CAC TRL ONG HOP TAP TRUNG KIXH TE VUOT NGUONG D U p c P H £ P THUC HIEN THEO QUY OJNH
C I I A P H A P L U A T CANH TRANH
1. Cac tru-oTig hp'p t a p t r u n g kinh te V irpt ngunrng dtfo'c p h e p thirc hicn
Theo quv djnh cita Luat Canh Iranh. tap trung kinh le la hanh vi ciia doanh nghiep bao gdm sap nhap. hgp nhat. mua lai doanh nghiep, lien doanh giira cac doanh nghiep vit cae hanh v i tap trung kinh tc khac theo quy djnh cua phap lual.
Vc nguven tac, nhung lap trung kinh te mil thj phan kin hgp giira cae doanh nghiep chidm trdn 50" o tren ihj irudng lien quan se bj Ciim (Didu 18 Lual Canh tranh). Cd the ggi quv djnh nav la quy djnh cam tap trung kinh id vugt ngudng. Tuj nhien. quv djnh ciim vugl nguiimg khdng ap dung Irong hai trudng hirp sau:
r Thir nhdl. trucmg hgp doanh nghiep sau khi tbue hien lap trung kinh ic van thudc loai doanh nghiep nhd va vira theo quy dinh cua phap tual {doan sau cua Dieu 18 Luat ( unh tranh). Can cu de xac dinh nhung doanh nuhiep thudc loai vua va nho hien nay la Nghj^dinh sd 56'2009 ND-CP ngav 30 thang 6 nam 2009 cua Chinh phu vc vice trg giup phat tnen doanh nghiep nho vit vira (suu da) vidt till la DNNAA). Tieu chi de phiin chia cac doanh nghidp dugc dure hicn duu Iren qu)' md ldng ngudn vdn. tuong duimg vdi idng tal san duge xae djnh trong bang cim ddi ke loan (tieu chi lai tien) hoae sd lao ddng binh quan nam, Cac lieu chi na) dugc xue djnh khae nhau. phu ihudc vito khu vuc nganh nghe ma doanh nghiep dd dang ky kinh doanh. \ i du. neu doanh nghiep thudc khu vuc ndng. lam nghiep va thu) san thi doanh nghiep dd la DNNAA' khi cd tdng sd vdn nhd hon hoac bang 100 tv. hoac cd
Tran Thf Thu Phirong tdng sd lao dgng nho hon hoac bang 300 ngirdi, Cdn ddi voi khu vuc thuong niai va djch vu. D N N \ \ ' dugc xac djnh khi cd tdng so vdn nhd hon hoac bang 50 t) hoac eo tdng sd lao ddng nhd han hoac bang 100 ngudi'. Ndu ehimg minh dugc doanh n^riQp dugc hinh thanh tir lap trung kinh le v^n thudc mdl trong nhimg loai doanh nghicp dugc qit> djnh lai Nuhj djnh sd 56 2009 ND- CP. tap Irung kinh id se duge phep tien bitnh dil thj phdn kel hgp giiia cac doanh nghicp cd thd vugl 50*'b trdn thj irudng lien quan.
-I Thir hai. lap trung kinh lc dugc hirdng quy che mien trir theo qu)' djnh tai Dieu 19 cua Luiil Canh tranh, Cu the. lap trung kinh id cd the duge xem xet mien trir neu thudc mdt irong cae trirdng hgp sau: 1) Mdt hoac nhieu ben tham gia tap trung kinh te dang trong nguv co giai the hoac liim vao linh trang pha san: 2) Vide lap trung kinh te cd tiic dung mo rdng xuat khau hoae gdp phan phiit trien kinh id-xa hdi. lien bd ky thuat.
cdng nghe.
Day la hai trirdng hgp ngoai Id cua vice ap dung quv djnh cam tap trung kinJi te vugl ngudng. Tuy nhidn. co ehe ap dung hai trirdng htrp ngoai Id nav la khdng gidng nhau.
