Russian Federation: 浅析俄罗斯反垄断法

Last Updated: 6 June 2019
Article by Zhenli Zhang

苏联解体后,俄罗斯的经济体制和社会形态都发生了根本性的变革,国家的法律政策也随之变化。俄罗斯的反垄断法正是在此背景下确立和发展起来的。1991年,俄罗斯制定了第一部反垄断法,即《保护商品市场竞争和限制垄断活动法》,为俄罗斯反垄断法律制度的发展奠定了坚实的基础。之后,为了适应国内外经济形势的变化,加强国际市场竞争力,俄罗斯于2006年6月制定了《保护竞争法》 [1]。该部法律自颁布以来经过了多次修改,最终确立了俄罗斯当前的反垄断体系。

俄罗斯反垄断法的一大特点在于,实行反垄断和反不正当竞争合并的立法模式。除了规定垄断行为外,还明确禁止不正当竞争,后者包括商业诋毁、虚假陈述误导消费者、不适当比较、不合法利用他人知识产权和侵犯他人商业秘密等行为。除此之外,该法还对国家机构限制竞争行为进行监督和调节,对招投标活动和选择金融机构进行规范,对提供国家和地方自治体的特惠进行规制,调整范围非常广泛。

一、垄断协议

对垄断协议进行规制是反垄断法实体制度中的重要内容。由于垄断协议的反竞争性质非常明显,对市场经济秩序的危害巨大。因此禁止垄断协议制度一般是各国反垄断法中最受关注、也是制裁最为严厉的部分。由于横向垄断协议和纵向垄断协议在限制竞争的性质和程度方面存在明显差异,因此许多国家的反垄断法都对这两种垄断协议分别加以规制。一般说来.反垄断法对横向垄断协议都给予严格的规制,而对纵向的垄断协议,除了涉及价格限制的规制外,其余的都比较宽松。

俄罗斯《保护竞争法》第11条明确规定,禁止经营者限制竞争的协议、决议或者协同一致的行为。俄罗斯对于限制竞争协议是否会被禁止的认定标准十分特殊,是其法律中的一大亮点。根据法律规定,判断限制竞争协议是否会被禁止的认定标准是该协议是否会导致或可能导致限制竞争的后果。故而,此处考虑的后果不仅包括实质性的后果,还包括可能性的后果。这其实是一种双层的认定标准,其中"可能导致"的评判标准实际上是确立了一种预防性的调控形式,通过与传统的事后救济相配合,能够更加有效地维护市场竞争秩序。

垄断协议,除了有书面形式的协议外,实践中还有非常难以认定的"协同行为"。俄罗斯《保护竞争法》对协同行为的认定采取主客观相一致原则:在主观上,要求行为结果符合经营者的利益并为其事先所了解;在客观上,与大多数国家的立法不同,俄罗斯将行为延续的时间作为认定限制竞争协议时所考量的因素——在为期一年以上的时间内或不足一年但存在相关市场的情况下,若一个经营者的行为引领其他经营者改变控制范围内的产品价格、产品原料价格、国际商品市场上商品价格,或实质性改变商品的需求,但又未在同等情况下使相关商品市场上所有经营者作出上述改变,便符合协同行为的客观构成要件。但是,由于主观条件认定困难,同时,以"年"为条件的客观标准虽然能够起到便利执法的作用,对于认定顽固的国际卡特尔具有重要意义,但却放任了短期价格卡特尔,因此协同行为的认定效率不高,法律的刚性也受到弱化。

二、滥用市场支配地位-市场支配地位认定及滥用行为的认定

禁止滥用市场支配地位制度在各国反垄断法中都占有非常重要的地位。在绝大多数国家的反垄断立法中,具有市场支配地位本身是不违法的,但是滥用市场支配地位却是被禁止的。

首先,需要对市场支配地位进行认定。在这一方面,俄罗斯法律对不同行业制定了不同的标准。对于生产和销售企业而言,如果该企业所占市场份额高于50%,且在在案件审理中未作出认定该经营者不具有市场支配地位的判决裁定;或该企业所占市场份额虽低于50%,但反垄断机关认定该经营者具有支配地位,则可以认定,该企业具有支配地位。同时,若3家以内经营者所占市场份额合计超过50%,或5家以内经营者所占市场份额合计超过70%,且其中任一家所占份额都超过该范围外的经营者,如果在较长时间内(通常指一年以上)经营者所占相应市场的份额没有或只有微小变化,新竞争者很难进人该商品市场,且该商品不能用其他商品替代,则多个企业中的每一个都可能被认定为占有市场支配地位。对非银行金融机构、信贷机构等个别行业的市场支配地位的认定标准与一般生产、销售企业不同,由《金融机构(不包括信贷机构)市场支配地位认定条件》、《信贷机构市场支配地位认定条件》等政府命令单独规定。

