O Direito Internacional da Concorrência é o ramo do direito que protege o exercício da liberdade de concorrência. Liberdade esta que, com o desenvolvimento do mundo globalizado, vem sendo atacada pelas multinacionais, causando prejuízo às economias tanto locais quanto internacionais, assim como aos consumidores, se fazendo necessária a intervenção estatal para regulação desses conflitos. Entretanto, emerge um novo conflito quando o Estado detém o controle acionário de uma empresa, como é o caso das empresas estatais. Tal panorama vem se agravando e causando conflitos concorrenciais no cenário global. A China, país em que tradicionalmente o governo detinha controle de todas as empresas nele constituídas, após a abertura de mercado, vem adotando constantes reformas de políticas de mercado com o viés de introduzir a alta tecnologia e expandir as relações comerciais com os demais países do mundo. Hodiernamente, após as reformas comerciais e estruturais das empresas estatais, a China determinou que setores-chave considerados importantes para segurança econômica chinesa serão de controle estatal, isto é, com monopólio estatal. Isto posto, a presente investigação procurou verificar se as empresas estatais chinesas estariam abusando de sua posição dominante para além das fronteiras e infringindo, sobretudo, a própria legislação concorrencial da China, cuja promulgação fora exigida pelos demais membros da Organização Mundial do Comércio. A investigação se dividiu em três partes essenciais: primeiro sobre as transformações econômicas, mercantis, sociais e jurídicas chinesas, principalmente no período posterior ao século XX; na segunda parte, se tratou do direito concorrencial na China, confrontando-o com as empresas estatais; e no último capítulo, foram verificados casos administrativos e judiciais perante os órgãos de regulamentação concorrencial. Pretendeu-se, pelo método dedutivo de pesquisa, verificar se a dicotomia formada entre a proteção governamental às empresas estatais fere a liberdade de um mercado competitivo. Buscou-se, assim, verificar se a atividade das empresas estatais chinesas ocupou fatia relevante de mercado a ponto de abusar da sua posição dominante e se é a China um palco para a aplicação de penalidades, visando à ordem e à liberdade concorrencial. Conclui-se que ocorre tratamento desigual na imposição de penalidades por práticas de abuso de posição dominante quando se tratam de empresas estrangeiras e empresas estatais chinesas. Denotou-se por meio da análise casuística que os esforços dos órgãos de fiscalização concorrencial chineses no combate a práticas anticoncorrenciais são alcançados, até o presente momento, quando versam sobre empresas estrangeiras, enquanto que as empresas estatais recebem tratamento dessemelhante e permissivo às práticas monopolistas. / The International Competition Law is the law that protects the freedom of competition. Freedom of which, with the development of the globalized world, comes under attack by multinationals, causing damage to the economies both local and international, as well as consumers, making it necessary the state intervention to regulate these conflicts. However, emerges into a new conflict when the state holds a controlling stake of the company, such as state-owned enterprises. This scenario has been growing worse and causing conflicts competitive on the global stage. China, which traditionally held control of all companies set up in it, after the opening of the market, has been adopting constant market policy reforms with the bias to introduce high technology and expanding trade relations with other countries worldwide. In our times, after trade and structural reforms of state-owned enterprises, China has determined that key sectors of the economy considered important to China's economic security will be of state control. Accordingly, the present investigation sought to ascertain whether chinese state-owned enterprises were abusing their dominant position beyond the borders and in particular violating China's own competition law, which was demanded by the other members of the World Trade Organization The investigation was divided into three essential parts: first on the chinese economic, mercantile, social and legal transformations, mainly in the period after the twentieth century; on the second part, it dealt with competition law in China, confronting it with state enterprises; and in the last chapter, administrative and judicial cases were verified before the regulatory bodies of competition. It was intended, by the deductive method of research, to verify if the dichotomy formed between governmental protection of state-owned enterprises hurts the freedom of a competitive market. It was therefore sought to ascertain whether the activity of Chinese state-owned enterprises occupied a relevant market share to the extent of abusing its dominant position and whether China is a stage for the application of penalties for order and competitive freedom. It is concluded that there is unequal treatment in the imposition of consequences for abuse of dominant positions when dealing with foreign companies and chinese state-owned enterprises. The case-by-case analysis has shown that the efforts of Chinese competition authorities in the fight against anticompetitive practices have so far been reached when dealing with foreign companies, while state-owned enterprises are treated differently and permissively from monopoly practices.

