Magister Legum - LLM / South Africa

L’industrie européenne demeure la base du dynamisme économique del’Union. Cependant, on peut difficilement considérer qu’à ce jour l’UE mène unevéritable politique de compétitivité internationale permettant de soutenir son industrie.L’objet de cette thèse est d’évaluer le « manque à gagner » dont souffre l’Union enraison de sa passivité. Le premier chapitre introduit les principes de la politiqueindustrielle et examine les facteurs de blocage et les échecs de l’Union, dans le butd’expliquer l’absence d’une politique industrielle active. Le second chapitre étudie lapolitique de la concurrence ainsi que la politique commerciale, qui semblent avoirconsidérablement limité la mise en place d’une telle politique industrielle au sein del’UE. Le troisième chapitre revient sur le rôle de la politique des clusters sur lacompétitivité des entreprises européennes. Enfin, le dernier chapitre de cette thèses’intéresse au renouveau de la politique industrielle. Après avoir remis en questionl’idée d’un patriotisme industriel européen, l’objectif de ce chapitre est d’étudier lesperspectives d’une stratégie industrielle en soutien à la croissance de long terme, etcelles d’une politique industrielle verte. / While the economic dynamism of the European Union relies on itsindustry, one can hardly consider that the EU is currently pursuing a real internationalcompetitiveness policy to support it. The purpose of this thesis is to assess the shortfallafflicting the EU because of its passive approach. The first chapter of this thesisintroduces the principles of industrial policy and examines a number of factors andfailures impeding its application, to explain the absence of an active industrial policy.The second chapter examines the EU competition policy, as well as its trade policy,which have considerably limited the implementation of such an industrial policywithin the EU. The third chapter describes the role of cluster policy oncompetitiveness of European firms. Finally, the fourth chapter discusses the renewalof industrial policy. After reviewing the hypothesis of a European industrialpatriotism, the purpose of this chapter is to examine the prospects of an industrialstrategy to support long-term growth, and those of a green industrial policy.

In 2020, the corona virus was officially classified as a pandemic. Most countries’ economywas badly affected, and many companies were in need of state aid to survive. However, due to the European single market and its competition policy, the European commission has strict state aid rules. Hence, because of the circumstances, the commission implemented a temporary framework for state aid, which enabled for economic assistance that would normally not be in accordance with the competition policy. Because some countries had expressed concern for more generous state aid rules to threaten the single market, the commission needed to be strategic with their communication, in order for the member states to see it as necessary and legitimate. The aim of this study is to illustrate and analyze how the commission framed the temporary state aid rules to legitimize it. The method of use isframing analysis. The main results are that the two frames the commission used to legitimize the temporary state aid rules were that the crisis needed to be solved mutually, and the fact that it was an economic crisis. In conclusion, the commission framed the temporary state aidrules by alluding to common interests among the member states, such as the importance of European cooperation and the single market. They did this to legitimize the temporary state aid rules.

Les États ouest-africains ont fait de l’intégration économique la voie privilégiée pour relever le défi du développement économique dans un contexte international de plus en plus concurrentiel. Ainsi, par le biais d’organisations régionale et sous régionale, la protection du libre jeu de la concurrence est devenue un enjeu communautaire. L’intégration économique régionale ouest-africaine a donc été saisie par le droit de la concurrence. De ce fait, on assiste à l’émergence de droits régionaux de la concurrence au sein de l’Union économique et monétaire ouest africaine (UEMOA) et de la Communauté économique des États de l’Afrique de l’Ouest (CEDEAO). Chacune de ces organisations a donc mis en place un droit de la concurrence dans son espace économique. Il en résulte, vu la composition de l’UEMOA et de la CEDEAO, que ces droits communautaires ont vocation à s’appliquer aux États membres de l’Union qui font également partie de la Communauté. Cette particularité de la coexistence de ces règles communautaires de la concurrence en Afrique de l’Ouest méritait qu’on s’y attarde afin d’évaluer leur application, d’analyser l’effectivité et l’efficacité de ces droits. Cette étude comparative s’est attachée à mettre en exergue ce que renferment ces droits, à relever leurs spécificités, tout en mettant en lumière leurs insuffisances. Il apparaît nécessaire de repenser, voire de réformer certains aspects de ces droits afin d’améliorer leurs applications, gage d’une meilleure protection de la libre concurrence en Afrique de l’Ouest. / West African states have made economic integration the preferred way to deal with the challenge of economic development in an increasingly competitive international context. Thus, through regional and subregional organizations, the protection of the free movement of competition has become a community issue.West African regional economic integration has therefore been seized by competition law. From this, we note emerging competition rights in the West African Economic and Monetary Union (WAEMU) and the Economic Community of West African States (ECOWAS). Each of these organizations has therefore put in place a competition law in its economic area. As a result, given the composition of UEMOA and ECOWAS, these Community rights are intended to be applied to the Member States of the Union which are also part of the Community. The features of the coexistence of these Community competition law in West Africa deserved to be examined in order to evaluate their application, to analyze the effectiveness and efficiency of these rights. This comparative study intends to highlight the contain of these rights, reveal their specificities, while showing their lacks. It’s necessary to rethink or even reform some aspects of these rights to improve their applications, basis for a better protection of free competition in West Africa.

