NGUYEN Tic NGOAI LANH THO TRONG PHAP LUAT GANH TRANH HOA KYVA VIEC KEM XLT LAI OOl TUDNG
DIEU CHiNH CUA PHAP LUAT CANH TRANH VIET NAM
DirONG VAN H p c *
Xuat hien trong thdi ky ma hoat ddng trao ddi, giao dich giiJa cac quoc gia diin ra cdn ban che, nguyen tac lanh thd de dang dddc chap nhan bdi cpng ddng quoc te cho phep quoc gia thgc hien tham quyen tdi thu'dng ben trong lanh thd cua minh. Tuy nhien, khi hoat dpng trao doi, giao djch xuyen bien gidi dien ra phd bien, su" "nd rd" cua thu'dng mai toan cau khien cho nguyen tac lanh thd bdc Id nhljrig han che cua minh. Van de du'dc dat ra d day la, lieu tham quyen quoc gia cd the md rpng den cac vu viec ma hau qua cua nd cd anh hu'dng den quoc gia minh? Va lieu viec md rpng tham quyen nhif the cd d i dang du'dc chap nhan bdi cac quoc gia khac? Nguyen tac ngoai lanh tho (Extraterritorial Principle), hay hgc thuyet anh hu'dng (Effects Doctrine), xuat hien nham cd gang giai quyet cac van de, kem theo dd la nhuhg tranh cai giu'a cac quoc gia tru'dc khi nd du'dc thCra nhan rpng rai. Tren phddng dien phap luat canh tranh, bai viet phan tfch nguyen tac ngoai lanh tho trong phap luat Hoa Ky va de xuat xem xet lai doi tu'dng dieu chinh cua phap luat canh tranh Viet Nam.
1. Nguyen tac ngoai lanh tho trong phdp ludt canh tranh Hoa Ky
Xuat phdt diem ciia nguyen tdc ngodi Idnh did trong phdp ludt egnh tranh duge ghi nhdn tai vy kien United States v. Aluminum Co. of America (1945), Tda dn Hoa Ky Idn ddu tien dp dung Dgo ludt Sherman ngodi pham vi leUih thd qude gia'. Tuy nhien, tiiidc khi duge chdp nhap rgng rdi bdi cgng ddng qude tl, trong tiln trinh lich sft cua minh, nguyen tdc ngodi lanh thd ddi mat vdi sy
phdn khdng gay gat eua edc qude gia, dien hinh Id Anh Qudc^, Hien tai, thue tiln thfta nhgn vd dp dung nguyen tdc ngodi lanh tho Id khde nhau gifta cae qude gia^ Cdc nude dang phdt trien cd each tiep cdn nguyen tic kem chu dgng ban cdc nude phdt trien, trong khi dd, Hoa Ky vd EU ludn khdng dinh nguyen tdc ngoai lanh thd bdi vai trd lieh su cua minh. Ngodi ra, nguyen tae ngodi lanh thd cdn duge tim thdy trong cdc Hiep dinh hgp tdc egnh tranh duge ky kit gifta cac
Giang vien Khoa LuSt, Tnfdng Bai hgc CSn Thd.
Kurt A. Didier, The Expanding Extraternti)riat Jurisdldion of the Shemian Antibvst Ad: Intent and Effects in the Balance, 6 Loy. LA. Int'l & Comp. L Rev 463 (1983), p. 469.
Xem: Donald J. Curotio, Extraterritoriai Application of the Antitrust i^ws and Retaliatory Legislation by Fordgn Counbies, 11 Golden Gate U. L Rev. (1981), pp. 593-606.
Xem: International Bar Association, Annex Tables Identifying Bases ftr Jurisdiction, Website:
56
I LAP P H A P ^ S e 22 (278) T11/2014quoc gia theo dgng Hiep dinh nham md rdng thdm quyin. Khi dd, qude gia la thdnh vien eua Hiep dinh cd quyen md rgng thdm quyen ddi vdi viec tiiyc thi phdp ludt egnh tranh eua minh din lanh tiid qude gia khdc.
Dao ludt canh tranh ddu tien eua Hoa Ky, Sherman Act (1890), quy dinh rdng mgi hanh vi giao ket, thda thudn hay cdu kit ndo anh hudng den thuang mgi gifta cdc tieu bang hay vdi nude ngodi diu Id bdt hgp phdp''. Ngay cd edc Dao ludt lien quan den canh tranh sau ndy, Clayton Act (1914)^ vd Federal Trade Comission Act (1914)^, deu thua nhdn vdn de lien quan den thuang mgi vdi nude ngodi khi xem xet den hdnh vi ban ehe egnh tranh. Vdy, edu hdi duge dgt ra d day Id: (i) cym tft "mgi hanh vi giao ket, thda thudn hay cdu ket ndo" la dien ra trong hay ngodi lanh thd Hoa Ky? (ii) the nao Id dnh hudng den thuang mgi? (iii) va, dnh hudng din thuang mai ".. .vdi nude ngoai" d day duge hilu nhu the ndo: dnh hudng true tiep hay gidn tilp? trong hoat ddng nhap khdu, xudt khdu hoac cd hai?