O Direito Internacional da Concorrência é o ramo do direito que protege o exercício da liberdade de concorrência. Liberdade esta que, com o desenvolvimento do mundo globalizado, vem sendo atacada pelas multinacionais, causando prejuízo às economias tanto locais quanto internacionais, assim como aos consumidores, se fazendo necessária a intervenção estatal para regulação desses conflitos. Entretanto, emerge um novo conflito quando o Estado detém o controle acionário de uma empresa, como é o caso das empresas estatais. Tal panorama vem se agravando e causando conflitos concorrenciais no cenário global. A China, país em que tradicionalmente o governo detinha controle de todas as empresas nele constituídas, após a abertura de mercado, vem adotando constantes reformas de políticas de mercado com o viés de introduzir a alta tecnologia e expandir as relações comerciais com os demais países do mundo. Hodiernamente, após as reformas comerciais e estruturais das empresas estatais, a China determinou que setores-chave considerados importantes para segurança econômica chinesa serão de controle estatal, isto é, com monopólio estatal. Isto posto, a presente investigação procurou verificar se as empresas estatais chinesas estariam abusando de sua posição dominante para além das fronteiras e infringindo, sobretudo, a própria legislação concorrencial da China, cuja promulgação fora exigida pelos demais membros da Organização Mundial do Comércio. A investigação se dividiu em três partes essenciais: primeiro sobre as transformações econômicas, mercantis, sociais e jurídicas chinesas, principalmente no período posterior ao século XX; na segunda parte, se tratou do direito concorrencial na China, confrontando-o com as empresas estatais; e no último capítulo, foram verificados casos administrativos e judiciais perante os órgãos de regulamentação concorrencial. Pretendeu-se, pelo método dedutivo de pesquisa, verificar se a dicotomia formada entre a proteção governamental às empresas estatais fere a liberdade de um mercado competitivo. Buscou-se, assim, verificar se a atividade das empresas estatais chinesas ocupou fatia relevante de mercado a ponto de abusar da sua posição dominante e se é a China um palco para a aplicação de penalidades, visando à ordem e à liberdade concorrencial. Conclui-se que ocorre tratamento desigual na imposição de penalidades por práticas de abuso de posição dominante quando se tratam de empresas estrangeiras e empresas estatais chinesas. Denotou-se por meio da análise casuística que os esforços dos órgãos de fiscalização concorrencial chineses no combate a práticas anticoncorrenciais são alcançados, até o presente momento, quando versam sobre empresas estrangeiras, enquanto que as empresas estatais recebem tratamento dessemelhante e permissivo às práticas monopolistas. / The International Competition Law is the law that protects the freedom of competition. Freedom of which, with the development of the globalized world, comes under attack by multinationals, causing damage to the economies both local and international, as well as consumers, making it necessary the state intervention to regulate these conflicts. However, emerges into a new conflict when the state holds a controlling stake of the company, such as state-owned enterprises. This scenario has been growing worse and causing conflicts competitive on the global stage. China, which traditionally held control of all companies set up in it, after the opening of the market, has been adopting constant market policy reforms with the bias to introduce high technology and expanding trade relations with other countries worldwide. In our times, after trade and structural reforms of state-owned enterprises, China has determined that key sectors of the economy considered important to China's economic security will be of state control. Accordingly, the present investigation sought to ascertain whether chinese state-owned enterprises were abusing their dominant position beyond the borders and in particular violating China's own competition law, which was demanded by the other members of the World Trade Organization The investigation was divided into three essential parts: first on the chinese economic, mercantile, social and legal transformations, mainly in the period after the twentieth century; on the second part, it dealt with competition law in China, confronting it with state enterprises; and in the last chapter, administrative and judicial cases were verified before the regulatory bodies of competition. It was intended, by the deductive method of research, to verify if the dichotomy formed between governmental protection of state-owned enterprises hurts the freedom of a competitive market. It was therefore sought to ascertain whether the activity of Chinese state-owned enterprises occupied a relevant market share to the extent of abusing its dominant position and whether China is a stage for the application of penalties for order and competitive freedom. It is concluded that there is unequal treatment in the imposition of consequences for abuse of dominant positions when dealing with foreign companies and chinese state-owned enterprises. The case-by-case analysis has shown that the efforts of Chinese competition authorities in the fight against anticompetitive practices have so far been reached when dealing with foreign companies, while state-owned enterprises are treated differently and permissively from monopoly practices.

