第三方举报、行业协会与垄断协议稳定性——基于案件卷宗数据的分析

《财经研究》 2022年48卷第6期 页码：155 - 169  online：2022年6月6日

第三方举报、行业协会与垄断协议稳定性——基于案件卷宗数据的分析

External Whistleblowing, Industry Associations and Stability of Monopoly Agreements: A Research Based on Case File Data

作者（中）：陈林, 张涛, 刘振鹏

作者（英）：Chen Lin, Zhang Tao, Liu Zhenpeng

作者单位：1.暨南大学 产业经济研究院, 广东 广州 510632

摘要：党的十九届五中全会提出要“加强和改进反垄断和反不正当竞争执法”，而垄断协议是当前较常见的垄断形式，对其进行研究具有显著的学术价值。实践中，第三方举报与行业协会可能会强化反垄断执法的靶向性，从而影响垄断协议的形成、持续与消失。因此，文章在理论分析基础上，基于2008—2021年中国横向垄断协议案件卷宗的微观数据，运用生存分析法检验反垄断执法中第三方举报与行业协会对垄断协议稳定性的影响。结果表明，第三方举报和行业协会的参与显著降低了垄断协议的稳定性，是反垄断执法的有效途径。进一步的分析表明，只有直接举报可以显著降低垄断协议稳定性；行业协会作为组织者和协调者均会削弱垄断协议稳定性。同时，成员越多，垄断协议越可能需要行业协会的参与。文章的研究结论为针对横向垄断协议的反垄断执法提供了直接的经验证据，同时对深化行业协会改革具有参考意义。

关键词：反垄断执法; 第三方举报; 行业协会; 垄断协议稳定性; 生存分析

Summary: Most of the studies have analyzed the impact of external whistleblowing and industry associations on the stability of horizontal agreements from the theoretical level, and believe that the external whistleblowing has an adverse impact on the stability of monopoly agreements because of high law enforcement efficiency brought by the efficient information mechanism. However, the effect of industry associations is uncertain, as industry associations may promote the coordination among member companies, or may become the assistants and information recorders of anti-monopoly law enforcement.Based on the micro data of monopoly agreement case files in China from 2008 to 2021, this paper examines the impact of external whistleblowing and industry associations on the stability of monopoly agreements by using the survival analysis method. We find that: (1) The external whistleblowing has a negative impact on the stability of monopoly agreements whether the concept of external whistleblowing is in a narrow way or a broad way. (2) Further analysis shows that only the impact of direct external whistleblowing is significant. (3) Industry associations can also reduce the stability of monopoly agreements. (4) The result between industry associations with different roles is consistent, which means that as both the organizer and the coordinator, industry associations will shorten the duration of monopoly agreements by affecting the survival risk. (5) The increase of member companies will improve the participation probability of industry associations.The contribution of this paper is mainly reflected in the following aspects: Firstly, the important roles of external whistleblowing and industry associations are examined from the perspective of anti-monopoly law enforcement. Secondly, the objects of this study are horizontal agreements reviewed by China’s anti-monopoly authorities from the implementation date of the Anti-Monopoly Law in 2008 to July 2021, which are in line with China’s reality and have strong practical significance. Finally, most of the current studies on the factors of the stability of horizontal agreements are concentrated in the theoretical level while the empirical ones are very limited. This paper is an early attempt to develop the quantitative study of monopoly agreements in China, which has enriched the empirical research on the stability of monopoly agreements.

Key words: anti-monopoly enforcement; external whistleblowing; industry associations; stability of monopoly agreements; survival analysis

DOI：10.16538/j.cnki.jfe.20220113.303

收稿日期：2021-8-13

基金项目：国家自然科学基金面上项目（71773039）；国家社会科学基金重点项目（20AZD050）；广东省哲学社会科学“十四五”规划重大基础理论研究专项（GD21ZDZYJ01）；广东省自然科学基金面上项目（2022A1515011107）

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