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企业合规治理体系的建设是解决反垄断领域传统行政执法困境的有效路径。平台经济反垄断领域的传统执法面临垄断行为识别难度高、执法资源有限等难题,造成实践中执法效能低下。对此,以行政和解的方式督促企业建立合规计划从而实现反垄断合规,能够有效解决上述问题,有利于在监管者与被监管者之间形成良性的合作关系。服务与合作的现代行政法理念,以及行政规制中的自我规制理论与合作治理模式是平台经济反垄断执法中引入企业合规治理的正当性基础。在我国平台经济反垄断合规治理的本土化探索过程中,立法思路的转变与个别行政执法领域的制度突破已经为反垄断合规治理做好了立法准备,但合规治理效果的充分实现,还需要在增强制度激励、确立合规治理的效果保障机制及建立有效的外部监督审查方式等多个层面作出努力。
Abstract:Creative achievement and innovative value of the Chinese style road of modernization Kou Meiqi Shang Zhixiao 22 The Communist Party of China united and led the Chinese people to explore and create a Chinese style road of modernization in line with China's national conditions and people's will through long-term and unremitting efforts.The Chinese style road of modernization has made remarkable creative achievements in the fields of material civilization, political civilization, spiritual civilization, social civilization and ecological civilization.This road adheres to the combination of the basic principles of Marxism with China's specific reality, adheres to the comprehensive leadership of the Communist Party of China, gives full play to the advantages of the socialist system with Chinese characteristics, adheres to the purpose and concept of taking the people as the center, and has accumulated precious successful experience in modernization.It not only transcends the Western model of modernization, creates a new form of human civilization, but also contributes Chinese wisdom and China's plan to the modernization of developing countries, builds consensus on the value of a community with a shared future for mankind, and makes contributions to the liberation and development of mankind.The relationship between Lu Xun's transcription and collation of Travels of Fa-hsian and his academic research and ideological development Huang Qiaosheng 31 Lu Xun's transcription and collation of the Travels of Fa-hsian(Records of the Buddhistic Kingdoms) in 1916 was a spiritual encounter with Fa-hsian, the Buddhist monk of Jin Dynasty, whose activities of dharma-seeking and translating were a feat of active cultural “bringing-in” in Chinese history.Lu Xun's career in translation and academic research is an inheritance and development of Fa-hsian's “bringing-in” spirit, and his transcription and collation of the Travels of Fa-hsian is not only closely related to his Buddhism studies, but also related to his studies on the history of Chinese novel.It is a symbol that he interrupted Buddhist studies and adhered to his academic research.It was not only a summary of his years-long study of Buddhist scriptures, but also a renewed resolution to explore his spiritual world by staying with cultural and academic career.Fa-hsian's dharma-seeking spirit had a certain influence on Lu Xun's Buddhism study and ideological development, and provided a model to his Buddhism research and cultural aspirations.The communication ecology and strategy of Chinese TV series from the perspective of competition and cooperation between TV stations and the Internet Fan Zhizhong Qiu Huang 64 With the development of Internet media technology, the ecology of TV series in China has undergone great changes.“Watching big-budget TV series on CCTV” strategy and the “co-broadcasting” strategy by some top-ranking satellite TV channels have redefined the relationship between TV series and TV stations.The controversy caused by the “Theater-style operation” strategy and the “VOD in advance” model reflects the increasingly fierce competition between TV stations and the Internet.The combination and separation of “drama sense” and “network sense” are shaping the aesthetic habits and watching behaviors of the young generation of the Chinese TV audience.The role and path of the