0 truirng hgp thir nhal. doanh nghicp se dugc ehu ddng tien hanh cae boat ddng tap trung kinh te neu chung minh duge rang nd thudc Ioai doanh nghidp vira hoac nhd theo quy djnh cua phap luat hien hanh sau khi ticn hanh tap ining kinh le, Khi xac djnh dugc minh thudc loai doanh nghicp vira hoac nhd. doanh nghicp sc khdng phai thuc
I s . Dai hgc Thuimg mai
Xem Nghi djnh so 56 2009 ND-CP ngay 30 thang 6 nam 2009 cua Chinh phu v^ vi^c trg giup phai trien doanh nghiep nho va vira
C.\C TRL (}.\(i HOP TAP TRLWd
hien thu tuc thdng bao cho ca quan quan ly nha nudc ve canh tranh.
Ddi vdi trudng hgp thir hai. doanh nghiep van cd co hgi dc lien hanh tap trung kinh te. Tuy nhicn. o truirng hgp nav. doanh nghiep se khdng edn o vj the chu ddng nCra.
Doanh nghiep se phai ihue hien tbu tue thdng bao kem tbeo hd so de nghj huong mien trir gui ddn co quan quan I) eanh tranh.
Chl khi dugc su ddng y ciia Bd trirong lid Cdng Lhirtmg (trudng hgp Dieu 19 khoan I). hoiie cua Thii tudng Chiiih phu (truirng hgp Dieu 19 khoan 2). tiip irung kinh tc vugt ngudng mdi dugc tien hanh. Ndl mdt each khae. doanh nghicp o trirdng hgp niiv se khdng the ehiie ehiin duge huong mien irir niii eiin phiil phu thude vito sir ddng y cho phep hoac khdng eho phep.
Ngoiii ru. o truirng hgp thii nhcit. eiic lieu ehi de diiiili gia mdt doanh nghiep lii vira houc nho theo qii)' djnh cuu pluip lual kha rd rimg. \"\ va), doanh nghidp de xac djnh dirge minh thugc trudng hgp bi ciim hoae khdng bj cum tlip trung kinh te. Ngirge lal. ciie tieu ehi dc xet huong mien trir trong iruimg hgp ngoai Id thir hai lai khdng ban nhu vay. Cd the liiy vi du ve lieu chi de dirge huong mien trir Ili: nhirng lgi ieh mil eiic liip irung kinh te nil) mang lai eho nen kinh le - xa hdi, eho lien bd ky thuat. edng nghe. cho ngudi lao ddng, Viec danh giii ciie tieu ehi nii) khdng phai luc mio eCing dd dimg. cbinb xiic. Trong nhidu Inrirng hgp. nhiing tidu ehi dat ra cdn mang linh dinh linh. Didu niiv se khien eiie doanh nghiep khd cam tha) duge ddi xu binh diing, Trong khi ciic dounh nghiep ludn mong mudn dir doiin trude duge kel qua va dim lu kinh doanh vdi mgt sir chiic chan tuong ddi ve mal phap lv. Hg ciin dugc biet nhung eim cir pluip K' ni rimg cua mdt qu)dt djnh do CO quun cd tliiini qindn ban hanh.
Tinh irung khdng chac ehiin vc niiit phiip lv se giiv ton thiu cho cue doanh nghiep,
\'idc cho phep cac tiip trung kinh id virtrl ngudng diil ra hai van dd Idn suu:
- Thir nhdl. khi eho phcp cac tap trung kinh te vugl ngudng. van dc dat ra la nhQng tac ddng lieu cue den canh tranh cua eac tap trung kinh le nav se duge xu K' nhir the nao?
Bai eac lap trung kinh te nav dugc eho phep thue hicn dii thi phan kdl hirp cua eae doanh nghidp chiem Iren SC^'ii tren ihj truirng lien quan. Theo linh than cua Lual Canh tranh.
muc dich cua viec cam eac tap trung kinh te mil thj phan kel hgp ciia eac doanh nghiep chidm tren 50"/o tren thj tmdng lien quan la nham ngan chan ciie tac ddng tieu eire den canh tranh ma ciie lap trung kinh le nil) eo the ga) ra. Vay. ndu eho phcp eae tap trung kinh id vugt ngudng (trong liai trudng hgp ngoai id neu tren), lieu ehung ta cd phai ehiip nhan ludn ca nhirng tiie dpng tieu cue den canh tranh mil chung gav' ra ba> khdng?
