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.

- cz Tato práce se zabývá analýzou antimonopolní politiky se zaměřením na kartelové dohody v Evropské unii. Cox·v model proporcionálních rizik je v rámci této práce použit pro predikci proměnných, které ovlivňují trvání a stabilitu kartel·. Tyto proměnné jsou rozděleny do následujících skupin. Velikost a vnitřní struk- tura kartelu, charakteristika účastník· kartelové dohody, ukazatele vnějšího prostředí na trhu, vnitřní kontrolní mechanismy a proměnné, určující účin- nost antimonopolní politiky. Pro účely této práce byl sestaven data set, který zahrnuje kartely soudně stíhané Evropskou komisí v období mezi lety 1990 a 2004. Tato práce navíc obsahuje přehled detekčních metod. Zahrnuje jak metody, které jsou v současnosti aktivně využívány Evropskou komisí za účelem detekce kartel·, tak i nové metody, tzv. screeningové metody trh·, které mohou do budoucna přispět k efektivnějšímu procesu detekce. Screeningové metody se zabývají zkoumáním reálných tržních proces· a hledají znaky koluzního chování. Součásti této práce je mimo jiné i analýza politiky shovívavosti a její dopad na životnost kartel· a na délku administrativních proces·. Očekávaným přínosem této práce je poskytnutí uceleného přehledu detekčních metod a proměnných, které ovlivňují životnost a stabilitu kartel·. 1

本篇論文主要係就我國競爭法規範為本，以國際合作之角度，從競爭法之制度規範及實務執行層面，探討寬恕政策應如何運用於各國執行競爭法規範，以有效偵測，進而防杜國際惡性卡特爾。論文架構可分為五個章節，茲分述如次： 第一章緒論在闡述本文研究的背景說明，確認打擊國際惡性卡特爾為國際競爭法合作最佳探討議題，進而提出本文之問題核心及研究動機、目的，並說明研究範圍及以比較法學及分析法學為本論文研究方法，藉以建立本文的架構與目標。 第二章為闡述國際惡性卡特爾之類型及特徵，並以比較各國立法例之方式，對應各主要國家競爭法所規範聯合行為之類型、豁免（例外許可或除外規定）及制裁方式，以瞭解惡性卡特爾於各國競爭法規範上定位；內容包括歸納及整理各國聯合行類型及制裁方式之立法例，藉以建立惡性卡特爾在國際競爭法規範上的實質內涵、規範特徵，作為本文論述的基礎架構；另深入探討國際惡性卡特爾如何開始、如何執行及運作暨何以規避法律，據以確認寬恕政策作為打擊國際惡性卡特爾之工具價值，以進一步探討於國際合作其間運用之可能性。 第三章係針對於競爭法規範制度內已採行寬恕政策有成效之法域：美國及歐盟為探討分析之對象。不僅就該等法域寬恕政策之內涵，加以詳盡說明，歸納其間之差異，並觀察該等施行實務執行經驗，以瞭解實務執行所面臨之障礙及其執行應用於打擊惡性卡特爾是否確具成效。 第四章從前開執行層面之觀察，探討其應用於國際惡性卡特爾之可行性；並以前開已採行及準備引進寬恕政策之我國為假想對象，進一步深入研析該等國家共同合作打擊國際惡性卡特爾之可行性。並針對縱向運用及橫向聯繫之不同合作模式，以進一步評估運用寬恕政策打擊國際惡性卡特爾之可行性，並一一檢測可能國際合作之途徑，以尋求可能之最佳合作管道及層次。 第五章為結論，主要歸結本文的研究成果，除就該等可行性之評估，歸納出最具高度可能性之最佳合作途徑，提供各國競爭法執法機關執法合作之建議，並對於正擬修法引進寬恕政策之我國競爭法主管機關言，予以取法外國立法例之修法建議，使國內修法趨勢得以兼顧競爭法國際合作觀點，不僅得以藉此有效防杜惡性卡特爾，更能有效拓展國際競爭法合作之空間及提昇國際競爭法合作之執行層次。 / The main idea of this thesis is to explain and study how the leniency policy is applied to fight hard-core cartel in one country and among nations. And the structure of the thesis includes five chapters. The thesis is based on the Fair Trade Law of R.O.C , comparing and analyzing the different regulations of hard-core cartel in the United States and the EU, to identify the characteristics of hard-core cartel and further explore the related issues of enforcement if leniency policy is applied to fight hard -core cartel. The thesis also explains the ways of international cooperation how leniency policy is applied to fight hard-core cartel in vertical application and horizontal connection. Finally the thesis submits that the best way of international cooperation in applying the leniency policy to hard-core cartel. In addition, the thesis also submits the suggestion for R.O.C. which plans to introduce the leniency policy in the Fair Trade Law of R.O.C to fight hard-core cartels.