O objeto da tese de doutorado é a análise da relação entre a defesa da concorrência e a proteção do consumidor, duas políticas públicas que proporcionam benefícios mútuos e devem ser executadas de modo harmônico, havendo substrato normativo e teórico para incluir a preocupação com o bem-estar do consumidor como um dos objetivos da política de defesa da concorrência. No Brasil tal harmonização é uma imposição constitucional, já que a livre concorrência, a repressão ao abuso do poder econômico e a defesa do consumidor são princípios conformadores da ordem econômica. É defendida a utilização de um conceito unificado de consumidor, sendo adotada a teoria finalista, que o define como o destinatário final econômico do bem ou serviço. As duas políticas utilizam diferentes instrumentos e perspectivas na tutela do bem-estar do consumidor, o que fica claro na proteção do direito de escolha. O Código de Defesa do Consumidor oferece a isonomia como remédio para compensar a vulnerabilidade, estabelecendo regras destinadas à uma escolha consciente, sobretudo o direito à informação adequada e veraz. Já as normas de defesa da concorrência resguardam a liberdade preocupando-se em preservar a possibilidade de escolha entre mais de um fornecedor de produtos ou serviços. O exemplo mais contundente dá-se no controle de estruturas: a atuação das autoridades responsáveis pela análise dos atos de concentração é vinculada à preservação do excedente do consumidor e das condições imprescindíveis ao exercício do direito de escolha, sendo vedada a aprovação de fusões que prejudiquem o bemestar do consumidor. No âmbito repressivo a harmonização das duas políticas é intensificada com a colaboração entre as autoridades de defesa da concorrência e de proteção do consumidor para a fiscalização de condutas que configurem, ao mesmo tempo, infrações contra a ordem econômica e práticas abusivas, cuja dupla capitulação não acarreta bis in idem, pois são distintas as esferas jurídicas tuteladas, havendo assim diversidade de fundamentos. É salientada a importância das ações coletivas para reparação de danos causados aos consumidores por infrações contra a ordem econômica e defendida a adoção dos danos multiplicados e a manutenção da destinação dos valores arrecadados por multas a infrações contra a ordem econômica ao Fundo Federal de Direitos Difusos. / The thesis analyzes the relationship between the competition defense and the consumer protection, both public policies that offer mutual benefits and must be carried out in a harmonic way. So, there is a normative and theoretical substratum concerning the consumer welfare as one of the objectives of the antitrust policy. In Brazil such harmonization is imposed by the Constitution, since the free competition, the repression of the abuse of the economic power and the consumer protection are principles that pertain to the constitutional economic order. In this paper consumer is regarded as a unified concept, i.e., the economic final user of goods or services. Both policies use different instruments and perspectives for the protection of the consumer welfare, what is clear in the enforcement of the right of choice. The Consumer Defense Code refers to the isonomy as a remedy to make up for the vulnerability, establishing rules for a conscious choice, especially the right to the proper, true and accurate information. The antitrust rules are concerned with the freedom of choice and the possibilities of option from more than one supplier of products or services. The most outstanding example is related to the merger control: the antitrust authorities are required to guarantee a consumer surplus and the necessary conditions to exercise the right of choice, being totally banned the approval of mergers that may be harmful to the consumer welfare. The harmonization of both policies in the repression scope is intensified with the cooperation between antitrust and consumer protection authorities regarding to the law enforcement against practices that may represent infractions of the competition and of the consumer protection rules, as well. The thesis emphasizes the importance of class actions to repair consumer damages caused by antitrust law violations and defends the adoption of the multiplied damages and the maintenance of the allocation to the Diffuse Rights Federal Fund of amounts raised by fines collected by the Antitrust Authorities.