Nhu vdy, phgm vi dp dyng tuong ddi
"rpng rai" trong phdp ludt egnh tranh Hoa Ky, duge hdu thudn bdi edu chft khd map md trong dilu ludt, duge xem la mgt trong nhftng can cu phdp Iy cho su tdn tai ciia nguyen tdc ngodi lanh thd. Chiing ta se xem xet sy tdn tgi cua nguyen tac ngodi lanh thd trong phdp ludt canh tranh Hoa Ky qua cdc vy viee diln hinh, la dac trung cua he thdng phdp ludt Common Law.
American Banana Co. v. United Fruit Co. (1909): khing dinh nguyin tdc lanh thd
Vu viec xdy ra gifta hai cdng ty cua My, American Banana va United Fruit, cung hogt ddng kinh doanh tgi Panama, dang dat dudi sy cai quan bdi Costa Rica. Bi dan.
United Fruit, duge sy bao trg cua chinh quyen Costa Rica nam gift vi tri dgc quyen tmdc khi American Banana tham gia kinh doanh d day. American Banana kien ien Tda an tdi cao Hoa Ky ddi bdi thudng thiet hai gdp ba Idn theo dieu 7 Dao ludt Sherman, bdi vi, hogt ddng tich thu cua chinh quyin Costa Rica, theo yeu cdu ciia United Fruit, da Idm phd huy ddn dien trdng chudi cua hg.
Su yeu cdu hay kich ddng tft phia United Fruit bi American Banana td cdo Id muu dd nhdm duy tri vi tri dgc quyen, vd nd dnh hudng den nhap khau chudi tft Trung My den Hoa Ky'.
Tda dn da tft chdi gidi quyet vy kien vi vy viec xdy ra ngodi lanh thd Hoa Ky, vd cho rang, hdnh vi lam dyng vi tri dpc quyen cua United Fruit nam ngodi pham vi dieu chinh cua Dgo ludt Sherman^. Thdm phdn Holmes, khi gidi quyet vy dn, da chi rd: "...
tdn tai nguyen tac phap lugt duge chdp nhdn phd bien rang de xem xet mgt hanh vi la hgp phdp hay khdng phdi dya vao phdp ludt nai hdnh vi do xdy ra hay thyc hien.,, Thdm quyen cua qude gia khac neu duge, chi cd thi dp dung tren y tudng cua chu the thyc hien hanh vi hem Id dp dung thdm quyen dd dua tren nai hdnh vi duge thyc hien, tuy nhien, dieu nay mdu thudn vdi chu quyen qude gia vd le nhugng qude te da duge ed cgng ddng thfta nhdn.. ."^.
Nhu vdy, qua vy American Banana Co.
Dieu 1, Dao luit Sherman (1890).
Dieu 12, Clayton Ad (1914).
£},eu 44, f=ederal Trade comission Ad (1914).
John H. Shenefield, Thoughts on Exdatenitorial Appliation of the United States Antitivst Laws, 52 Fordham L Rev. 350 (1983), p. 360.
Leon B. Greenfield and David Olsky, From Bananas to Vitamins: The Evolving ofDoctiine of Extraterritorial Application of US Antitivst Law, The Licensing Journal, March 2006, p. 7.
Hyan Paul Knott, Master Thesis: Extraterritoriality, The Effects Doctrine And Enforcement Cooperation Through Bilateral Agreements With ReganJs to Antitivst Law, University of Johannesburg, 2010, p. 29.
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V. United Fruit Co. (1909) ta cd the nhdn thdy rang Tda dn Hoa Ky dp dung nguyen tde lanh thd theo cdch hieu trayen thdng eua nd.
United States v. Aluminum Co. of America (Alcoa 1945): sy ra ddd nguyen tac ngodi lanh tho
Neu nhu trong vu American Banana Co. V. United Fruit Co. Tda dn Hoa Ky tilp can nguyen tac lanh thd theo cdch hilu truyen thdng, thi trong vy United States v.
Aluminum Co. of America (Alcoa) nguyen tdc ngodi lanh thd hay hgc thuylt anh hudng Idn ddu tien duge dp dyng trong phdp ludt egnh tranh.
Chinh quyen Hoa Ky khdi kien Alcoa ve hdnh vi Igm dyng vi tri dgc quyen trong sdn xudt vd kinh doanh nhdm, bdng cdch thiet lap eac-ten vdi cdc cdng ty nude ngodi thdng qua cdng ty con cua nd Id Alumium Limited (Limited) dang hogt dgng thuong mai d Canada. Vd cho rang, hdnh vi ndy da dnh hudng den hogt ddng nhap khdu cua Hoa Ky (boat ddng thuong mgi gifta Hoa Ky vdi nude ngodi theo quy dinh tai Dilu 1, Sherman Act).
