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1、反垄断行政调查程序及企业应对指南反垄断行政调查程序及企业应对指南 Administrative Procedures of Anti-Monopoly Investigation and Guidelines for Enterprises to Deal with the Investigation 邓志松，合伙人，北京办公室 Jet Deng, Partner, Beijing Office 1 应对调查经验 My Experience DACHENG 2 序号序号 No. 类型类型 Type 调查机关调查机关 Authority 时间时间 Time 1 滥用 Dominance Abus
2、e SAIC 2011 2 横向垄断协议 Cartel NDRC 2011 3 滥用 Dominance Abuse SAIC 2011 4 纵向垄断协议 RPM NDRC 2012 5 横向垄断协议 Cartel NDRC 2012 6 横向垄断协议 Cartel NDRC 2012 7 滥用 Dominance Abuse NDRC 2013 8 滥用 Dominance Abuse SAIC 2013 9 纵向垄断协议 RPM NDRC 2013 10 未申报 Failure to Notify MOFCOM 2013 11 横向垄断协议 Cartel NDRC 2014 I.基本框架
3、II.调查之前 III. 调查之中 IV. 调查之后 目录 CONTENTS Basic Framework Before the Investigation During the Investigation After the Investigation 3 I. 基本框架 Basic Framework DACHENG 行政执法与民事诉讼 Public Enforcement v. Private Enforcement 4 民事诉讼 Private Enforcement 行政执法 Public Enforcement 发改委 NDRC 价格有关的垄断行为 Price related m
4、onopolistic behaviors 工商总局 SAIC 非价格的垄断行为 Non-price monopolistic behaviors 商务部 MOFCOM 经营者集中 Concentrations 法院系统 Courts 知识产权庭 IPR Tribunal 一审管辖为省会所 在中院或最高法院特 别指定的法院 Trial Court: mediate court in capital city of province or courts designated by SPC 行政处罚 Administrative Penalty 损害赔偿 Damages I. 基本框架 Basic
5、 Framework DACHENG 相关法律、法规和规章 Laws, Regulations and Rules 法律 Laws 中国反垄断法2008-08-01 Anti-Monopoly Law 行政处罚法1996-10-01 Administrative Penalty Law 部门规章 Departmental Rules 发改委 NDRC 反价格垄断行政执法程序规定2011-02-01 Regulations on Procedures for Enforcement of Administrative Law on Anti-Price Monopoly 价格行政处罚程序规定 2
6、013-07-01 Provisions on the Procedures for Imposing Administrative Penalties against Price-related Illegal Activities 工商总局 SAIC 工商行政管理机关查处垄断协议、滥用市场支配地位案件程序规定2009-07-01 Provisions on the Procedures for the Administrative Authorities for Industry and Commerce to Investigate Cases Concerning Monopoly A
7、greements and Abuses of Dominant Market Positions 工商行政管理机关行政处罚程序规定 2007-10-01 Provisions on the Procedures for Imposing Administrative Penalties by the Administrative Authorities for Industry and Commerce 商务部 MOFCOM 未依法申报经营者集中调查处理暂行办法2012-02-01 Measures for the Investigation and Handling of the Fail
8、ure to Notify Concentration of Undertakings in Accordance with the Law 地方规章 Local Regulations 辽宁省工商行政管理机关垄断案件线索移交程序规定2013-05-03 Provisions of Transfer of Evidence in Monopolistic Cases for Administrative Authorities for Industry Reporting; Communications IV. 调查之后 After the Investigation 25 01 02 03
9、文档编录 Documents Cataloging 向公司高层汇报 Reporting to Top management 内外部沟通程序 Communications DACHENG 后续调查 Subsequent Investigation IV. 调查之后 After the Investigation 26 Subsequent Investigation 与政府部门的有效沟通 Effective communicating with authorities 文件提交 Documents submitting 主动措施 Proactive measures 整改措施 Correctio
10、n measures 宽大政策 Leniency Policy 经营者承诺 Commitment DACHENG 后续调查 Subsequent Investigation IV. 调查之后 After the Investigation 27 1 降价 Reducing price 承诺价格持平 Promise not to raise price 退还非法款项 Refunding illegal gains 合规承诺 Promise to comply with AML 反垄断合规制度建设 Anti-Monopoly compliance 修改经销政策 Modifying distribu
11、tion policy 修改经营实践 Modifying business practice 2 3 4 提出整改措施 Proposal on correction measures IV. 调查之后 After the Investigation DACHENG 宽大政策 宽大政策在实际案例中的应用 Leniency policy in Chinas practice 自首的时间点：Marker制度？ Timing of reporting: does China follow “Marker” practice? 发改委与工商总局的差异 Difference between NDRC an
12、d SAIC 28 IV. 调查之后 After the Investigation DACHENG 经营者承诺制度 Commitment System 29 启动调查 Initiating an investigation 承诺消除竞争影响 Commitment 中止调查决定 Suspend investigation 继续调查 Continue/Resume investigation 履行承诺 Commitment is fulfilled 未履行承诺 Commitment is not fulfilled 终止调查决定 Terminate Investigation 不接受承诺 Reject Thanks! 010-58137038 13521337332 30
