This dissertation is about an open question of cartel ratifiable conditions. My research goal is to establish a mechanism which is able to detect and explain cartels' activities. My research question in the second chapter is whether or not an efficient cartel mechanism is ratifiable in the first-price sealed-bid auction format with participation costs. R. McAfee and J. McMillan study the coordinated bidding strategies in a strong cartel, which is incentive-compatible and efficient. This chapter investigates this efficient collusive mechanism with two important conditions (1) bidders can update their information through a cartel's prior auction and (2) they have to pay participation costs to participate in seller's auction. The concept of ratifiability, introduced by P. Cramton and T. Palfrey, is applied to explore the first-price sealedbid auction with participation costs. I discovered that the efficient cartel mechanism, such as pre-auction knockout, would be ratified when either of the two conditions exists. However, this mechanism is no longer ratifiable when both conditions exist. The bidder with the highest value in the cartel would have incentive to betray, since doing so sends a credible signal of high value. Hence, the other bidders will be discouraged from participating in the seller's auction and the highest-value bidder maximizes his revenue. In the third chapter, I studied the seller's strategy when she faces a cartel in an auction mechanism. An active seller's optimal strategy is to raise the reserve price to a level that is higher than her own valuation. The collusive mechanism is sustainable even though its revenue is extracted by the higher reserve price. If the seller is authorized to change the auction mechanism, she can receive the expected payoff, prevent the formation of a ring and keep the auction efficient. Further, I presented two methods that could deter a cartel under specific conditions. One is the residual claimants method as proposed by Y. Che and J. Kim and the other is to set a positive participation cost as outlined in the first chapter. The residual claimants method can inhibit a ring in many cases, but it may have some trouble in preventing an efficient cartel mechanism when there is only one participant in the seller's auction. In the fourth chapter, I investigated how to achieve external efficiency in a repeated game. In particular, I looked into the allocation of the budgeted that allows an authority, such as the government, to differentiate collusive behavior and to expose agents to external threats. A threshold level of the budget payment is found in an incentive compatible collusive mechanism for which the government can prevent an agent from participating. In a two-stage model, I showed that if the government can boost exemption or have more budget to subsidize agents, it is less likely that a ring will be formed.

O presente trabalho pretende estudar o cartel, órgão de base da Escola lacaniana, fora de uma instituição psicanalítica, comparando seu funcionamento às demais formações de grupos existentes, e se destina aos educadores e aos psicanalistas. O tema grupo é investigado nas obras de Freud, Anzieu e outros estudiosos da psicanálise. A primeira parte é dedicada ao estudo do conceito de grupo e das diversas formações coletivas espontâneas existentes, a partir da visão psicanalítica. A segunda parte analisa as propostas de grupos formados para a execução de um trabalho, desenvolvidas por Pichon, Bion e Lacan. O funcionamento, o papel da autoridade e os objetivos desses grupos - grupos operativos, grupos de suposição básica, de trabalho e o cartel - são investigados nos textos dos próprios autores. A terceira parte é dedicada à reflexão sobre a realização de um trabalho com cartéis, em um centro educacional na cidade de São Paulo, Brasil, com a participação de jovens entre 11 a 14 anos. Nela são realizadas algumas reflexões sobre o funcionamento desse dispositivo e a comparação com as outras formas de grupo estudadas. Finalmente, procede-se à reflexão da conseqüência deste estudo para a educação e a psicanálise, concluindo-se que esse estudo é relevante para educadores e psicanalistas que trabalham nos grupos para transmitirem as especificidades dos seus campos. / The purpose of this thesis is to study the cartel, the basic working unit of the Lacanian School, outside a psychoanalytical institution, and compare its mechanisms to those of the other existing group formations. This study is aimed primarily at educators and psychoanalysts. The group theme is investigated in the works of Freud, Anzieu and other psychoanalysis experts. The first section is dedicated to the study of the concept of group and of the several spontaneous collective formations from the psychoanalytical viewpoint. The second section analyzes the proposals developed by Pichon, Bion and Lacan involving groups formed for the production of a piece of work. The operation, the role of authority and the goals of such groups operational groups, basic supposition groups, work groups and the cartel are reviewed through the texts written by the authors themselves. The third section is dedicated to a reflection on the case study using the cartel, which was carried out in an educational center in São Paulo, Brazil, with the cooperation of teenagers aging 11 to 14. There are also some thoughts on the operation of such device and a comparison with the other group forms studied. Finally, a reflection follows on the consequence of the present study for education and psychoanalysis to conclude that such study is relevant for educators and psychoanalysts who use groups to impart the specific skills and knowledge of their own fields.