Doctor Legum - LLD / Competition law and its enforcement have become necessary tools in the face of trade liberalisation. Nowhere is this more evident than in the area of cross-border cartels. The global South is steadily becoming aware of this. With the advent of globalisation and trade liberalisation, individual economies have become intrinsically linked. Anti-competitive conduct in one territory may have an impact in another territory. Therefore, an effective regional competition law framework complements trade liberalisation, especially in light of the principal objective of the South-South regional economic communities: the deepening of regional integration, in order to realise economic development and alleviate poverty. Cartel practices, such as, market allocation cartels, are in direct contradiction to this primary objective. This is when enforcement collaborations in South-South regional economic communities becomes crucial. The regional legal instruments of the Common Market for Eastern and Southern Africa, the East African Community, the Southern African Customs Union and the Southern African Development Community make provision for enforcement collaborations among Member States. To facilitate collaboration, regional competition authorities have been created to investigate, among other things, cross-border cartels. Within these economic communities, there is a strong case for enforcement collaborations, as evidence shows that the majority of the firms engaging in cartels are the so-called Regional Multinational Corporations. They operate throughout the territories of Member States. Additionally, the international nature of cartels, such as, private international cartels and export cartels, provide an opportunity for South-South co-operation to be utilised. However, this co-operation has not been utilised to the fullest extent, especially with reference to cross-border cartel activities. This has been attributed to various factors, such as, institutional incapacities, resource austerity, the absence of common procedural rules, the lack of adequate investigatory tools, and political ineptitude. As a solution, this current study makes specific recommendations that are directed at enhancing the effectiveness of South-South collaborations pertaining to cross-border cartel activities.

寬恕政策為政府打擊卡特爾不可或缺的重要工具，為了維持市場競爭公平性，各國相繼將其引入法條之中，該政策透過廠商主動揭露涉案行為，使得政府可有效掌握證據將其處置。本文建立兩種賽局模型並分別利用子賽局完全均衡及序列均衡的概念，嘗試討論一般情況下寬恕政策的效率及納入資訊不對稱情形下的政策有效性，並由兩模型推論出：實行寬恕政策且廠商主動申報聯合行為為社會最有效率的均衡、透過政府制定適當的罰鍰區間引導下，主動申報聯合行為的行為可視為一區隔廠商型態的訊號。 / The leniency policy plays an indispensable role in thwarting cartel formation. To maintain the fairness of market competition, most countries successively bring this policy into their antitrust legislation. After the enforcement of the policy, the involved firms may have incentive to self-report and provide evidences to the Antitrust Authority. Therefore, the authorities can get enough evidences to convict those firms of being cartel members. In this paper, we develop two kinds of game theoretical model and use the concept of subgame perfect equilibrium and sequential equilibrium to discuss the efficiency of leniency policy in general conditions, and the effectiveness of the policy under the condition of information asymmetry. We show that it is efficient to the society and the authorities when the cartel members self-report under the enforcement of leniency policy. Moreover, by setting up an appropriate fine payment, self-reporting can be a signal for the authorities to segment the type of the involved firms.