O Direito Internacional da Concorrência é o ramo do direito que protege o exercício da liberdade de concorrência. Liberdade esta que, com o desenvolvimento do mundo globalizado, vem sendo atacada pelas multinacionais, causando prejuízo às economias tanto locais quanto internacionais, assim como aos consumidores, se fazendo necessária a intervenção estatal para regulação desses conflitos. Entretanto, emerge um novo conflito quando o Estado detém o controle acionário de uma empresa, como é o caso das empresas estatais. Tal panorama vem se agravando e causando conflitos concorrenciais no cenário global. A China, país em que tradicionalmente o governo detinha controle de todas as empresas nele constituídas, após a abertura de mercado, vem adotando constantes reformas de políticas de mercado com o viés de introduzir a alta tecnologia e expandir as relações comerciais com os demais países do mundo. Hodiernamente, após as reformas comerciais e estruturais das empresas estatais, a China determinou que setores-chave considerados importantes para segurança econômica chinesa serão de controle estatal, isto é, com monopólio estatal. Isto posto, a presente investigação procurou verificar se as empresas estatais chinesas estariam abusando de sua posição dominante para além das fronteiras e infringindo, sobretudo, a própria legislação concorrencial da China, cuja promulgação fora exigida pelos demais membros da Organização Mundial do Comércio. A investigação se dividiu em três partes essenciais: primeiro sobre as transformações econômicas, mercantis, sociais e jurídicas chinesas, principalmente no período posterior ao século XX; na segunda parte, se tratou do direito concorrencial na China, confrontando-o com as empresas estatais; e no último capítulo, foram verificados casos administrativos e judiciais perante os órgãos de regulamentação concorrencial. Pretendeu-se, pelo método dedutivo de pesquisa, verificar se a dicotomia formada entre a proteção governamental às empresas estatais fere a liberdade de um mercado competitivo. Buscou-se, assim, verificar se a atividade das empresas estatais chinesas ocupou fatia relevante de mercado a ponto de abusar da sua posição dominante e se é a China um palco para a aplicação de penalidades, visando à ordem e à liberdade concorrencial. Conclui-se que ocorre tratamento desigual na imposição de penalidades por práticas de abuso de posição dominante quando se tratam de empresas estrangeiras e empresas estatais chinesas. Denotou-se por meio da análise casuística que os esforços dos órgãos de fiscalização concorrencial chineses no combate a práticas anticoncorrenciais são alcançados, até o presente momento, quando versam sobre empresas estrangeiras, enquanto que as empresas estatais recebem tratamento dessemelhante e permissivo às práticas monopolistas. / The International Competition Law is the law that protects the freedom of competition. Freedom of which, with the development of the globalized world, comes under attack by multinationals, causing damage to the economies both local and international, as well as consumers, making it necessary the state intervention to regulate these conflicts. However, emerges into a new conflict when the state holds a controlling stake of the company, such as state-owned enterprises. This scenario has been growing worse and causing conflicts competitive on the global stage. China, which traditionally held control of all companies set up in it, after the opening of the market, has been adopting constant market policy reforms with the bias to introduce high technology and expanding trade relations with other countries worldwide. In our times, after trade and structural reforms of state-owned enterprises, China has determined that key sectors of the economy considered important to China's economic security will be of state control. Accordingly, the present investigation sought to ascertain whether chinese state-owned enterprises were abusing their dominant position beyond the borders and in particular violating China's own competition law, which was demanded by the other members of the World Trade Organization The investigation was divided into three essential parts: first on the chinese economic, mercantile, social and legal transformations, mainly in the period after the twentieth century; on the second part, it dealt with competition law in China, confronting it with state enterprises; and in the last chapter, administrative and judicial cases were verified before the regulatory bodies of competition. It was intended, by the deductive method of research, to verify if the dichotomy formed between governmental protection of state-owned enterprises hurts the freedom of a competitive market. It was therefore sought to ascertain whether the activity of Chinese state-owned enterprises occupied a relevant market share to the extent of abusing its dominant position and whether China is a stage for the application of penalties for order and competitive freedom. It is concluded that there is unequal treatment in the imposition of consequences for abuse of dominant positions when dealing with foreign companies and chinese state-owned enterprises. The case-by-case analysis has shown that the efforts of Chinese competition authorities in the fight against anticompetitive practices have so far been reached when dealing with foreign companies, while state-owned enterprises are treated differently and permissively from monopoly practices.