Phiip luiit eanh tranh cua Vict Nam hidn na) chua cd quv dinh nao ve vice khiic phue cac tae ddng tieu cire nav'. Cac qii) dinh eua Luiit Cunh tranh ve tap trung kinh te chi quv djnh nhiing truirng hgp ngoai Id, eiing nhu eae quv trlnh. thu tuc de lam hd sa de nghj duoe huong mien trir irong mdt sd truirng hgp nhal dinh. Cac viin ban quv pham phap lual dudi luat quv' djnh cbl tiet houe hudng dan Luat Canh tranh eung khdng de eiip den van de nil). Didu 40 Nghi djnh sd 116 2005 N D-CP ngav 15 ihang 9 nam 2005 quy djnh chi liet thi hiinh mdl sd dieu eua Lual Canh tranh. ed dc cap den "bao eao giai trinh" trong hd so de nghj huong mien irir vdi veu can pbal dirge ihuc hien dudl hinh ihirc dc an nghien ciru kha thi eua td chire khoa hgc va cdng nghe, eae td ehirc nghien eim va pbiit trien, 'Tuy nhien. vice lap bao cao giai trinh nav chi nhiim muc dich ehimg minh vide mdl hav nhicu ben tham gia tiip trung kinh te dang irong nguv co bj giai the hoae lam viio linh trang hi pha san. Do vu).
ed the thay rang van di: khiic phuc eac tae dgng ban chd canh tranh cdn bi bo ngo, finh trang nd) phai chiing la mdt sir hirp thirc boa tac dgng tieu cue ddn eanh tranh cua cac tap trung kinh te vutrl ngudng?
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MIX \l 0( \ \ PHAPf.i:\TSO4/2012 + Thir hui. neu Luat Canh tranh cho phep eac tap trung kinh te v irgt ngudng ma khdng tinh den viec xu 1> cac tac ddng tidu cue ciia chung. linh Irang han ehc canh tranh trdn ihi Irudng se xav ra va anh hudng den qu)en va Igi ich hgp phap cua cae chu the khac tren thj trudng ciing nhu cua ngudi lieu ditng. 'frong khi mdl trong nhirng nhiem v u ehmh cua Luat Canh tranh lit phai bao ve eac quven na). Ncu Luat Canh tranh chap nhan nhiing tac ddng tieu cue do tap trung kinh id vugl nguang gay ra. lieu muc lieu ehinh cua Lual cd duge dam bao ihuc hien? N!di luat cd the dugc soan thao vii ban hiinh nham thuc hien nhieu mue tidu khac nhau. nhung nhOtng muc lieu nay can phai nhat quan trong ldng the. Thue tc cho lha>. mdt luat da muc tidu ihudng ed the dan ddn xung dot giira cae muc tidu. fheo dd. vice ihue hien mue lidu niiv se gii\' kbd khan, can tro cho vice tbue bien muc lieu kia, lir dd anh buong ddn bidu qua cua luat. Chinh vi vav'.
khi soan thao luat, cac nha lam luat can phai can nhac dc tbdng nhiit eac muc lieu cua luat. fuai cd the cd mdi hoac mdt .sd muc lieu chinh va v ice tbue bidn cac muc lieu khac khdng dugc di ngugc lai vdi eac muc lidu chinh duge dal ra. lloiic cac mue lieu ed the dugc xiic djnh iheo thir lu uu tien nhSm giam thidu su khdng ro rang, cd the dan den xung dot giira cac muc lidu trong qua trinh ihuc thi. Vdi Lual Canh tranh. neu vice cho phcp cac ngoai I? cua qu) djnh cam tap trung kinh te vugt ngudng la nham thire hien mdt sd muc lieu phat trien kinh te. xa bgi. kv ihuau bao ve quyen lgi cua ngudi lao ddng... thi vice thuc hien cac muc lieu nay phai khdng dugc lam anh buong den vice thuc hien muc lieu chinh cua 1 Luit la tao lap vii duy tri canh tranh.