O objeto da tese de doutorado é a análise da relação entre a defesa da concorrência e a proteção do consumidor, duas políticas públicas que proporcionam benefícios mútuos e devem ser executadas de modo harmônico, havendo substrato normativo e teórico para incluir a preocupação com o bem-estar do consumidor como um dos objetivos da política de defesa da concorrência. No Brasil tal harmonização é uma imposição constitucional, já que a livre concorrência, a repressão ao abuso do poder econômico e a defesa do consumidor são princípios conformadores da ordem econômica. É defendida a utilização de um conceito unificado de consumidor, sendo adotada a teoria finalista, que o define como o destinatário final econômico do bem ou serviço. As duas políticas utilizam diferentes instrumentos e perspectivas na tutela do bem-estar do consumidor, o que fica claro na proteção do direito de escolha. O Código de Defesa do Consumidor oferece a isonomia como remédio para compensar a vulnerabilidade, estabelecendo regras destinadas à uma escolha consciente, sobretudo o direito à informação adequada e veraz. Já as normas de defesa da concorrência resguardam a liberdade preocupando-se em preservar a possibilidade de escolha entre mais de um fornecedor de produtos ou serviços. O exemplo mais contundente dá-se no controle de estruturas: a atuação das autoridades responsáveis pela análise dos atos de concentração é vinculada à preservação do excedente do consumidor e das condições imprescindíveis ao exercício do direito de escolha, sendo vedada a aprovação de fusões que prejudiquem o bemestar do consumidor. No âmbito repressivo a harmonização das duas políticas é intensificada com a colaboração entre as autoridades de defesa da concorrência e de proteção do consumidor para a fiscalização de condutas que configurem, ao mesmo tempo, infrações contra a ordem econômica e práticas abusivas, cuja dupla capitulação não acarreta bis in idem, pois são distintas as esferas jurídicas tuteladas, havendo assim diversidade de fundamentos. É salientada a importância das ações coletivas para reparação de danos causados aos consumidores por infrações contra a ordem econômica e defendida a adoção dos danos multiplicados e a manutenção da destinação dos valores arrecadados por multas a infrações contra a ordem econômica ao Fundo Federal de Direitos Difusos. / The thesis analyzes the relationship between the competition defense and the consumer protection, both public policies that offer mutual benefits and must be carried out in a harmonic way. So, there is a normative and theoretical substratum concerning the consumer welfare as one of the objectives of the antitrust policy. In Brazil such harmonization is imposed by the Constitution, since the free competition, the repression of the abuse of the economic power and the consumer protection are principles that pertain to the constitutional economic order. In this paper consumer is regarded as a unified concept, i.e., the economic final user of goods or services. Both policies use different instruments and perspectives for the protection of the consumer welfare, what is clear in the enforcement of the right of choice. The Consumer Defense Code refers to the isonomy as a remedy to make up for the vulnerability, establishing rules for a conscious choice, especially the right to the proper, true and accurate information. The antitrust rules are concerned with the freedom of choice and the possibilities of option from more than one supplier of products or services. The most outstanding example is related to the merger control: the antitrust authorities are required to guarantee a consumer surplus and the necessary conditions to exercise the right of choice, being totally banned the approval of mergers that may be harmful to the consumer welfare. The harmonization of both policies in the repression scope is intensified with the cooperation between antitrust and consumer protection authorities regarding to the law enforcement against practices that may represent infractions of the competition and of the consumer protection rules, as well. The thesis emphasizes the importance of class actions to repair consumer damages caused by antitrust law violations and defends the adoption of the multiplied damages and the maintenance of the allocation to the Diffuse Rights Federal Fund of amounts raised by fines collected by the Antitrust Authorities.