Tuy nhien, Tda dn cho rang Alcoa da chdm dut mdi quan he vdi Limited tu nam 1935, do dd, vdn de d day Id xem xet lieu Limited eit vi pham Sherman Act hay khdng do hdnh vi thiet lap cdc-ten eua nd. Bdi vi.
Limited dang hoat ddng kinh doanh d nude ngodi nen viec xem xet hdnh vi dd cd ndm hong phgm vi dieu chinh cua Sherman Act hay khdng Id vdn de mdi me. Thdm phdn Learned Hand, khi thy ly vy viec, da xem xet din nhftng quy dinh cua Hiln phdp Hoa Ky lieu cd nhung quy dinh cho phep md rgng thdm quyin ngodi lanh thd hay khdng, va dng da ket ludn: "...qude gia cd quyen quy ket d-dch nhiem phdp Iy cho nhftng hanh vi mac du chung duge thue hien d nude ngodi nhung dnh hudng din qude gia, va thdm quyen ndy, ndi ehung, se duge qude gia khae cdng nhgn..."'".
Ket ludn cua Learned Hand Idm phdt sinh mgt nguyen tdc mdi ve thdm quyin thye thi phdp ludt eanh tranh, nguyen tac ngodi lanh thd hay hgc thuylt dnh hudng, ddi vdi hdnh vi tuy duge thyc hien d nude ngodi nhung cd anh hudng din thuong mgi
10 us V Aluminum ofAmeria, 148 F.2d 416, 444 (2nd Cir. 1945) at 443.
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Hoa K;y. Thdm phdn Learned Hand cung nhdn mgnh rdng: "...Dgo ludt Sherman se khdng dilu ehinh cdc thda thudn hgn ehl egnh tranh mac du nd dnh hudng din xudt khdu vd nhap khdu cua Hoa Ky, frft khi boat dgng dd cd dnh hudng thyc su din hogt ddng xudt nhap khdu..,"". Khi dd, hai yiu td duge Learned Hand dl xudt Id y dinh (hi- tended) vd anh hudng thye sy (Actual Ef- fects) din thuang mgi Hoa Ky Id hai yiu td cdu thdnh hgc thuylt dnh hudng'^.
Hgc thuylt dnh hudng xudt phdt tft vy Alcoa cd phgm vi dnh hudng rdt rgng den cdc hdnh vi hgn che egnh tranh d nude ngodi, bdi vi, se Id rdt khd vd cd khi la tuy tien klii xem xet nhu the ndo vl "anh hudng that sy den thuang mgi Hoa Ky". Thdm phan Learned Hand cung khdng dinh: "...
khdng nen hieu rang ca quan lap phap Hoa Ky mudn dieu ehinh tdt ca nhftng hdnh vi md chiing, cd khi, khdng ed chut dnh hudng gi den Hoa Ky,.."'^. Nhu vay, cd the hieu
"dnh hudng thyc su" d ddy se la dnh hudng ca bdn den thuang mai vd dnh hudng den lgi ieh eua ngudi tieu dung Hoa Ky, Va, neu khdng tdn tgi yeu td "dnh hudng thyc sy" thi se khdng tdn tgi hge thuyet dnh hudng theo cdch tiep can tft vu viec Alcoa.
Cd le each tiep can nguyen tdc ngodi Idnh thd theo cdch eta. Alcoa Id "hudng md"
cho viec dp dung Iinh hoat phdp Iuat, tuy nhien, nd da gap su phan ung gay gat tu phia nude ngodi, Tinh mdi me cua nguyen tdc Id mgt trong nhihig yiu td gdy nen sy phan ftng gay gat dd. Them vdo dd, cdch tiep can trong vu Alcoa, thoat nhin. Id su dp dat mdt each
rat ehung ehung theo hudng mdt chieu tu phia Hoa Ky, do do, cdu hdi ddt ra d ddy Id, lieu cdc qude gia khdc cd de ddng chap nhdn nguyen tdc ngodi lanh thd tft phia Hoa Ky?
Timberlane Lumber Co. v. Bank of America (1976): cdch tiep can cdn bang
Trong vy Timberlane Lumber Co. v Bank of America, nguyen ddn, Timberlane, da tien hdnh khdi kien cde nhdn vien cua Bank of America we hdnh vi cdu ket nham ngan chgn Timberlane xudt khdu gd sang Hoa Ky. Bdi vi, neu logi bd duge Timber- lane tbi cdc doanh nghiep duge Bank of America hdu thudn ve mat tdi chinh se chiem ITnh thi tradng xudt khdu gd d Honduras.
Hanh vi cdu ket nay hi td cdo Id da dnh hudng den hogt dgng xuat khau gd tft Hon- duras sang Hoa Ky nen vi pham quy dinh eua Sherman Act'"'.