2. Mpt so phvcng an giai quyet Truirc lien, can khSng dinh rang, ngoai le ciia quy djnh cam tap trung kinh Id vugl nguang la can thidt neu xet den nhiing tac dung ma tap trung kinh id mang lai Irong limg trudng hgp cu the. Boi nhu d3 phan
lich o phdn ircn. cac ngoai Id cua quv djnh cam tap trung kinh te vugt ngudng deu nham muc dich xa hgi. hoac dc phiit iricn kinh te. ky thuat... Tu) nhien. didu dd khdng ed nghia la viec thuc hien nhUng ngoai le nay ed the di ngirge lai vdi muc lieu eua Luat Canh tranh, \'ai muc tieu bao \ c canh tranh vit thuc diiv canh tranh. phap luat \c canh tranh eua cac nude trdn the gidi deu cd cae qu) djnh ve tap trung kinh id va kiem soat lap trung kinh te. Tiip trung kinh te sc phai chju su kiem soiil khi ed kha nang gay ra ddc quven hoac lam dung vj tri thdng ITnh thj inrdng ga) ban cbd eanh tranh. Dd kiem soal dugc tap trung kinh te. cac nude hoac dua vao thi phan cua cue doanh nghidp tham gia lap trung kinh te hoae dua vao vice danh gia tirng \u vide cu the de cd nhung qu\
djnh c^m hoac cho phep lap irung kinh te.
Ddi vdi nhiing tap trung kinh te cd nguy eo cao gay ra lae dgng ban chd canh tranh hoflc ed ibi phan ket hgp vugt ngudng cho phep cd the bj cam thue hidn. Tuy nhidn. ncu lap trung kinh te nay cd lgi cbo doanh nghicp.
cbo nen kinh td. cho ca xa hpi. nd se dugc chap nhan vdi dieu kidn la cac tac ddng han che canh tranh cua nd ed the khac phuc duoe. Ndi mdt cach khae. tap tning kinh tc cd ngu) CO lam giam canh tranh cao se chi dugc cho phep lien banh khi luan thu hai dicu kien; Thir nhdi. nd phai mang Iai Igi ich ma phiip luat nudc dd dang uu ticn phat tridn. thudng la nhiing uu tien cho sir phat tridn kinh te - xa hdi. cho tien bd kv thuat.
cdng nghe, da so hiiu. cdng an viec lam cho ngudi lao dpng; thir hui. neu dugc cho phep.
cac tap trung kinh te phai khdng dugc gay ra ban che canh tranh tren thj trudng. Ca quan Ihuc thi canh tranh sc xem xcl va can nhac cac lgi ich khac ben canh muc lieu co ban cua luat la bao ve canh Iranh. cung nhu xem xet. danh gia kha nSng khac phuc cac tac ddng ban che canh tranh. de tir dd ra quyet djnh cjio phep hay khdng tap trung kinh te.
Trong Irudng hgp khdng the khac phuc dugc, tap trung kinh le sd bi cam. O Viet
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CAC TRU'(f.\G HOP T.\P TRU\(i „ Num. cac ngoai tc vd lap trung kinh te cung
can phai dugc quy djnh theo hudng: se dugc thuc hicn neu nhu viin bao dam thuc hien dugc muc tidu cao nhat eua phiip luat ve canh Iranh, dd ta duv tri va thuc dav canh tranh ianh manh giira cae chu the tren thuong trudng.
Thir hui. de khac phuc nhirng tac ddng han chd canh tranh ma tap trung kinh lc ed nguy ca cao gay ra. phap tual eua da sd cac nude )eu cau ciic ben tham gia tap irung kinh id ap dung nhiing bidn phiip khac phuc (tieng Anh j^pl ta merger remedies)". Chi khi cac bdn chap nhan thuc hidn eac bien phap khac phue na) (sau day viet lat ta BPKP).
tap trung kinh id mdl dirge eho phep tien hanh. Ciic ben tham gia budc phai chap nhan ap dung cac BPKP ihieb hgp dudi su kiem .soat cua co quan thue Ihi canh tranh. Trong inrirng hirp khdng lim dirge BPKP phii hgp hoac \ iee ap dung eiic BPK.P se khdng dem lai bieu qua mong mudn. tire la khdng loai bo duoe lac dgng ban ehe canh tranh cita tap trung kinh td. co quan thuc thi canh tranh sc qu>et dinh khdng cho phep tien hanh tap trung kinh te.