不論是反全球化或是支持全球化，我們都無法否認，全球化已經是一個現在進行式。另外一個與全球化一樣逐步成長的乃是市場經濟體制，市場經濟體制植基於開放競爭有助於資源合理分配的觀念，而全球化則擴大了資源分配的範圍。然而，全球化和市場經濟體制的發達，貿易壁壘的消除，也帶動跨國界限制競爭活動的發展，反托拉斯不再是單純的國內問題，而是國際問題。 國際反托拉斯所帶來的問題大致可分為下述兩種，一是阻礙國際貿易的發展，二是因為各國不同的反托拉斯標準造成國際緊張以及企業成本。第一類問題可以細分為下述幾種情況：1. 國際卡特爾破壞市場競爭機制以及消費者福祉； 2. 跨國公司在全球濫用獨占力，影響國際競爭秩序和消費者福祉；3. 競爭法的缺乏以及競爭法的不力執行構成市場進入障礙。第二類問題亦可以細分為下屬幾種情況：1. 國際合併的多國標準造成企業的額外成本，不利國際合併之進行，並造成國際緊張；2. 國與國間產業政策以及競爭政策的衝突。 面對上述這些跨國性的反托拉斯問題，各界紛紛提出競爭法調和的呼籲，此議題近來在各國際組織也漸獲重視。事實上為了處理國外限制競爭行為對國內所產生的影響，以保護本國利益，國內法方面已有所謂的「域外適用（extraterritorial application）」對策產生。但是競爭法的域外適用並無法全然解決現時國際限制競爭行為所帶來的問題，反而還帶來了新的問題，並造成國際緊張。為了在國際案件有效執行反托拉斯法，不論是在卡特爾案件或是獨占力濫用案件，各國競爭法主管機關互相合作與協調都是不可或缺的。至於將競爭法提升至國際法層次，避免國家以非關稅措施破壞自由貿易制度，似乎也有需要。 本文目的在於藉著對競爭法調和現況的瞭解和其成就之分析來尋求目前全球化時代，貿易自由化時代下跨國限制競爭問題的解決之道。 全文一共分為六章，第一章為緒論，為本論文做出開端，闡明全球化時代國際競爭秩序的問題，並提出研究範圍與目的。 第二章研究關於國際競爭秩序的雙邊條約，著眼於美國和歐盟，澳洲和紐西蘭，以及我國和世界各國所訂立的條約。討論範圍為該些雙邊關係所建立之合作內容，其具體成效，成功失敗之因素，以及可供世界各國借鏡之處。台灣部分則著眼於我國目前現狀之檢討，和未來走向之研究。 第三章為從事競爭法調和的區域性國際組織，研究範圍包括歐盟、APEC以及NAFTA。其中APEC所從事的活動較近於政策性的調和，屬於競爭政策的宣導；NAFTA則進一步具有競爭法的實體規範；歐盟不但具有實體規範，並具有一套全球獨步的競爭法執行架構。 第四章為國際組織，將討論UN, WTO和OECD在國際競爭法的發展。UN基本上雖為政治組織，但是對於競爭議題也相當重視；WTO部分則將討論目前競爭議題在WTO體系的進展，並進一步討論WTO進行國際競爭法調和工作的可行性和不可行性；OECD對於競爭議題也一直相當重視，本文將探討OECD在競爭議題方面的研究成果。 第五章為全球性的競爭法規範，討論的範圍有UNCTAD所提出的「管制限制性商業行為的一套多邊協議的公平原則和規則（Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices）」以及DIAC。這兩套全球性的競爭法不但都具有實體規範也都提出一套制度性規範，雖然兩者都未能成為具有拘束力的國際競爭法，但是其所提出的實體規範內容和架構設計仍值得我們做進一步的研究。「管制限制性商業行為的一套多邊協議的公平原則和規則」本身是以聯大決議的形式呈現，因此在某一角度而言，「管制限制性商業行為的一套多邊協議的公平原則和規則」並未失敗，然而DIAC原本乃是預定成為WTO的附件之一，唯最後這樣的理想並未實現，因此我們有必要去問，DIAC的失敗因素為何？是基於其實體內容的設計問題，或是制度面的設計問題？或者是因為其他的外在因素？ 最後，在第六章的結論，本文將試圖分析各種競爭法調和方式的利弊得失，並且提出建議。 / Some people oppose globalization, while others support globalization. However, it is undeniable that globalization is an on-going trend. Another on-going trend is market-oriented economy structure. The structure of market-oriented economy bases on the theory that competition contributes to reasonable allocation of resource. On the other hand, globalization expands the scope of the allocation of resources. However, the proliferation of globalization and the structure of market-oriented economy and the elimination of trade barriers also promote the development of transnational anticompetitive activities. Antitrust is no more a pure domestic issue, it is also an international issue nowadays. International antitrust problems could be divided into two parts. First, the international antitrust activities hinder the development of international trade. Second, different antitrust standards of each country cause international tense situation and increase enterprises’ cost. First situation contains following aspects: 1. International cartels ruin market competition system and welfare of consumers. 2. Transnational companies abuse their dominant power all globally and affect international competition order and consumers’ welfare. 3. Absence of competition law and unenforcement of it constitute market entrance obstacles. Second situation also contains following aspects: 1.Different standards of international mergers bring many results, such as increasing enterprises’ extra cost, hindering the proceedings of international mergers, and causing international tensions. 