O presente trabalho pretende estudar o cartel, órgão de base da Escola lacaniana, fora de uma instituição psicanalítica, comparando seu funcionamento às demais formações de grupos existentes, e se destina aos educadores e aos psicanalistas. O tema grupo é investigado nas obras de Freud, Anzieu e outros estudiosos da psicanálise. A primeira parte é dedicada ao estudo do conceito de grupo e das diversas formações coletivas espontâneas existentes, a partir da visão psicanalítica. A segunda parte analisa as propostas de grupos formados para a execução de um trabalho, desenvolvidas por Pichon, Bion e Lacan. O funcionamento, o papel da autoridade e os objetivos desses grupos - grupos operativos, grupos de suposição básica, de trabalho e o cartel - são investigados nos textos dos próprios autores. A terceira parte é dedicada à reflexão sobre a realização de um trabalho com cartéis, em um centro educacional na cidade de São Paulo, Brasil, com a participação de jovens entre 11 a 14 anos. Nela são realizadas algumas reflexões sobre o funcionamento desse dispositivo e a comparação com as outras formas de grupo estudadas. Finalmente, procede-se à reflexão da conseqüência deste estudo para a educação e a psicanálise, concluindo-se que esse estudo é relevante para educadores e psicanalistas que trabalham nos grupos para transmitirem as especificidades dos seus campos. / The purpose of this thesis is to study the cartel, the basic working unit of the Lacanian School, outside a psychoanalytical institution, and compare its mechanisms to those of the other existing group formations. This study is aimed primarily at educators and psychoanalysts. The group theme is investigated in the works of Freud, Anzieu and other psychoanalysis experts. The first section is dedicated to the study of the concept of group and of the several spontaneous collective formations from the psychoanalytical viewpoint. The second section analyzes the proposals developed by Pichon, Bion and Lacan involving groups formed for the production of a piece of work. The operation, the role of authority and the goals of such groups operational groups, basic supposition groups, work groups and the cartel are reviewed through the texts written by the authors themselves. The third section is dedicated to a reflection on the case study using the cartel, which was carried out in an educational center in São Paulo, Brazil, with the cooperation of teenagers aging 11 to 14. There are also some thoughts on the operation of such device and a comparison with the other group forms studied. Finally, a reflection follows on the consequence of the present study for education and psychoanalysis to conclude that such study is relevant for educators and psychoanalysts who use groups to impart the specific skills and knowledge of their own fields.

KEY WORDS: leniency, hard-core cartel, whistleblowing, competition The EU/US Leniency policy is a thesis collecting and classifying huge amount of information and data from several legislations in relation to a relatively new phenomenon of leniency policy. Its additional value are not only commentaries on the de lege lata (currently existing) legislation, but mainly de lege ferandae presumptions emphasizing the trends which could be anticipated in the leniency policies in the future. Processing world data would not be in my capacities and therefore I decided to work with the most representative legislations - those of the European Union and of the United States, a minor insight is also given in case of Great Britain, Germany and France. The thesis helps the reader get familiar with the basic leniency concepts (terminology, principles, history) and subsequently starts explaining the core of the laws from the substantial as well as procedural point of view. Chapters enabling comparison of European and American law firstly set both legislative frameworks and then provide a comparative chapter at the end dealing with weaknesses and strengths of each program. The historical part deals with the circumstances which led to passing of the legislative predecessors of the current laws but also carefully...