Cac BPKP thudng cd bai dang ca ban. CJ dang thir nhiii. cac bidn phiip na> lac ddng den cau iriic eiia thj trucmg (gpi la BPKP ve ni5t eau true). BPKP ve mat cau true lit nhirng bidn phap khac phue cae tiic ddng han che canh tranh cua tap irung kinh id thdng qua \ iee can thidp true liep vao cau tnic cua thj trirdng. BPKP vd mat ciiu triic bao gdm CO cau lai. vii irong mgl sd truirng hgp bao gdm cac bien phap dugc thue hien dua trdn vice chuyen giao quyen su dung ddi vdi
" CCS. Merger Remedies' Competition Commission Guidelines. 2008: T. Duso. K, Gugler. B. Vurtoglu, l:tJ Merger Remedies: A Preliminary Empirical .Assessnie"m. GI-:SV. 2006; ICN. Merger Remedies Review Projeci. Bonn. 200.S. DG Comp (Ruropean Commission). Meiger Remedies Study. 2005: US.
Depanmcnl of Justice. Antitrust Division Policy Guide to Merger Remedie-v, 2001. OIiCD. Merger Remedies. 2003:
quydn so hiru tri iuc. Ciie bidn phiip v e mat cau true ihudng dirge thuc hien bang vice ban lai mdl pbiiii lai san hoae ehuven giao quven su dung ddi vdi quydn so huu tri tue cua doanh nghiep dugc hinh thanh tir lap trung kinh tc. Kinh nghiem cua mdl sd nude cho thav, khi mdl du an sap nhap cd nguy co lao ndn hoae eung cd mdt v j tri dpc qu)en ed the ga) ngU) hal den canh tranh. thi bien phap hieu qua nhal de duy tri cunh tranh, ngoai trir sir cam doan. lit phai thiet lap dugc nhiing dieu kidn ciin thidt de tao ndn mdt chu the canh tranh mdi hoae ciing cd cae chu the canh tranh dang ldn lai bang viee chuyen nhugng lai mdl phan cua doanh nghiep dirge tap irung kinh te
() dang thir hai. cac bien phap sc tac ddng den hiinh vi euu ciic chu the Iren thi trudng. mil ehu yeu la cua doanh nghicp dugc hinh thanh sau khi lien himh tap trung kinh le (gpi la BPKP vc mat hanh vi). Cae BPKP ve mat hanh vl la nhung blen phap khac phuc lac ddng han che canh tranh gay ra bdi tap trung kinh te bang vice thay ddi hanh vi eua doanh nghiep dirge hinh Ihanh lir tap trung kinh td hoac cua nhting ngudi khac. Cac BPKP ve mat hanh vi ihudng bao gdm nhirng quy dinh dicu chmh hoac quan Iy cae hanh vi cua doanh nghiep dugc hinh thanh tir lap trung kinh td. fhay ddi ve hanh vi cd the dan den nhCrng thay ddi vc luong quan canh tranh tren thi trudng. Cac BPKP ve mat hanh vi duge ap dung nhidu ddi vdi cac tnrdng hgp lap trung kinh te iheo chieu dgc hoac trong cac ITnh vuc edng nghe cao noi qu)en so bu-u tri tuc dac biet dugc coi Irgng. bai cae bien phap nity vira ed the kiem soal dugc cac lac dgng ban che canh tranh, vira giii dugc hidu suat cua v lec lap trung kinh td. Cac BPKP ve mat hanh vi cd the dugc ap dung rieng le hoac ket hgp vdi bien phap CO cau lai nham bao dam hoat dgng cua bg phan duge chuyen nhugng.
Trjng phap luat canh tranh cua Viet Nam. Nghj djnh sd i6/2b05/ND-CP lai Didu 39 ciing cd mdl sd quy djnh nham khac phuc 3>5
^HA M'OC VA PHAP LC. \ T SO 412012
nhimg hau qua cd the xu) ra do hiinb vi tap Irung kinh te gay ra, Tuy nhien. nhung bien phap nav chi dugc thuc hicn ddi vdi nhiing hanh \ i tap trung kinh le khdng hgp phap. va dugc thuc hicn dudi hinh thire la mdt trong nhung bien phiip xu ly hiinh ehinh ddi vdi eiic hanh vi lap trung kinh id bat hop phap gav ra. C o tbd gpi dii) lit BPKP hau qua.