Tda an dia phuang khi thy Iy da eho rang, vy kien da vugt qud thdm quyen eua hg vi hdnh vi md nguyen don td cdo thugc tham quyen cua tda an nude ngoai, ban nfta, vy viec khdng dnh hudng tryc tiep vd cd thiet hgi vat chdt den thuang mai Hoa Ky'^.
Tda dn phuc tham khu vyc da gift nguyen ban an cua Tda dia phuang vd lap luan rang, ddy Id mdt vu kien dan sy thdng thudng, khdng gidng nhu vy y4/coa vi ed sy tham gia eua qude gia vdi tu cdch Id nguyen dan, nen viec xdc dinh thdm quyen d ddy Id dieu khdng de ddng,
Thdm phdn Choy cho rang, khd ed the giai quyet vy viec theo each cix^ Alcoa vi nd khdng xem xet din vdn de ll nhugng quoc tl"' trong quan he gifta cac qude gia, Thdm
11 Qiu thich 1, p. 470.
12 Old tiiich 9, p. 31.
13 QIU tiiidi 8, p. 8.
14 Edward L. Rholl, Inconsistent Application of the Extraterritorial Provisions of the Sherman Ad: A Judicial Response Based Upon tiie Much Maligned "Effects" Test, 73 Marq. L. Rev 435 (1990), tr 451.
15 Chu tiiich 1, p.471. ^
16 Le nhddng quSc te dude hieu ti nhuhg cff dii bieu td tiiii do than tiiien, lich tiiiep, men khach, tdn tiong lan nhau. Le nhddng quoc ti mang ti'nh td nguyen, khdng nhat th/et ddi hoi phia quoc gia duifc hddng phai cd hanh ddng phuc dap tudng td. Tuy nhien, sff co died tai thudng dude hiiu ngam ta dddng nhlin phii m. Khdng tuan thu le nfiddng quoc t§
CO the bi dinh gia nhd hinh ddng Idling than diiin, nhuhg khdng bi coi la vi pham am kit qude te vi khdng keo theo trach ntiiim cua qua: gia.
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phdn Choy nhdn manh: "...hgc thuyet dnh hudng theo each tiep can cua Alcoa Id khdng hodn hao vi nd khdng cdn nhdc den vdn de le nhugng qude te vd nd ciing khdng xem xet todn bd mdi quan be gifta cac chu the va quoc gia, Neu bi don mang qude tich Hoa Ky thi de ddng khi dp dung phap ludt Hoa Ky nhung dieu ndy Id phuc tap vdi ddi tugng Id ngudi nude ngodi...". Vd ".. .Tda an Hoa Ky phai edn nhdc den vdn de ve le nhugng quoc te va sy rieng biet ve ehu quyen quoc gia, cfing nhu xem xet ve lgi ieh gifta eac qude gia vdo nhung tmh hudng thyc te khi dp dung hgc thuyet dnh hudng..."".
Cdn nhac den lgi ich gifta cdc quoc gia, Tda an dd dua ra ba vdn de cdn xem xet de xdc dinh "thdm quyin hgp Iy" Id'^:
(i) Lieu vy viec cd anh hudng hay cd y dinh dnh hudng den hoat dgng ngoai thuang cua Hoa Ky?
(ii) Muc do vi pham cua hanh vi ddi vdi nhftng quy dinh cua Dgo luat Sherman?
(iii) Vd, van de ve sy edng bdng vd ll nhugng qude te, lieu cd nen dp dung thdm quyen ngodi Idnh thd trong tradng hgp ndy?
Vd cdn Iam rd cde yeu td sau'^:
(1) Mftc do vi pham den phdp ludt hay chinh sdch nude ngoai;
(2) Qude tich cua cac ben hay noi dat tiy sd dieu hdnh cua doanh nghiep;
(3) Viec md rdng tiidm quyin eiia mdi quoc gia ed mong dgi dat duge su ddng thudn tft phia cdc qude gia khac;
(4) Anh hudng ca ban din thuong mai Hoa Ky so sdnh vdi cdc qude gia khdc;
(5) Muc dich rd rang gdy dnh hudng din thuong mgi Hoa Ky;
(6) Khd ndng thdy trade cua nhung dnh hudng dd;
(7) Va, mdi lien he ea bdn gifta hdnh vi vi phgm duge thyc hien ben tirong lanh thd Hoa Ky so sdnh vdi hdnh vi vi pham thyc hi?n d nude ngodi.
Rd rang mgt dieu rang, viec md rdng thdm quyen neu dp dyng mgt each thilu cdn nhdc se dnh hudng den quan he qude tl cua chinh quoc gia. Tda dn da nhan manh, viec md rdng thdm quyen khdng duge xdm pham den chu quyen, cdc ehinh sdch ve khuyen khich phdt trien, dgc biet, khi ehinh sdch edng eua qude gia lai Id try cdt cua vdn dl^".