platformization of county-level convergence media in promoting the modernization of grassroots governance Zhong Ying Zhu Xue 73 The modernization of grassroots governance includes five dimensions: diversification of collaborative subjects, systematization of governance foundation, refinement of governance mode, networking of governance structure and intellectualization of governance technology.The platformization of county-level convergence media has continuously improved the modernization level of grass-roots governance through the mediation role, such as the construction of “multi-sided market ”,the optimization of grass-roots governance mechanism and the promotion of function innovation.On this foundation, as the main body and tool of grass-roots governance, county-level convergence media still need to accelerate the construction of social relations production connected by the platform, the production and flow of elements within the platform and mechanism guarantee in the process of grass-roots governance.Dual alienation of consumer society and its criticism——Baudrillard's dual interpretation of The University Student of Prague Kong Ming'an Shi Liyuan 89 In the appendix of Consumer Society,Baudrillard made two interpretations of the film University Student of Prague: one is to interpret it with the traditional alienation theory.Its theoretical premise is the identity of a priori subject.The transaction between university student and the devil leads to the separation of his mirror image from himself, and finally returns to his own identity.It is a classic alienation story, which reflects the idealistic color of the traditional alienation theory. The other is the interpretation of contemporary alienation, which cancels the transcendental subject with the same essence, cancels the myth of agreement with the devil, and ends the tragedy of people losing their essence and the traditional alienation mode of realizing the same essence through confrontation.In contemporary alienation, there is no transcendental subject outside the symbolic structure.As an element in the symbolic system, he directly lies in the arrangement of the system, in which he constructs himself and his relationship with others and society.Baudrillard's early view full of structuralism is undoubtedly influenced by Saussure, Bart and Foucault, but Baudrillard is more radical and pessimistic.In his view, the consumer society is a more thorough and comprehensive alienation structure, which cannot be surpassed.Analysis on the logic, mechanism and problems of the digitalization of performing arts Lin Fanjun Zhao Yanxi 113 With the wide application of the new generation of information and communication technology in all fields of society, the performing arts have entered a new stage of digital development.Digital technologies have made performing arts more digital and intelligent, giving birth to online theater. Online performing arts break through the physical boundaries of theater, change the production and management mode of performing arts and construct the digital performing arts ecology.The digitalization of the performing arts, which is driven by culture and economy and associated with a series of practical and theoretical problems, presents a logical process from production to ecological transformation.To solve these problems, the performing arts should scientifically construct the digital performing arts ecology from different dimensions with systematic thinking.Relevant research should be promoted from multiple perspectives of science and technology, art, communication, industry and management under the idea of interdisciplinary integration, and explores new academic growth points and disciplinary innovation points so as to realize