O Direito da Concorrência e o Direito Internacional da Concorrência são recentes ramos na história da Ciência Jurídica. A dimensão unilateral do Direito Internacional da Concorrência relaciona-se à aplicação extraterritorial das legislações de defesa da concorrência, o que desencadeia problemas e limitações no plano internacional. Não existe regramento multilateral para a regulação da matéria concorrencial no plano internacional. Na dimensão regional são considerados os acordos regionais (Mercosul, União Europeia e NAFTA). No plano bilateral são encontrados os casos mais concretos de aplicação do Direito Internacional da Concorrência, os quais atualmente relacionam-se a processos de cooperação jurídica internacional. Há um amplo espaço para avanço na regulação da cooperação internacional em sede de atos de concentração multijurisdicionais. / Competition Law and International Competition Law are recently developed branches of the legal sciences. The unilateral dimension of the International Competition Law relates to the extraterritorial enforcement of competition laws, which causes problems and limitations on the international arena. There is a lack of multilateral set of rules for the competition regulation at an international level. The regional agreements shall be considered at regional dimension (Mercosur, European Union and NAFTA). The most concrete cases for the application of the International Competition Law are found at the bilateral level, which are currently related to the international legal cooperation process. There is a wide range for development on the regulation of the international cooperation in relation to the multijurisdictional concentration acts.

O direito internacional da concorrência sofre profunda influência do processo de globalização econômica em um cenário no qual a convergência da aplicação das legislações de diversos países é possibilitada pela cooperação jurídica internacional entre as autoridades concorrenciais. O Brasil adequa-se à cooperação internacional para a defesa da concorrência através dos acordos bilaterais, da participação nos foros regional e internacional e das normas do ordenamento jurídico interno, sendo que ao Conselho Administrativo de Defesa Econômica (CADE) é atribuída a competência para realizar os procedimentos cooperativos. Nesse contexto, a finalidade da presente dissertação é analisar a institucionalização da cooperação jurídica internacional pelas autoridades concorrenciais como mecanismo disponível à defesa da concorrência, especialmente no que tange aos instrumentos de direitos internacional e interno disponíveis ao Sistema Brasileiro de Defesa da Concorrência (SBDC) e ao papel do CADE. Para desenvolver os objetivos propostos, o estudo divide-se em dois capítulos. No primeiro capítulo é abordada a cooperação jurídica internacional entre as autoridades concorrenciais na função de mecanismo de convergência ao direito internacional da concorrência. Para tal, discorre-se sobre a cooperação bilateral e a estrutura institucional das autoridades concorrenciais em seu papel de protagonismo, além da influência das iniciativas multilaterais e regionais de cooperação em matéria concorrencial. O segundo capítulo dedica-se à análise dos instrumentos existentes no ordenamento jurídico nacional. Do ponto de vista internacional, estudam-se os acordos bilaterais firmados pelo Brasil ou no âmbito do SBDC, a participação do Brasil nos foros regionais e internacionais e a internalização e a utilização destes instrumentos pelo SBDC. Do ponto de vista interno, estuda-se o aparato jurídico nacional que fundamenta a cooperação internacional para a defesa da concorrência, o papel do CADE e as decisões do Tribunal Administrativo de Defesa Econômica, apresentando-se as dificuldades e perspectivas da disciplina. Por fim, ressalta-se que a cooperação jurídica internacional conforme realizada entre as autoridades de defesa da concorrência é instrumento indispensável para o bom funcionamento do sistema internacional. No âmbito do SBDC houve uma clara evolução na institucionalização dos instrumentos de direitos internacional e interno disponíveis, sendo