Sau khi xem xet ede yeu td neu tren, Tda dn da di den ket luan: "Khd nang vi pham chinh sdch kinh te va phdp ludt thuang mgi eua Honduras Id rdt Idn... vd sy thilu vdng khi xem xet nhiing ehiing eft ve y dinh gdy dnh hudng den thuang mai Hoa Ky. Khd nang thdy trade eua dnh hudng tii nhimg hdnh vi bi cdo huge Id rdt thdp. Hdu hit cde hdnh vi vi phgm duge thyc hien Id d nude ngodi.
Yeu td qude tich Hoa Ky, trong tradng hgp ndy. Id ehua du cho viec dp dung phap ludt Hoa Ky. Chung tdi tin rang khdng cd ddy du can cu eho viee md rdng thdm quyin dl dp dyng phdp Iuat Hoa Ky eho vu viee nay"^'.
Phdn quylt trong vy Timberlane da ti-d thdnh an le cho cdc vy viec sau dd. Tuy nhien, trong vu Mannington Mills. Inc. v.
Congoleum Corp^^ thi viec dp dyng an le cd mdt it thay ddi do sy can nhae nhilu han din vdn dl ve ll nhugng qude xIP. Tda dn tiiu Iy vy Mannington da them vdo nhung yiu td cdn thiet phdi xem xet, do Id^": (1) sy tdn tai cde bien phdp dilu ehinh trong plidp ludt
17 Chu thich 1, p. 472.
18 Timberlane Co. v. Bank of America, 549 F.2d (9th Cir, 1976) at 615.
19 Timberiane Co. v. Bank of America, 549 F.2d (9th Cir, 1976) at 614.
20 Scoa:A. Bun; The Application of US Antitiust Law to Foreign Conduct: Has Hartford Fire 21 549 F.2d (90i Or, 1976) at 1386.
22 Mannington Mills, Inc. v. Congoleum Corp., 595 F.2d (3d Cir 1979) at 1287 23 Chu tiiich 20, p 231.
24 Mannington Mills, Inc. v. Congoleum Corp., 595 F.2d (3d Or. 1979) at 1297-98.
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nude ngodi; (2) dnh hudng tieh cue din quan he ddi ngoai; (3) vd, lieu cde bi?n phdp gidi quyet tft phia nude ngodi ed duge chdp nhdn nlu nd dp dyng d Hoa Ky hay ididng.
2.4. Dao lu$t cung cd ngoai thucmg vd canh tranh (FTAIA 1982): gi&i han cua nguyen tdc ngodi lanh thd
Sau khi xem xet cac vdn dl lien quan den hogt dgng thuang mgi qude gia, ehinh sdch trd dua eua nude ngodi vd su thilu thdng nhdt trong qud ninh dp dyng, Hoa Ky ban hdnh Dao lugt ciing ed ngoai thuang vd egnh tranh (FTAIA) nhdm tgo ra cdch tilp can hgn che ddi vdi nguyen tac ngodi lanh thd duge quy dinh trong Sherman Act^^.
FTAIA gidi hgn nguyen tdc ngodi lanh thd d hai khia canh: phgm vi dp dung Id xudt khau (cdc hanh vi duge thue hi?n d nude ngodi), tieu chi dl dp dyng Id cde hdnh vi phdi cd dnh hudng mgt each tryc tilp, gdy thi?t hgi vl mat vat ehit, khd ndng thdy trade mgt cdch hgp ly din hogt ddng thuong mai trong nude bay xudt khdu eua Hoa Ky^^.
Do chi xem xet den hogt dgng hgn ehl canh tranh dien ra d nude ngodi nen FTAIA khdng dilu chinh trong trudng hgp nguyen don cua vy viec la doanh nghiep d Hoa Ky vd hi dan, chu the thyc hien hdnh vi hgn che egnh tranh, la cdng ty nude ngoai tuy hdnh vi dd dnh hudng den thuang mai Hoa Ky.
Vd, mdt dieu hien nhien, hdnh vi han che egnh tranh cua cdc doanh nghiep nude ngodi khdng boat ddng kmh doanh d Hoa Ky ciing ed the Id ddi tugng dieu chinh cua phdp ludt canh tranh Hoa Ky neu chung dnh hudng den thuang mai trong nude hay den xudt khdu cua Hoa Ky.
Tuy nhien, xem xet nhu the ndo Id dnh
hudng den xudt khdu cua Hoa Ky lai Id vdn de. Mdt hdnh vi ban ehe canh tranh dien ra tren thi tradng mdy tinh d Chdu Au, duge thye hien bdi edc doanh nghiep Chdu Au, lieu nd cd dnh hudng den den boat ddng xudt khdu Clia doanh nghiep Hoa Ky vd cd thudc pham vi dieu chinh cua Sherman Act?
Vdi tdm dnh hudng to Idn cua nin kinh tl Hoa Ky trong thdi dilm bdy gid, thi cd thi ndi rdng, hau hit cdc hdnh vi hgn chi canh tranh dien ra ngoai lanh thd Hoa Ky, khdng it thi nhieu, deu cd the dnh hudng din xudt khdu cua qude gia ndy. Dieu ndy ddng nghia vdi tat ed cdc hdnh vi ban chi canh tranh do diu cd thi la ddi tugng dilu chinh cua Sher- man Act. Nhu vdy, neu hieu theo cdch nay thi pham vi dp dyng tiieo quy dinh cua FTAIA Id rat rgng.