俄罗斯《保护竞争法》第10条规定了滥用市场支配地位的行为,禁止占支配地位的经营者从事导致或可能导致禁止、限制、消除竞争和(或)损害他方利益的行为(不作为),其中包括:(1)制定、维持商品垄断高价或垄断低价;(2)通过商品退出流通提高商品价格;(3)向客户强加对其不利或与合同标的无关的合同条款;(4)在商品仍有市场需求,或商品价格仍可保障获利的条件下,不合理地减少或停止生产该商品;(5)在有生产和供货条件时,不合理地拒绝或回避与部分采购人(订货人)签署合同;(6)不合理地对同一商品(或服务)制定不同价格;(7)金融机构制定不合理的过高或过低的金融服务价格:(8)制定歧视性经营条件;(9)阻碍其他经营主体进入或退出商品市场;(10)违反法规规定的定价制度;(11)在批发和(或)零售电力市场上操纵价格。值得注意的是,俄罗斯的反垄断法与中国反垄断法不同,并没有对滥用市场支配地位行为设置兜底条款。

三、行政垄断(俄罗斯称为"权力垄断")

在一般国家中,垄断协议尤其是横向垄断协议(卡特尔)案件,是数量最多、对市场危害最大的行为。但俄罗斯市场上,位居数量第一的案件是权力滥用案件。虽然俄罗斯经历二十多年的政府转型和经济转型,行政权力对经济的干预逐渐减少,但这种垄断对市场竞争秩序的危害和消极影响仍然很大。

俄罗斯反垄断法从一开始就非常重视对行政垄断的规制,在现行的《保护竞争法》尤为突出。该法一共十章,其中第三、四、五章都涉及对权力垄断的规制。其中,第三章明确禁止俄罗斯各级政府机关、履行公共服务职能的公共组织以及国家预算外基金和俄罗斯联邦中央银行从事限制竞争的行为;第四章规定了对招投标活动、选择金融机构和关于国家所有制和地方自治体所有制资产合同签署权的反垄断要求;第五章规定了提供国家或地方自治体特惠。

俄罗斯《保护竞争法》对权力垄断的认定标准,既包括实质性限制竞争及侵害经营者利益,也包括存在"可能"消除竞争的危险的情况,并且权力垄断行为既包括作为,也包括不作为。这样,俄罗斯法中对权力垄断的标准是"作为或不作为"加"造成或可能造成"为联合条件而构成的。"二元双层"标准构成中"可能"的本质意义在于它确立了一种区别于传统事后救济的预防性调整形式。而我国《反垄断法》第五章总体上强调"行为"和"阻碍、排斥或者限制竞争",即属于"作为"加"结果"的"二元单层"标准。另外,"不作为"在我国《反垄断法》第五章滥用行政权力、排除限制竞争中只是针对第34条的"不依法发布信息",而不包括其他行政垄断行为。但是现实中许多行政垄断都是以不作为的形式实施的,如不发放营业执照阻止经营者市场准入。俄罗斯与中国在行政垄断中关于违法主体范围也存在差异。俄罗斯《保护竞争法》将政府预算外基金以及俄罗斯联邦中央银行也纳入行政垄断的违法主体范围,即包括俄罗斯联邦执行权力机关、俄罗斯联邦主体国家权力机关、地方自治机关、其他履行上述机关职能的机关或组织,以及国家预算外基金和俄罗斯联邦中央银行。而我国《反垄断法》规定的行政垄断的违法主体只有两类:行政机关和法律、法规授权的具有管理公共事务职能的组织。

此外,俄罗斯反垄断法还规定了一些特殊类型的行政垄断行为,包括:(1)不公平待遇,即无正当理由给予特别主体以经济上的优惠;(2)职能混同,即权力机关的职能和经济实体的职能合为一体;(3)联合实施的行政垄断行为,即行政主体相互之间、它们与经济实体之间签订导致或可能导致限制、消除竞争或损害经济实体的利益的任何形式的协议或者实行协同行动。

另外应当注意的是,俄罗斯《保护竞争法》关于行政垄断的规制同时针对行为和法规,其具体的表现形式可界定为具体行政垄断行为和抽象行政垄断行为,后者既包括一般行政机关制定的规范性文件,也包括和地方立法机关制定的地方性法规。这样的立法模式是比较清晰和完善的。而我国《反垄断法》第37条规定"行政机关不得滥用行政权力,制定含有排除、限制竞争内容的规定",以此来涵盖所有抽象行政垄断行为,规定过于概括并且缺乏实际可操作性。

四、经营者集中与国家安全审查制度

控制经营者集中制度是反垄断法实体制度的重要内容之一,其目的是要对企图形成或加强潜在的市场支配力进行事前预防和控制,以维护合理的市场结构,防止市场力量的过度集中。从各国反垄断法对经营者集中的控制形式来看,有事前申报审查制和事后监督审查制。目前多数国家反垄断法将事前申报审查与事后监督审查结合起来,这样有利于反垄断执法机关及时、主动地控制经营者集中。