que o CADE representa a autoridade adequada para o endereçamento das questões relativas à cooperação em matéria concorrencial. / International competition law is deeply influenced by economic globalization in a scenario where the convergence of application of laws from different countries is made possible by international cooperation between competition authorities. Brazil adapts to international cooperation through celebration of bilateral agreements, participation in regional and international forums and also through rules of domestic law. The Brazilian Council of Competition Defense (CADE) is responsible for the cooperative procedures in competition matters. In this context, the aim of this study is to analyze the institutionalization of international cooperation as conducted by competition authorities as a mechanism to ensure the defense of competition, especially in the case of instruments of domestic and international law available in the Brazilian Competition Policy System (SBDC) and the role of CADE. In order to develop the proposed objectives, the study is divided into two chapters. The first chapter examines the international cooperation between competition authorities as a useful tool for competition law. In order to perform such examination, discussions on bilateral cooperation between competition authorities, the institutional structure of competition authorities and the influence of multilateral or regional initiatives for cooperation are presented. The second chapter is dedicated to the analysis of domestic and international law tools that exist in the Brazilian legal system. From an international point of view, bilateral agreements celebrated by either Brazil or the SBDC, Brazilian participation in regional and international forums, and the practical use of these instruments by SBDC. Domestically, both the role of CADE and the practical application of these instruments in the administrative case law are studied, revealing the perspectives and difficulties of the discipline. Finally, it is highlighted that international legal cooperation, as held between competition authorities, is essential to the proper functioning of the international system. In the framework of SBDC, there was a clear evolution in the institutionalization of instruments of international and domestic law, with CADE being the appropriate authority for addressing issues relating to cooperation on competition matters.

O Direito da Concorrência e o Direito Internacional da Concorrência são recentes ramos na história da Ciência Jurídica. A dimensão unilateral do Direito Internacional da Concorrência relaciona-se à aplicação extraterritorial das legislações de defesa da concorrência, o que desencadeia problemas e limitações no plano internacional. Não existe regramento multilateral para a regulação da matéria concorrencial no plano internacional. Na dimensão regional são considerados os acordos regionais (Mercosul, União Europeia e NAFTA). No plano bilateral são encontrados os casos mais concretos de aplicação do Direito Internacional da Concorrência, os quais atualmente relacionam-se a processos de cooperação jurídica internacional. Há um amplo espaço para avanço na regulação da cooperação internacional em sede de atos de concentração multijurisdicionais. / Competition Law and International Competition Law are recently developed branches of the legal sciences. The unilateral dimension of the International Competition Law relates to the extraterritorial enforcement of competition laws, which causes problems and limitations on the international arena. There is a lack of multilateral set of rules for the competition regulation at an international level. The regional agreements shall be considered at regional dimension (Mercosur, European Union and NAFTA). The most concrete cases for the application of the International Competition Law are found at the bilateral level, which are currently related to the international legal cooperation process. There is a wide range for development on the regulation of the international cooperation in relation to the multijurisdictional concentration acts.