theoretical deepening and research paradigm innovation.Judgment review and functional orientation of the legislative purpose clause in the Civil Code Ran Keping Tan Zuocai 158 The legislative purpose clause is an important creation of China's legislative system.The theoretical care of the legislative purpose clause in the Civil Code does not match the current situation of its judicial application.Empirical research shows that there are some problems in the judicial application of the legislative purpose clause of the civil code, such as generalization of function, misuse as the basis of judgment, formalism citation and so on.In the final analysis, this lies in the dislocation of the function of the legislative purpose clause of the civil code, including the unclear relationship between the legislative purpose clause and the basic principles, and the unclear function of the two specific contents of “promoting the socialist core values” and “protecting the legitimate rights and interests of civil subjects” in the legislative purpose clause.Through the basic principles, the function of the legislative purpose clause in practice can be realized, and the legislative purpose clause is not the basis for interpreting and reasoning by invoking the socialist core values.Therefore, under the system of the Civil Code,the function of the legislative purpose clause should return to the legislative activity itself, which can be reshaped into two functions, firstly, to review the two sources of law of custom and “rules” established according to basic principles; secondly, to play the role of public law referral.
①孙晋:《数字平台的反垄断监管》,《中国社会科学》,2021年第5期。
②李玲,黄莉玲等:《监管改写互联网规则各国争夺数据治理话语权》,《南方都市报》,2021年12月18日;黄莉玲,李玲,黄慧诗:《市场竞争失序产生垄断要大力监管》,《南方都市报》,2020年12月23日。
③2021年4月10日,国家市场监管总局对阿里巴巴集团依法作出行政处罚决定,责令其停止违法行为,并处以总计182.28亿元的罚款。参见《市场监管总局依法对阿里巴巴集团控股有限公司在中国境内网络零售平台服务市场实施“二选一”垄断行为作出行政处罚》,《人民日报》,2021年4月11日。
④2020年12月25日,上海市市场监管局依法作出行政处罚决定,对上海食派士商贸发展有限公司处以其2018年销售额3%的罚款,合计人民币116.86万元。该案尽管罚款金额不高,但执法部门在行政处罚决定书中运用经济学工具与模型所作的假定垄断者测试,引起了舆论的广泛关注与好评。参见《市场监管总局发布上海食派士商贸发展有限公司滥用市场支配地位行政处罚决定书》,国家市场监督管理总局网站,https://www.samr.gov.cn/fldj/tzgg/xzcf/202104/t20210412_327737.html,2021年9月14日。
(1)陈兵:《我国反垄断执法十年回顾与展望——以规制滥用市场支配地位案件为例的解说》,《学术论坛》,2018年第6期。
(2)陈瑞华:《企业合规基本理论》,北京:法律出版社,2021年版,第189页。
(3)例如,证监会针对证券期货领域的违法行为推出的行政和解制度,可以视为我国行政执法领域实行合规治理的较早雏形。参见《行政和解试点实施办法》(中国证券监督管理委员会令第114号)。
(4)张志安,李辉:《互联网平台反垄断的全球比较及其中国治理路径》,《新闻与写作》,2021年第2期。
(5)孙晋:《数字平台垄断与数字竞争规则的建构》,《法律科学》,2021年第4期。
(6)王先林,方翔:《平台经济领域反垄断的趋势、挑战与应对》,《山东大学学报》(哲学社会科学版),2021年第2期。
(7)焦海涛:《反垄断法实施中的承诺制度》,北京:法律出版社,2017年版,第67页。
(8)阿里巴巴集团因实施“二选一”垄断行为被行政处罚一案,市场监管总局成立专案组,前期开展大量工作,在对集团进行现场检查和对相关人员调查询问基础之上,对其他竞争性平台及商家进行广泛调查取证,对相关数据资料进行深入核查和大数据分析,组织专家反复深入开展案件分析论证。参见《市场监管总局依法对阿里巴巴集团控股有限公司在中国境内网络零售平台服务市场实施“二选一”垄断行为作出行政处罚》,《人民日报》,2021年4月11日。欧盟指控谷歌“滥用市场支配地位”案中,由于操纵搜索引擎算法具有很高的技术性和隐蔽性,欧盟在长达七年多的调查中共分析了超过17亿条搜索结果才得出谷歌滥用市场支配地位的结论。参见:邓志松,戴健民:《数字经济的垄断与竞争:兼评欧盟谷歌反垄断案》,《竞争政策研究》,2017年第5期。
(9)朱静洁:《互联网企业滥用相对优势地位行为的法律规制研究》,《重庆邮电大学学报》(社会科学版),2018年第1期。
(10)焦海涛:《反垄断法承诺制度的功能解释——从我国实践案例切入》,《财经法学》,2016年第6期。
(11)[美]理查德·A.波斯纳:《反托拉斯法》(第2版),孙秋宁译,北京:中国政法大学出版社,2003年版,第324页。
(12)《市场监管总局反垄断局主要负责同志接受美国律师协会反垄断在线期刊The Antitrust Source专访》,国家市场监督管理总局网站,https://www.samr.gov.cn/xw/zj/202107/P020210707589294907161.pdf,2021年9月14日。
(13)王中美:《互联网反垄断的难题及其解决》,上海:上海社会科学院出版社,2019年版,第104页。
(14)参见沪市监反垄处[2020]06201901001号。
(15)焦海涛:《反垄断法实施中的承诺制度》,北京:法律出版社,2017年版,第77页。
(16)陈瑞华:《论企业合规的性质》,《浙江工商大学学报》,2021年第1期。
(17)合规治理中的行政和解协议,是指行政机关在行政制裁程序中,与配合调查、主动进行自我披露或者建立合规计划的涉案企业所达成的有关实施宽大行政处罚的协议。参见陈瑞华:《企业合规基本理论》,北京:法律出版社,2021年版,第194页。
(18)陈瑞华:《企业合规的基本问题》,《中国法律评论》,2020年第1期。
(19)Wouter P.J.Wils,“Settlements of EU Antitrust Investigations:Commitment Decisions Under Article 9 of Regulation No1/2003”,World Competition:Law and Economics Review,VoL.29,No.3,September 2006,pp.345-366.