Tren thyc te, FTAIA duge cac tda an phuc thdm cdp lien bang gidi thich khdc nhau, Theo cdch gidi thich hep, phap ludt canh tranh Hoa Ky chi dilu chinh ddi vdi cdc hdnh vi hgn che egnh tranh phdt sinh d nude ngodi gdy thiet hgi true tilp din thucmg mgi trong nude. Nguge lgi, theo each gidi thich rgng, phdp ludt canh tranh Hoa Ky duge dp dyng ddi vdi khieu ngi tft nude ngodi khi hdnh vi bi khieu nai eiing gdy ra thiet hgi trong nude. Tuy nhien, Tda dn tdi cao Hoa Ky dd dua ra each tiep can hep ban cho trudng hgp ndy Id ede hdnh vi ban che egnh tranh d nude ngodi phdi tac dgng den gid cd bode thuang mgi, vd it nhdt, phdi cd dnh hudng den hoat ddng thuang mai trong nude cua Hoa Ky^'.
Tdm lai, each tiep can cua FTAIA rdt gidng vdi cdch tiep can trong vu Alcoa (1945), tuy nd dd them vdo yeu td khd ndng
25 Chu thich 14, p. 463.
26 Won-Ki Kim, U.S. Antitrust Law's Exbaterritorial Application and Its Adoption in Korea, Singapore Journal of International SI Comparative Law, 2003, p. 392.
27 International Bar Association, Report of the Task Force on Extraterritorial Jurisdldion, tr 67, Website:
hap://www.ibanet.org/Document/Default.aspx?DoeumentUid=ECF39839-A217-4B3D-8106-DAB716B34FlE,[eapnhat8- 12-2013].
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thdy ti^idc vl hdu qud eua hdnh vi hgn che eaiii hanh, nhung nd lai khdng thi hien duge cdch tilp can cdn bdng trong vu Tim- berlane (1976)^^. Tuy nhien, khi lgi ich cdc qude gia cd su dan xen, khi viec duy tri mdi quan he "hiru hao" ludn Id nhi^m vu quan trgng trong ehinh sdch ddi ngogi cua cdc qude gia, thi lieu cdch tiep can eua FTAIA cd Id hgp Iy?
2.5. F. Hoffmann-LoRoche Ltd. v. Em- pagran S.A (2004): hdi hoa hda cdch tiep can cua FTAIA
Vu Empagran lien quan den nhiing thda thudn diln ra d thi tradng the gidi vd ed dnh hudng den thj tradng Hoa Ky. Ddy Id vy vi?e phdt sinh tu edc khieu kien cua cdc nguyen dan tii cac nugc Australia, Ecuador, Panama vd Ukraine tai Tda an eua Hoa Ky vl cdc thiet hgi md cdc nguyen don ndy gdnh chiu d ngodi nude Hoa Ky vi mdt cdc-ten qude te ve gid vitamin cd hogt ddng d Hoa Ky. Chinh vi cho rdng ed su dnh hudng den thi tradng vitamui cua Hoa Ky nen nguyen dan da dua vy kien den Tda an Hoa Ky^'.
Tda dn khu vuc xem xet vy viee vd eho rang nd khdng thude pham vi dieu chinh cua Dgo ludt Sherman vi nd khdng du cdc yeu td lien he dl dp dung phap ludt canh tranh Hoa Ky theo cdch tiep can cua FTAIA. Mgt trong nhihig yeu td cdn thilu cua sy lien kit nay la hdnh vi dn dinh gid khdng dnh hudng tn^c tiep den thuang mai cua Hoa Ky. Tda an nhdn dinh rang hdu qud cua hdnh vi dn dinh gid tac dgng thyc su vd true tilp din thi tradng nude ngodi vi vitamin duge ban d thi tradng nude ngoai'".
Tda an tdi cao Hoa Ky, khi xet lai vu
viec, mdt lan nfta khdng dinh hanh vi an dinh gid d ddy khdng thude pham vi dieu chinh cua phdp ludt egnh tranh Hoa Ky. Tda dn cho rang chi khi nao nguyen don chiing minh duge sy dnh hudng tryc tiep din thuang mgi Hoa Ky thi vy vi^e mdi thugc thdm quyen eua Tda an Hoa Ky. Ngodi ra, Tda dn tdi cao Hoa Ky da nhan mgnh vai trd cua le nhugng quoc te trong vi?c thyc thi FTAIA. Tda dn cho rang, de xac dinh y dinh cua cdc nhd lap phdp ddi vdi nhftng quy dinh vl nguyen tae ngodi lanh thd, trong tradng hgp ed tdn tgi sy map md, thi ta nen hieu theo hudng viec dp dyng nguyen tac ndy phdi trdnh sy xam phgm bdt hgp Iy den chu quyin cua cdc qude gia khdc^'. Viec dp dyng FTAIA vdi myc tieu gidi han nguyen tdc ngodi Idnh thd chft khdng phdi md rgng nd, vd, FTAIA khdng the duge gidi thich de dua cdc thiet hgi d nude ngodi gdy ra mgt cdch dgc lap vdo phgm vi dieu ehinh cua Dgo ludt Sherman. Phdn quyet da logi bd khd nang cdc nguyen dan nude ngodi khieu kien ve cdc thiet hgi md hg phdi gdnh chiu phdt sinh tft cdc hdnh vi ban ehl canh tranh d ngoai nude Hoa Ky.