O direito internacional da concorrência sofre profunda influência do processo de globalização econômica em um cenário no qual a convergência da aplicação das legislações de diversos países é possibilitada pela cooperação jurídica internacional entre as autoridades concorrenciais. O Brasil adequa-se à cooperação internacional para a defesa da concorrência através dos acordos bilaterais, da participação nos foros regional e internacional e das normas do ordenamento jurídico interno, sendo que ao Conselho Administrativo de Defesa Econômica (CADE) é atribuída a competência para realizar os procedimentos cooperativos. Nesse contexto, a finalidade da presente dissertação é analisar a institucionalização da cooperação jurídica internacional pelas autoridades concorrenciais como mecanismo disponível à defesa da concorrência, especialmente no que tange aos instrumentos de direitos internacional e interno disponíveis ao Sistema Brasileiro de Defesa da Concorrência (SBDC) e ao papel do CADE. Para desenvolver os objetivos propostos, o estudo divide-se em dois capítulos. No primeiro capítulo é abordada a cooperação jurídica internacional entre as autoridades concorrenciais na função de mecanismo de convergência ao direito internacional da concorrência. Para tal, discorre-se sobre a cooperação bilateral e a estrutura institucional das autoridades concorrenciais em seu papel de protagonismo, além da influência das iniciativas multilaterais e regionais de cooperação em matéria concorrencial. O segundo capítulo dedica-se à análise dos instrumentos existentes no ordenamento jurídico nacional. Do ponto de vista internacional, estudam-se os acordos bilaterais firmados pelo Brasil ou no âmbito do SBDC, a participação do Brasil nos foros regionais e internacionais e a internalização e a utilização destes instrumentos pelo SBDC. Do ponto de vista interno, estuda-se o aparato jurídico nacional que fundamenta a cooperação internacional para a defesa da concorrência, o papel do CADE e as decisões do Tribunal Administrativo de Defesa Econômica, apresentando-se as dificuldades e perspectivas da disciplina. Por fim, ressalta-se que a cooperação jurídica internacional conforme realizada entre as autoridades de defesa da concorrência é instrumento indispensável para o bom funcionamento do sistema internacional. No âmbito do SBDC houve uma clara evolução na institucionalização dos instrumentos de direitos internacional e interno disponíveis, sendo que o CADE representa a autoridade adequada para o endereçamento das questões relativas à cooperação em matéria concorrencial. / International competition law is deeply influenced by economic globalization in a scenario where the convergence of application of laws from different countries is made possible by international cooperation between competition authorities. Brazil adapts to international cooperation through celebration of bilateral agreements, participation in regional and international forums and also through rules of domestic law. The Brazilian Council of Competition Defense (CADE) is responsible for the cooperative procedures in competition matters. In this context, the aim of this study is to analyze the institutionalization of international cooperation as conducted by competition authorities as a mechanism to ensure the defense of competition, especially in the case of instruments of domestic and international law available in the Brazilian Competition Policy System (SBDC) and the role of CADE. In order to develop the proposed objectives, the study is divided into two chapters. The first chapter examines the international cooperation between competition authorities as a useful tool for competition law. In order to perform such examination, discussions on bilateral cooperation between competition authorities, the institutional structure of competition authorities and the influence of multilateral or regional initiatives for cooperation are presented. The second chapter is dedicated to the analysis of domestic and international law tools that exist in the Brazilian legal system. From an international point of view, bilateral agreements celebrated by either Brazil or the SBDC, Brazilian participation in regional and international forums, and the practical use of these instruments by SBDC. Domestically, both the role of CADE and the practical application of these instruments in the administrative case law are studied, revealing the perspectives and difficulties of the discipline. Finally, it is highlighted that international legal cooperation, as held between competition authorities, is essential to the proper functioning of the international system. In the framework of SBDC, there was a clear evolution in the institutionalization of instruments of international and domestic law, with CADE being the appropriate authority for addressing issues relating to cooperation on competition matters.

O direito internacional da concorrência sofre profunda influência do processo de globalização econômica em um cenário no qual a convergência da aplicação das legislações de diversos países é possibilitada pela cooperação jurídica internacional entre as autoridades concorrenciais. O Brasil adequa-se à cooperação internacional para a defesa da concorrência através dos acordos bilaterais, da participação nos foros regional e internacional e das normas do ordenamento jurídico interno, sendo que ao Conselho Administrativo de Defesa Econômica (CADE) é atribuída a competência para realizar os procedimentos cooperativos. Nesse contexto, a finalidade da presente dissertação é analisar a institucionalização da cooperação jurídica internacional pelas autoridades concorrenciais como mecanismo disponível à defesa da concorrência, especialmente no que tange aos instrumentos de direitos internacional e interno disponíveis ao Sistema Brasileiro de Defesa da Concorrência (SBDC) e ao papel do CADE. Para desenvolver os objetivos propostos, o estudo divide-se em dois capítulos. No primeiro capítulo é abordada a cooperação jurídica internacional entre as autoridades