The Commercial Times reported on 9th December, 2010 that EU imposed a fine of 26 billion on five TFT-LCD firms. Also it was covered that during the enforcement of Antitrust, Samsung was indemnified against punishment since it acted as an informer, while Chimei Innolux incurred the heaviest fine of £á0.3 billion. Samsung is not only playing the role of a supplier to TFT-LCD firms in Taiwan, it is also a competitor and an important customer of them. At the time when 911 terrorist attacks happened in USA, global economy had entered a deep recession. Taiwan¡¦s TFT-LCD industry formed an alliance with Samsung after experiencing a deficit for three consecutive quarters. However, when investigation of Anti-dumping was undergoing, Samsung betrayed its promises. By studying this incident, the co-opetition relationship between Samsung and the TFT-LCD industry in Taiwan was being explored. Besides, how and what the industry should learn from this lesson is reviewed from the application of co-opetition strategies as well as the viewpoint of Game Theory.

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Submitted by Luiz Felipe Barbosa (luiz.fbabreu2@ufpe.br) on 2015-03-03T13:38:56Z No. of bitstreams: 2 Dissertação Final de Bruno Lira.pdf: 646725 bytes, checksum: 4c15d43634e6d36e045e3f39b6437ed7 (MD5) license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) / Made available in DSpace on 2015-03-03T13:38:56Z (GMT). No. of bitstreams: 2 Dissertação Final de Bruno Lira.pdf: 646725 bytes, checksum: 4c15d43634e6d36e045e3f39b6437ed7 (MD5) license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) Previous issue date: 2012-03-09 / O objeto desta dissertação é o estudo jurídico do fenômeno da cartelização nos processo licitatórios. Percebe-se que o uso eficiente dos recursos públicos vem ganhando maiores atenções por parte da sociedade. A eficiência do gasto público pressupõe que numa aquisição de bens/serviços se esteja pagando o valor real da mercadoria. Não obstante, uma situação comum na Administração Pública é a formação de cartel/conluio para a prática de sobrepreço nas licitações, principalmente, quando se refere a um mercado com poucos fornecedores, onde a facilidade de se coordenar um acordo para a formação de cartel é maior. Partindo-se da análise da literatura específica, a dissertação traz uma apresentação do atual estado da arte que a doutrina prega para a caracterização de tal prática e os respectivos mecanismos de combate à cartelização nas licitações. Buscando contribuir na prevenção desta conduta irregular, aplicou-se os conhecimentos gerados pela teoria dos leilões para analisar as normas do setor regulado das compras públicas, identificando-se os seus pontos fortes e fracos nesta empreitada. Com isso, abre-se uma nova forma de prevenção a atuação dos cartéis, através da possibilidade de construção de um modelo de licitação que proveja um menor incentivo para a atuação dos cartéis.

Exemptions from cartel prohibition English summary On 16 of December 2002 the European Commission adopted a Regulation Nr. 1/2003 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty which was revolutionary as it has totally changed the way of obtaining a legal exemption from a prohibition of cartel agreements contained in an article 81 section 1 of the EC Treaty. Before the Regulation the Commission granted its approval for exempting certain types of agreements which fulfilled the conditions under the article 81 section 3 of the EC Treaty, i.e. if they contribute to improving the production or distribution of goods or to promoting technical or economic progress, while allowing consumers a fair share of the resulting benefit, and which does not impose on the undertakings concerned restrictions which are not indispensable to the attainment of these objectives and afford such undertakings the possibility of eliminating competition in respect of a substantive part of the products in question. A weak point of such a regulation was that the Commission was permanently overloaded by numerous demands for declaration of inapplicability of a cartel prohibition. Therefore there was strong need to modify the system in order to make the work of the Commission more effective....