Vu Empagran da eho ta thdy cdch tilp can hdi hda trong nguyen tdc ngoai lanh thd, theo dd, cd sy ket hgp gifta nhiing yeu td cua Alcoa (1945), duge bd sung bdi FTAIA vd cdch tiep can can bang trong Timberlane (1976). Sy hdi hda d ddy the hipn cdch ung xu cua cac qude gia khdng chi tdn trgng chii quyen cua nhau md cdn la sy cdn nhdc din yeu td cua mgt thi tradng dang todn cdu hda - thi tradng ed su dan xen gifta cdc chu quyin qude gia'^.
28 Chu tiiich 9, pp. 42-43.
29 Xem: F. Hoffman-La Roche v. Empagran, 542 U.S. 155 (2004).
30 Chu thich 8, p. 10.
31 Chu tiiich 9, p. 67.
32 Old tiiich 9, p. 57.
I NGHIEN CUU e n I NGHIEN CUU , O t I LAP P H A P V s d 22 C
2. Xem xet Iai d6i tugng dilu chinh cua phap luat canh tranh Viet Nam
Theo quy dinh tai Dilu 2, ddi tugng dp dyng cua Ludt Cgnh tranh 2004 Id cac td chftc, ed nhdn kinh doanh (chu thi kinh doanh) vd hiep hgi ngdnh nghe boat ddng d Vi?t Nam. CJ day, cum tft "hogt dgng tgi Viet Nam" duge nhdn mgnh nham chi ra gidi ban eho phgm vi dp dung cua Ludt Cgnh tranh.
Van de ddt ra Id, cum tft "hoat ddng tai Viet Nam" d day duge hieu Id doanh nghiep ehi hogt dgng tgi Viet Nam hay cd the d ed Viet Nam vd nude ngodi? Hien nay vdn ehua cd van bdn hudng ddn cdch hieu thdng nhat ve cym tft nay, tuy nhien, nd lai Id mdu chdt cua van de nham xdc dinh lieu phap lugt cgnh tranh Viet Nam cd dp dyng ngodi lanh thd hay khdng. Tren thyc te, ed the xdy ra ba tradng hgp nhu sau:
Thir nhdt, trong tradng hgp doanh nghiep vfta hogt ddng kinh doanh d Viet Nam vfta boat dgng kinh doanh d nude ngodi va hdnh vi hgn ehe canh tranh dien ra d nude ngodi (hdu qud cua hdnh vi dd dnh hudng din tiii hudng Viet Nam) tiii cd tiiudc
phgm vi dieu chmh eua phdp ludt cgnh tranh Viet Nam hay khdng?
Thii- hai, khi doanh nghiep sdn xudt hdng hda tgi Viet Nam nhung lai tiln hdnh kinh doanh thi tradng nude ngoai thi doanh nghiep cd vi pham phdp ludt canh tranh Viet Nam bay khdng neu nd thye hien hdnh vi ban ehe egnh tranh d nude ngodi?
Thii- ba, tradng hgp dgc biet, khi doanh nghiep nude ngoai khdng hogt ddng kinh doanh d Viet Nam nhung hanh vi han ehe cgnh tranh cua nd lai dnh hudng den thi tradng Viet Nam thi cd thudc phgm vi dilu chinh eua phdp lugt canh tranh Viet Nam?
Rd rdng, de xdc djnh cdc trudng hgp neu tren cd thugc pham vi dieu chinh hay "thdm quyen" cua Ludt Canh tranh Viet Nam hay khdng Id dieu rat khd, bdi vi, ta cdn phdi nhin nhdn rang, ddi tugng dieu chinh cua phdp ludt canh tranh phdi Id hdnh vi hgn che canh tranh ehu khdng phdi la ehu the thyc hien hanh vi. Dao ludt Sherman quy dinh rdt rd ddu Id ddi tugng dieu chinh cua nd, dd Id edc hdnh vi, hgp tdc hay edu ket gdy cdn trd
33 Xem: Dieu 1,2, Sherman Ad.
S6 22(278)T11/2014V
163
KINH NGHIEM QUOC TE
din thuang mgi gifta edc tiiu bang hay vdi nude ngoai", ddu Id chu thi thue hien hdnh vi vi phgm, vd chinh chu the thyc hien hdnh vi se hi dp dyng nhfing bien phdp ehe tdi.