concorrenciais na função de mecanismo de convergência ao direito internacional da concorrência. Para tal, discorre-se sobre a cooperação bilateral e a estrutura institucional das autoridades concorrenciais em seu papel de protagonismo, além da influência das iniciativas multilaterais e regionais de cooperação em matéria concorrencial. O segundo capítulo dedica-se à análise dos instrumentos existentes no ordenamento jurídico nacional. Do ponto de vista internacional, estudam-se os acordos bilaterais firmados pelo Brasil ou no âmbito do SBDC, a participação do Brasil nos foros regionais e internacionais e a internalização e a utilização destes instrumentos pelo SBDC. Do ponto de vista interno, estuda-se o aparato jurídico nacional que fundamenta a cooperação internacional para a defesa da concorrência, o papel do CADE e as decisões do Tribunal Administrativo de Defesa Econômica, apresentando-se as dificuldades e perspectivas da disciplina. Por fim, ressalta-se que a cooperação jurídica internacional conforme realizada entre as autoridades de defesa da concorrência é instrumento indispensável para o bom funcionamento do sistema internacional. No âmbito do SBDC houve uma clara evolução na institucionalização dos instrumentos de direitos internacional e interno disponíveis, sendo que o CADE representa a autoridade adequada para o endereçamento das questões relativas à cooperação em matéria concorrencial. / International competition law is deeply influenced by economic globalization in a scenario where the convergence of application of laws from different countries is made possible by international cooperation between competition authorities. Brazil adapts to international cooperation through celebration of bilateral agreements, participation in regional and international forums and also through rules of domestic law. The Brazilian Council of Competition Defense (CADE) is responsible for the cooperative procedures in competition matters. In this context, the aim of this study is to analyze the institutionalization of international cooperation as conducted by competition authorities as a mechanism to ensure the defense of competition, especially in the case of instruments of domestic and international law available in the Brazilian Competition Policy System (SBDC) and the role of CADE. In order to develop the proposed objectives, the study is divided into two chapters. The first chapter examines the international cooperation between competition authorities as a useful tool for competition law. In order to perform such examination, discussions on bilateral cooperation between competition authorities, the institutional structure of competition authorities and the influence of multilateral or regional initiatives for cooperation are presented. The second chapter is dedicated to the analysis of domestic and international law tools that exist in the Brazilian legal system. From an international point of view, bilateral agreements celebrated by either Brazil or the SBDC, Brazilian participation in regional and international forums, and the practical use of these instruments by SBDC. Domestically, both the role of CADE and the practical application of these instruments in the administrative case law are studied, revealing the perspectives and difficulties of the discipline. Finally, it is highlighted that international legal cooperation, as held between competition authorities, is essential to the proper functioning of the international system. In the framework of SBDC, there was a clear evolution in the institutionalization of instruments of international and domestic law, with CADE being the appropriate authority for addressing issues relating to cooperation on competition matters.

Les dernières décennies ont témoigné d’un important accroissement des concentrations transnationales dans le monde et d’une multiplication des systèmes de contrôle des concentrations. Alors que les enjeux économiques revêtent désormais une dimension internationale, les mécanismes juridiques de régulation demeurent cantonnés à une échelle nationale ou régionale. En effet, la soumission d’une même opération de concentration à différents régimes de contrôle engendre plusieurs problématiques juridiques, dont le risque d’être confronté à des décisions contradictoires ou incohérentes rendues par différentes autorités de la concurrence. Ceci dit, il nous semble que des mécanismes juridiques pour réguler les concentrations transnationales s’imposent. S’agissant d’une réalité au niveau européen, la « régionalisation » du droit de la concurrence apporte une aide précieuse à ces problématiques. Au niveau mondial, différentes approches de solution sont envisageables. Cette thèse soutient, à court terme, la convergence des règles et des pratiques, afin de réduire les inconvénients associés au contrôle des concentrations transnationales, accompagnée, à long terme, par l’adoption de certaines règles contraignantes au sein de l’OMC. / In the past decades, the number of transnational mergers worldwide has significantly increased. Merger control systems follow the same trend and have proliferated during this period. While economic issues are globalized, legal mechanisms remain national or regional. The notification of one single merger to different merger control systems raises several legal issues, in particular with respect to the risk of achievingcontradictory or incoherent decisions from different competition agencies. Thus, revised legal mechanisms are required in order to adequately regulate transnational mergers. A“regionalization” of merger control, as set by the European experience, offers useful insights towards proposals to deal with these issues. In a global perspective, several alternative approaches are possible. This thesis supports, on the short-term, a permanent convergence of rules and practices to reduce problems related to transnational merger control, followed, on the long-term, by the adoption of certain binding rules within the WTO.

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.