ON THE ANTITRUST COMPLIANCE OF INDUSTRY ASSOCIATIONS  

行业协会反垄断合规研究

作　　者：Lin Xiao 林晓(Southwestern University of Finance and Economics)

机构地区：[1]Southwestern University of Finance and Economics

出　　处：《China Legal Science》2022年第4期115-140,共26页中国法学（英文版）

基　　金：the phased achievement of the Major Research Program of the National Social Science Fund of 2019,entitled Research on the Integration of the Core Values of Chinese Socialism into the Construction of the Rule of Law of Social Organizations and the Industry Regulation System (No. 19VHJ012)。

摘　　要：Industry associations are essential subjects in antitrust compliance mechanisms.Currently,strengthening the implementation of antitrust laws has become a sharp focus in society.An effective compliance mechanism can not only prevent and inhibit the occurrence of anti-competitive behavior,but also help industry associations perform their self-regulatory functions better.However,due to the differences between the external legal environment and internal governance structure,without corresponding modification,corporate compliance mechanisms are prone to generate the chronic problem of textualization when applied to industry associations.After systematically sorting through the barriers for industry associations to achieve antitrust compliance,the key to transforming industry association compliance from’text’to’action’is to create a repetitive game field and reverse the unilateral prisoner’s dilemma.Therefore,it is necessary to build an incentive mechanism that reflects the hierarchical order and optimize the governance structure of industry associations.行业协会是反垄断合规建设的重要主体。在强化反垄断法实施的政策倡导之下,兼具事先预防和抑制违法行为功能的合规机制能够引导行业协会更好发挥自律功能。但是,由于外在法律约束与内在治理结构上的差异,若缺乏因应的制度改进,企业合规机制在引入行业协会时易出现合规文本化的痼疾。以此为逻辑起点,本文在系统梳理行业协会反垄断合规障碍后发现,行业协会由“文本中合规”转向“行动中合规”的关键,在于营造重复博弈场域,扭转合规障碍导致的单边囚徒困境格局。对此,需构建以声誉效应为核心、体现等级次序的激励机制,同时优化机制构造,提升行业协会反垄断合规的专业性和针对性。

关 键 词：反垄断 行业协会 囚徒困境 优化机制 重复博弈 声誉效应 治理结构 法律约束 

分 类 号：D922.294[政治法律—经济法学]