2. The conflict between industry policy and competition policy of countries. Facing those transnational antitrust problems, the issue of the harmonization of competition law has been raised. This issue is drawing more and more attention in several international organizations day by day. In fact, to deal with the domestic effect of abroad anticompetitive activities to protect national interest, the theory “extraterritorial application” of domestic law has been raised. However, the extraterritorial application of domestic law is unable to solve all the problems that the international anticompetitive activities have brought. Furthermore, it has also made new problems and caused international tensions. To enforce antitrust law effectively in international cases, cooperation and coordination between national competition agencies are unavoidable. In addition, bringing antitrust law up to international law level and avoiding nations ruin free trade system by non-tariff strategy seem also be needed. The main purpose of this essay is to understand and analysis the current situation of the harmonization of competition law and to find out the solution of transnational competition problems in the era of globalization and the era of free-trade. This essay has been divided into 6 chapters. The first chapter is the introduction, which illustrates the international competition problems in the era of globalization and brings out the studying scope and purpose of this essay. The second chapter talks about international competition bilateral treaties between U.S. and E.U., Australia and New Zealand, Taiwan and other countries. The discussing scope contains the cooperation content which was set up by the bilateral treaty, its concrete result, and the reasons of its failure or success. As for Taiwan, this essay focuses on the review of its current situation and where its future is. The third chapter talks about regional international organizations which involve in the harmonization of competition law, such as E.U., APEC and NAFTA. APEC’s activities are more closer to the harmonization of policies, which promote competition activities. NAFTA has substantial competition regulations. E.U. not only has substantial regulations but also has the first set of enforcement system of international competition law in the world. The forth chapter is international organization, which talks about the development of international competition law in U.N., WTO and OECD. Although basically U.N. is a political organization, it also highly emphasizes competition issues. In addition, this chapter talks about the development of competition issues in the WTO system and the possibilities of promoting the harmonization of international competition law in WTO. Additionally, OECD also emphasizes competition issues very much. This chapter also talks about the study result of OECD in the competition issues. The fifth chapter is the global competition regulations, which contains “Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices” of UNCTAD and “ Draft International Antitrust Code”. Both of the global competition laws contain substantial regulations and the design of enforcement systems. Although both of them ended up in unrestrictive regulations, they also deserve further research. “Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices” was brought out with the form of UN General Assembly Resolution, but it is successful in some aspect. DIAC was meant to be an Annex of WTO originally. However this idea was not realized at the end. Why DIAC failed? Was it because of the design of its substantial content or the design of the enforcement structure or other outside factors? At last, this essay will analysis the shortages and advantages of all kinds of the harmonization of competition law and bring out recommendations in the conclusion of chapter 6.