Gidng nhu cac BPKP trong tap trung kinh id. cue BPKP hau qua eung bao gdm bien phap eo eau lai doanh nghiep. hoae biit budc phai biin lai mot phiin doanh nghidp da mua. vit eiing dirge ap dung ddi \di nhung hanh vi lap trung kinh le. Nliung cac bidn phiip nit)' khae nhau ve miit ban chat. Ciic BPKP hau quii ehi ap dung ddi vdl cac hiinh vi tap trung kinh le khdng dugc phdp. tire lii bi eiim nhung cae chu ibe van tu v lien hiinh.
vii cae hanh vi vi pham phiip luat eanh tranh khitc. Cdn BPKP uip tnmg kinh tc o tren la nhung tap trung kinh tc dirge phep lien hanh, Ngoai ra. ciic BPKP hau qua nay ehi dirge iip dung ex-posi. tirc lit sau khi xav ra hiinh vi vi pham. Trong khi dd. ciic BPKP trong lap tning kinh te lii nhiing bien phiip cd the dugc
ap dung irude {ex-unie) hoiie suu [e.x-po.q]
khi lien himh tap trung kinh lc htrp phap.
Mdt diem khac biet co ban nu:a giua hai loai bien phap nay la muc dich ap dung cua chiing, BPKP hau qua dirge thuc hien la nham khdi phuc lai tinh trang canh tranh Irirdc khi ed banh vi lap trung kinh te bat hgp phap ga) ra. Cdn ddl vdi ciic BPKP trong lap trung kinh le.-ddng gdp quan trpng eua eiic bicn phap nav la nhiim ihuv ddi cau tiic ddng lieu cue eua tiip trung kinh le virot ngudng dugc phep thuc hidn,
iiim lai. phiip luat eanh tranh eua Vicl Num hien nav ehua de cup ddn viec khac phuc nhiing liic ddng tidu cue ddn eanh iranli euu tap trung kinh tc viriri ngudng dinrc phep thuc blen. Do v iiy. v lec nghien ciru cac BPKP lip dung ddi vdi tap trung kinh tc virm ngudng d Viet Num hidn nuv' la riu can thiel.
Vice lip dung cae BPKP ddi vdi lap trung kinh id vugl ngirdng sc giup cbo phap tual ciinli tranh cua Vidt Nam hoii nhap him vdi phap luiil eanh tranh eua eiie nude tren the gidl. Dli) ciing la mdl ddl boi trong bdi canh hdi nliilp kinh te hien nu) d Viet Nam
(Tiep fheo trang 15 ~ Hien phiip phdi lii...) nhidu hinh thirc bidu hidn. nhirng tin ca eiic binh thirc ddu eho phep cdng diin quan liim den hoal ddng chinh quven, cd quven dugc bidt. dirge hieu mdl each cdng khai cae hoal ddng cua ehinb quven. Hay ndi mdt ciieh khiic, tai eu eac boat ddng cua chinh quven khdng dirge didn ra trong bi mat. trir nhiing tnrdng hgp diie blet cd lien quan den an ninh qudc gia. Cudi eung Li kenh Ida an. Ida itn llien phap duge liip ra dd n o thimh nguiri dirng giira eiic ben. quvct theo eiil dung cua edng 1) Dii) lit ngo cudi citng cbo vide kiem so;ii quven lire nha nude. Boi llien phiip thdng qua de cd nguiri thi hanh. ngudi tbi hanh Hien phiip khdng phai la ngirdi diin, ma
lit Nha nude. Ddl lupng na)' ludn cd kha nang vi pham Hidn phiip. Sir vl pham nii\
khdng the dirge vaeh ra neu nhu khdng cd boat ddng xet xir ctia tda an.
Vi nbung le dd, vide phai quy djnh kiem soat cua quven lire nhii nudc nhu la mdt quv luiit kliaeb quan ctia su phat trien xa hdi. mgt khi xa bgi ciin den nha nudc. Sir hidn didn eua nhiing quv djnh trong Hicn phap nham muc dieh kiem soiii hav lii kiem soiit qu)cn iuc nha nudc lii diiu hidu eua dlin chu. cua lidn bd xii hpi. Co nhu vay mdi the hien dugc ban tinh nhiin ban va xii hdi siiu sac can phai ci eua Hidn phap.
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