(20)陈瑞华:《论企业合规的基本价值》,《法学论坛》,2021年第6期。
(21)马明亮:《作为犯罪治理方式的企业合规》,《政法论坛》,2020年第3期。
(22)肖钢:《积极探索监管执法的行政和解新模式》,《行政管理改革》,2014年第1期。
(23)张文显:《法治与国家治理现代化》,《中国法学》,2014年第4期。
(24)习近平:《在党的十八届五中全会第二次全体会议上的讲话(节选)》,《求是》,2016年第1期。
(25)⑤叶必丰:《行政法的人文精神》,北京:北京大学出版社,2005年版,第134页,第176页。
(26)[德]巴杜拉:《在自由法治国与社会法治国中的行政法》,转引自陈新民:《公法学札记》,上海:法律出版社,2010年版,第83页。
(27)叶必丰:《现代行政行为的理念》,《法律科学》,1999年第6期。
(28)叶必丰:《行政行为原理》,北京:商务印书馆,2019年版,第20页。
(29)[美]W.考夫曼:《存在主义》,陈鼓应等译,北京:商务印书馆,1987年版,第150页。
(30)许延东:《行政契约理论在反垄断承诺制度中的展开》,《重庆交通大学学报》(社科版),2012年第4期。
(31)施建辉:《行政执法中的协商与和解》,《行政法学研究》,2006年第3期。
(32)杨解君:《中国行政法变革之道——契约理念的确立及其展开》,北京:清华大学出版社,2011年版,第332页。
(33)自我规制是指国家以外主体为履行任务给自己设定的行为标准,既有个体商业利益追求,与此同时也对提升公共利益有所贡献。参见高秦伟:《社会自我规制与行政法的任务》,《中国法学》,2015年第5期。
(34)郑少华:《简论社会自我管制》,《政治与法律》,2008年第3期。
(35)李洪雷:《论互联网的规制体制——在政府规制与自我规制之间》,《环球法律评论》,2014年第1期。
(36)杨志强,何立胜:《自我规制理论研究评介》,《外国经济与管理》,2007年第8期。
(37)高秦伟:《社会自我规制与行政法的任务》,《中国法学》,2015年第5期。
(38)王中美:《互联网反垄断的难题及其解决》,上海:上海社会科学院出版社,2019年版,第215页。
(39)陈瑞华:《企业合规制度的三个维度——比较法视野下的分析》,《比较法研究》,2019年第3期。
(40)《国务院关于进一步贯彻实施<中华人民共和国行政处罚法>的通知》(国发[2021]26号),2021年12月8日发布。
(41)参见《中华人民共和国反不正当竞争法》第25条。
(42)陈瑞华:《论企业合规在行政监管机制中的地位》,《上海政法学院学报》(法治论丛),2021年第6期。
(43)自2020年3月起,最高检在上海、江苏、山东、广东的6家基层检察院开展了试点。2021年3月又扩大了试点范围,在北京、湖北、福建、浙江等10个省份开展试点,各省级检察院可根据本地情况,自行确定1至2个设区的市级检察院及其所辖基层院作为试点单位。参见《最高检启动第二期企业合规改革试点》,《人民日报》,2021年4月9日,第10版。
(44)李玉华:《有效刑事合规的基本标准》,《中国刑事法杂志》,2021年第1期。
(45)陈瑞华:《论企业合规的中国化问题》,《法律科学》,2020年第3期。
(46)参见《市场监督管理严重违法失信名单管理办法》,第9条。
(47)信用在社会生产、生活中承载着重要的名誉价值和经济价值。在一些社会化程度较高、对信用的依赖程度较高的领域,名誉受损将会在很大程度上影响其活动。例如,食品药品以及金融领域,企业后续融资贷款将受到巨大阻力。参见张晓莹:《行政处罚视域下的失信惩戒规制》,《行政法学研究》,2019年第5期。
(48)万方:《企业合规刑事化的发展及启示》,《中国刑事法杂志》,2019年第2期。
(49)肖沛权:《企业合规不起诉制度的实践流变、价值及其构建》,《山西大学学报》(哲学社会科学版),2021年第5期。
(50)陈瑞华:《行政执法和解与企业合规》,《中国律师》,2020年第6期。
(51)喻玲:《企业反垄断合规制度的建立路径》,《社会科学》,2015年第5期。
(52)Wouter P.J.Wils,“Settlements of EU Antitrust Investigations:Commitment Decisions Under Article 9 of Regulation No.1/2003”,World Competition:Law and Economics Review,VoL.29,No.3,September 2006,pp.345-366.
(53)参见《关于建立涉案企业合规第三方监督评估机制的指导意见(试行)》第10-12条,最高人民检察院网上发布厅,https://www.spp.gov.cn/spp/xwfbh/wsfbh/202106/t20210603_520224.shtml,2021年9月14日。
基本信息:
DOI:10.15981/j.cnki.dongyueluncong.2022.04.021
中图分类号:D922.294
引用信息:
[1]王诚,魏雅雪.企业合规治理:平台经济反垄断行政执法新视角[J].东岳论丛,2022,43(04):181-190.DOI:10.15981/j.cnki.dongyueluncong.2022.04.021.
基金信息:
教育部哲学社会科学研究重大课题攻关项目“全面依法治国领域下司法行政职能定位及作用发挥问题研究”(项目编号:20JZD021)
2022-04-28
2022-04-28
2022-04-28
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