Cung chinh vi quy dinh ddi tugng dilu chinh Id hdnh vi ban ehl canh tranh nen se xde dinh duge pham vi dilu chinh eua ludt bang viec xem xet cac yiu td: nai hdnh vi thyc hien - trong nude hay ngodi nude; hdu qua eua hanh vi ddi vdi thuang mai qude gia.,,
Phdp ludt Viet Nam, ngugc lgi, phgm vi dilu chinh lgi gdn lien vdi chu the thyc hien hanh vi. Quy dinh nhu vdy se gdy khd khan cho viee xde dinh thdm quyen ddi vdi vy viec cgnh tranh vi chu the kinh doanh cd the boat dgng cd d Viet Nam vd nude ngodi. Vi khong xem xet duge y dinh eua cym tft
"hogt ddng tai Viet Nam" Id nhu the ndo nen trong hai tradng hgp ddu, neu xet diing vdi nhiing gi Dilu 2 Ludt Cgnh tranh quy dinh, se thugc phgm vi dilu chinh cua phdp ludt canh tranh Viet Nam vi ro rdng mgt dieu rdng chung dang hogt dgng d Viet Nam.
Nhu vdy, trong hai trudng hgp ndy, Viet Nam se cd thdm quyen dp dung ngodi lanh
thd phdp ludt eanh yanh cua mmh. Tradng hgp thu ba, nguge lgi, do doanh nghiep khdng hogt dgng d Viet Nam nen kbdng dp dung phdp ludt eanh tranh Vi?t Nam, nhung, day lai la ddi tugng dl dp dyng nguydn tae ngodi lanh thd hay hge thuylt anh hudng n-ong phdp ludt canh tranh Hoa Ky.
Kinh nghiem tft viec dp dyng nguyen tac ngodi lanh thd trong phap lugt canh tranh Hoa Ky Id cdn thilt cbo viec hodn thien phdp ludt canh tranh Viet Nam, bdi vi, trong bdi cdnh todn cdu hda kinh te dien ra manh me nhu hien nay, sy tdn tai nhiing anh hudng cua mdt hdnh vi hgn che cgnh tranh d nude ngodi din nen kinh te eua mdt qude gia Id dilu tdt yiu. Viet Nam cdn xac dinh Iai pham vi dilu chinh cua phdp ludt canh tranh theo hudng Idy hanh vi han che egnh tranh 1dm ddi tugng dilu ehinh de tao ca sd ro rdng ban cho viec dp dung nguyen tac ngodi lanh tho. Nhung, dilu cdn thilt phdi lam hipn nay Id dua ra gidi thich cy the cho eum tft "boat dgng d Viet Nam" de xde dinh pham vi dp dyng thdng nhat cbo phap lugt cgnh tranh V^t Nam •
Nguyen tac...
(Tiep theo trang 32)
nhdc rang phdi duge "ngudi duge dai dien ddng y" md khdng md rdng them khd ndng ngudi duge dgi dien "biet md khdng phdn ddi" nhu duge quy dinh tai Dilu 146. Cdch quy dinh nhu the ndy tai Dilu 145 duge hilu Id ngay cd khi ngudi duge dgi dien "biit md khdng phdn ddi" thi hgp ddng ddi vdi ngudi khdng cd thdm quyen dai dien vdn vd hieu!
Cudi cung, BLDS nam 2005 ciing ehua de cap den tradng hgp mgt ngudi dgi dipn tnxac dd dd ed thdm quyen nhung nay thdm quyen ndy khdng cdn nfta (nhu quy dinh tgi Dilu 112 BLDS Nhdt Bdn neu tten).
Trong qud trinh xem xet sfta ddi BLDS
nam 2005, cac nhd Idm ludt "V^et Nam nen sfta d6i, bd sung cdc Dieu 145 va 146 theo cdch tiep can cua thong le thi gidi. Nghia Id nhd 1dm ludt cdn huge ngydi duge dai dien phdi ehiu trdch nhiem cho hanh vi trao quyen cua minh neu hdnh vi nay khiin ben thft ba ngay tinh cd ca sd hpp ly dl tin rdng ngudi dai dign cd du thdm quyin dgi dien cho ben duge dai di?n thay vi budc ben thft ba phai chiing minh rang ngudi duge dai dien ddng y hoac biit md khdng phdn ddi nhu duge yeu cdu tgi Dilu 145 vd 146 BLDS nam 2005. Nhu vdy thi viec bao ve ben thft ba ngay tinh se hgp Iy va phu hgp tiidng l§ till gidi hon. Cac nhd lam ludt Viet Nam cd thi tham khdo cdc Dilu 109, 110 va 112 BLDS Nhgt Bdn neu ti-en khi xdy dyng cdc dieu ludt cbo minh •
I NGHIEN CUU
LAP P H A P V S 6 22 (278) T11/2014