The Legal Exceptions from the Cartel Prohibition with Regard to Crisis Cartels English summary The purpose of the thesis is to provide a comprehensive perspective on the issue of the legal exceptions from the cartel prohibition, carry out a detailed analysis of Czech and European material regulation contained in the Article 3 paragraph 4 of the Act No. 143/2001 Coll. on Protection of Competition, as amended and in the Article 101 paragraph 3 of the Treaty on the Functioning of the European Union, focus on the application of the legal exceptions to the crisis cartels from the practical point of view, particularly on their usage by undertakings and on the approach to the crisis cartels by national competition authorities, European Commission and competition authorities from other selected countries outside Europe. The thesis is composed of four parts. The first part deals with the basic characteristics of the cartel, describes the concept of cartel, European and Czech legislation regarding cartels and competition in general and divides the cartels according to their form and relationship of participants. The second part focuses on the prohibition of anticompetitive conduct in the form of cartels, examines the merits of the cartel and highlights the consequences of breaching the prohibition. It is necessary to...

Esta tese buscou como tema de pesquisa a defesa da concorrência no mercado varejista de combustível líquido, cujo enfoque principal foi o desenvolvimento de um filtro georreferenciado, como ferramenta de auxílio na detecção de indícios de cartel, aplicado ao combustível gasolina comum. O problema de práticas anticoncorrencias em mercados que operem sob livre concorrência tem sido discutido ao longo do tempo tanto pela literatura quanto pelos operadores de política antitruste. No Brasil, a defesa da concorrência, no âmbito administrativo, está sob a responsabilidade do Sistema Brasileiro de Defesa da Concorrência – SBDC, o qual utiliza um filtro nas investigações sobre denúncias de cartel no mercado varejista de combustível líquido, através de averiguação preliminar, a fim de identificar indícios de evidências econômicas sobre a prática de cartel. A tese abordou três pontos principais. O primeiro envolveu a formação de uma base de dados, através das averiguações preliminares disponibilizadas pelo SBDC, com o intuito de analisar os critérios que compõem o filtro. Sugere-se que este filtro seja reavaliado, devido à falta de hierarquia entre os critérios que o compõem, bem como a alteração da periodicidade dos dados. O segundo diz respeito à aplicação, com base na Teoria dos Jogos, de um jogo sequencial de interação estratégica entre o revendedor varejista, o consumidor e o SBDC. O resultado do jogo mostrou que o revendedor ficará desmotivado a formar um cartel se a chance de ser pego e punido realmente existir. Por fim, o terceiro, consistiu na inclusão do georreferenciamento aos filtros utilizados na literatura para detectar cartéis. Isso foi realizado através de uma análise comparativa do filtro atual com o filtro georreferenciado para o município de Porto Alegre, durante o período de março de 2007 a março de 2008. Ambos filtros indicaram indício de cartel. No entanto, o filtro georreferenciado mostrou um melhor refinamento sobre o comportamento dos revendedores, ao indicar indício de cartel na área de maior densidade urbana do município, assim como gerar um ranking dos revendedores. / This thesis research the defense of competition among fuel retail market and had like objective the development of georeference screen to be used like aid tool to detect vestige of cartel. The problem of anticompetition practices had been discussed by the time even in literature like the antitruste authorits. In Brazil, Brazilian System of Competition Defense (SBDC) are responsable about defense of competition, in administration ambict, and in initial investigation used a filter to detect vestiges of cartels. This tool search economic evidences to find out cartel. This proposition studied three points. First we organized data basis considering preliminary inquiry made by SBDC to study the rules that form this screen. We suggest that this screen had to be revisal due lack of hierarchy in your rules such as period data. Second we proposed a strategic interaction in sequential game between gasoline retail market, consumer and SBDC, based in Games Theory. The result of this game showed that gasoline retail market will not be motivated to organize cartel if he knows that this pratice could be detected and punished. Finally we included in filter used in literature the georeferencing through comparision among screen actually used and georeference screen applied to Porto Alegre, in period of march 2007 to march 2008. Both indicate vestiges of cartel. Nevertheless, the georeference one showed best refinement about behaviour gasoline retail market to indicate collusion in areas of higher density population in the city just as form a ranking of retailers.