary, entrust five provincial-level administrations for market regulation to review certain declarations of concentration of undertakings which are subject to the simplified procedure. Previously, the provincial-level administrations for market regulation have already played a critical role in investigating cases of monopoly agreement and abuse of dominant market position. With their involvement in review of concentration of undertakings, the provincial-level administrations for market regulation will play a more important role in anti-monopoly law enforcement.

此外,2021年11月18日,国家反垄断局正式挂牌成立,下设3个司局,标志着中央层面的反垄断执法官员有望进一步增加。另外,2022年8月1日起,市场监管总局可根据需要委托5个省级市场监管部门审查部分可适用简易程序的经营者集中案件。此前,省级市场监管部门在垄断协议案件与滥用市场支配地位案件的调查中发挥了关键作用。加上此次参与经营者集中案件审查,省级市场监管部门在各类案件的反垄断法执法中将发挥着越来越重要的作用。