俄罗斯《保护竞争法》第七章规定了对经济集中的国家监督。根据《保护竞争法》的规定,经济集中是指能对市场竞争产生影响的交易和行为。该法中的"经济集中"是指市场集中,可包括生产集中、服务市场集中、销售市场集中、金融市场集中等多个方面。而根据《保护竞争法》规定对"经济集中"的调整范围应当包括:经营者(包括金融机构)的合并;股份(份额)、资产和权利的交易事项;其他能够对经营者施加决定性影响的行为等。

(一)交易前须向反垄断执法机构报批的集中行为

根据俄罗斯《保护竞争法》的规定,在企业并购时,若双方资产总值合计超过30亿卢布,或上一日历年度销售收入合计超过60亿卢布,或其中一方为登记在册的垄断企业、自然垄断企业、占市场支配地位的企业,则需要向反垄断机构进行事先报备。设立企业或金融机构并购时,如果资产负债表资产总值等指标超过规定限额,同样需要进行事先报备。

除企业行为外,部分企业股份、资产和权利的交易也需要事先向反垄断机构报批。

(二)对集团体交易的特殊规定

集团体(группа лиц)是对符合特定条件的一个或数个特征的自然人或法人的总称。俄罗斯《保护竞争法》在第九条对集团体做出了极为细致的规定,从持股比例、注册资本比例、履行管理机构职能、任命董事会成员、自然人及其配偶子女等方面对关联人的情形以列举的形式进行阐述。为了加强对集团体经济集中的监督,俄罗斯《保护竞争法》规定了对于集团体集中交易的事后报备制度,目的是为了弄清股份或资产的真正持有人以及交易的最终受益人。对集团体集中交易的特别规定为,如果交易同时符合三个条件,即:1.交易是在集团体内部各主体间进行;2.集团体总名单在交易前的一个月内已交联邦反垄断机构并进行登记的;3.集团体总名单在交易进行之前没有改变,则集团体应在交易后的45日内向反垄断机构备案。

(三)对外国投资者控制俄战略企业的特殊规定

根据我国《反垄断法》第31条:对外资并购境内企业或者以其他方式参与经营者集中,涉及国家安全的,除依照本法规定进行经营者集中审查外,还应当按照国家有关规定进行国家安全审查。俄罗斯的《外资进入对保障国防和国家安全具有战略意义公司程序法》 [2]也对此作出了类似的规定。所谓具有战略意义的公司,是指在俄罗斯境内注册和从事至少一项对国家安全或国防有战略意义的经济活动的企业,所涉及的行业除了矿产地质勘探研究、核能、武器生产和销售、渔业、宇航业等传统行业,还包括观众和听众人数超过全国人数一半的电视和广播公司、日发行量不少于100万份的印刷媒体、国家垄断资源以及某些特殊的服务业。

根据该法,对于一般的交易而言,如果交易将使外国主体获得直接或间接控制战略公司50%以上表决权股股份的权利,或50%以上的执行机构和(或)管理机构的人员任免权,则该交易需要获得有权机关的预先同意。对具有战略意义并使用联邦级地下资源地段的公司的股份交易的限制则更为严格,对上述比例的限制由50%下降到25%。对此类活动的审批由反垄断机构和俄政府监督外国投资委员会负责。

五、法律责任

俄罗斯《保护竞争法》第八章规定了"违反反垄断法应承担的责任"。该责任既包括行政责任,也包括民事责任和刑事责任。其中,行政责任可能包括给予罚款和取消任职资格等处罚;民事责任主要是指损害赔偿;刑事责任可能包括给予罚金、有期徒刑、禁止从事相关职业或活动的处罚。同时,根据俄罗斯反垄断法规定,垄断行为所涉及的人员和组织被追究责任,并不免除其执行反垄断机构决议和指令的义务,也不免除其向反垄断机构报批或报备的义务,也不免除其按照反垄断法规定采取应当采取的其他实际措施的义务。

与俄罗斯反垄断法律体系相对比,我国《反垄断法》对垄断协议、滥用市场支配地位、经营者集中等垄断行为只规定了民事责任和行政责任,并没有规定刑事责任。仅在刑法典"扰乱市场秩序罪"部分规定了串通投标罪和强迫交易罪两项罪名,没有系统地对垄断行为设定刑事责任,不利于充分发挥反垄断法维护本国市场竞争的作用,应当尽快完善。

文中备注:

[1]《俄罗斯联邦保护竞争法》Федеральный закон от 26 июля 2006 г. N 135-ФЗ"О защите конкуренции"

[2]《外资进入对保障国防和国家安全具有战略意义公司程序法》Федеральный закон от 29 апреля 2008 г. N 57-ФЗ"О порядке осуществления иностранных инвестиций в хозяйственные общества, имеющие стратегическое значение для обеспечения обороны страны и безопасности государства

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Mondaq Free Registration
Gain access to Mondaq global archive of over 375,000 articles covering 200 countries with a personalised News Alert and automatic login on this device.
Mondaq News Alert (some suggested topics and region)
Select Topics
Registration (please scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions