煤矿企业兼并重组过程中的反垄断法律问题研究.docx

《煤矿企业兼并重组过程中的反垄断法律问题研究.docx》由会员分享，可在线阅读，更多相关《煤矿企业兼并重组过程中的反垄断法律问题研究.docx（52页珍藏版）》请在得力文库 - 分享文档赚钱的网站上搜索。

1、 山山西西大大学学 20112011 届硕士学位论文届硕士学位论文煤矿企业兼并重组过程中的 反垄断法律问题研究 -以山西为 例作者姓名作者姓名梁荣梁荣指导教师指导教师李冰 副 教 4 受学科专业学科专业经济法学研究方向研究方向市场规制法培养单位培养单位山西大学法学院学习年限学习年限2008 年 9 月一 2011 年 6 月一年六月Thesis for Masters degree, Shanxi University, 2011Research on the Anti-monopoly Matters In Mergers and Acquisitions of Coal Mining En

2、terprises -Shanxi as a caseNameSupervisorMajorField of ResearchRong LiangAssociate Prof. Bing LiEconomic LawMarket Regulation LawDepartmentShanxi University law SchoolResearch DurationSeptember, 2009June, 2011June, 2011目录目录m .iABSTRACT.Ill弓弓I胃胃.1、山西煤矿企业兼并重组现状山西煤矿企业兼并重组现状.3(一).山西煤矿企业兼并重组的必要性.31. 兼并重组

3、是提高煤炭产业集中度的主要方式 .32. 兼并重组是提高生产力的重要途径 .33. 兼并重组是保障行业安全生产的重要手段 .44. 兼并重组是实现可持续发展的必然要求 .4(二） 兼并重组工作已取得的成果 .5(三） 兼并重组中存在的问题 .61 兼并重组中对国有企业垄断的争议.72. .兼并重组中对政府行政推进工作的争议 .73其他问题.8二、二、煤矿企业兼并重组中的反垄断法律问题分析煤矿企业兼并重组中的反垄断法律问题分析.10(一） 企业合并中的法律规制理论 .101. 企业合并的内涵 .102. 企业合并与反垄断法之间的关系 .113. 企业合并中反垄断控制的原则 .114. 运用反垄断

4、法在企业合并时进行积极规制 .125. 运用反垄断法在企业合并时进行消极规制 .14(二） 对反垄断法豁免理论的分析 .141. 反垄断豁免的内涵和作用 .142. 适用反垄断豁免规制的理论根据 .153. 山西煤矿企业兼并重组适用豁免制度的规模经济理论分析 .164. 山西煤矿企业兼并重组适用豁免制度的社会利益分析 .175. 煤矿企业兼并重组中反垄断豁免适用的模式 .196. 控制程序，避免反垄断豁免滥用 .20三、三、各国煤炭资源管理经验借鉴各国煤炭资源管理经验借鉴.22(一） 各国对煤矿企业合并的控制.22(二） 各国煤炭资源具体管理制度.221. H.222. 鮮.233. 俄罗斯.

5、244对山西的借鉴作用 .25四、对煤矿企业兼并重组问题的思考、对煤矿企业兼并重组问题的思考 .26(一） 修订、完善相关法律法规.261. 研究相关法律的修改方案.262. 制定煤矿企业兼并重组中关于中小煤矿企业的相关法规 .26(二） 完善相关法律制度.271. 完善企业合并申请报告制度.272. 完善对重要行业兼并进行专门审查的制度.273. 完善企业合并的反垄断豁免制度.28(三） 对政府干预行为进行规范，避免行政干预过度膨胀.28(四） 进一步理顺煤矿企业兼并重组中政府与企业及社会之间的法律关系.29(五） 依法处理好企业兼并重组中的遗留问题.30 m.32#考考5：献：献 .33攻

6、读学位期间取得的研究成果 .36St m.37个人简况及联系方式个人简况及联系方式 .38 7 ig .39学位论文使用授权声明学位论文使用授权声明 .40CONTENTSChinese Abstract.IAbstract .IllIntroduction.11. Current situation of coal mining enterprises integration in Shanxi.31.1. The necessity of coal mining enterprises integration in Shanxi .31.1.1. Integration is the ma

7、in way to increase the degree of industry concentration .31.1.2. Integration is the important way to raise the productivity .31.1.3. Integration is the vital means to guarantee safety in coal industryproduction.41.1.4. Integration is the necessary requirement of sustainable development.41.2. Achieve

8、ments in coal mining enterprises integration .51.3. Problems in coal mining enterprises integration.71.3.1. The arguments about monopoly of state-owned enterprises in resourceintegration.71.3.2. The arguments about promotion of integration by administrative means. . . . 71.3.3. Other problems.82. An

9、alysis of antitrust laws related with coal mining enterprises integration.102.1. Legal regulation theory of business combination.102.1.1. The meaning of business combination. 102.1.2. The relationshipof business combination andantitrust law.112.1.3. The principles of anti-monopoly control in busines

10、s combination.112.L4. Positive usage of antitrust laws in business combination.122.1.5. Negative usage of antitrust laws in business combination .142.2. Analysis of antitrust exemption theory.142.2.1. The meaning and function of antitrust exemption .142.2.2. Theoretical support of antitrust exemptio

11、n.152.2.3. Economic theoretical analysis of applicable scope of antitrust exemption incoal mining enterprises integration in Shanxi .162.2.4. Society benefit analysis of application of antitrust exemption in coalmining enterprises integration in Shanxi.172.2.5. Application mode of antitrust exemptio

12、n in coal resource integration 192.2.6. Controlled program to avoid the abuse of antitrust exemption .203.Experiences of coal resource management in foreign countries.223.1. The management of coal mining business combination in foreign countries 223.2. The specific management rules of coal resources

13、 in foreign countries.223.2.1. The United States .223.2.2. South Africa.233.2.3. Russia.243.2.4. Possible enlightenments for Shanxi .254.Possible solutions for the problem in coal mining enterprises integration .264.1. Improving related regulations and laws .264. LI. Amendments of related regulation

14、s and laws.264.1.2. Establishments of regulation for small-and-medium-sized coal enterprises integration .264.2. Perfecting related regulation system.274.2.1. Perfecting the application system of business combination .274.2.2. Perfecting the verification system of business combination.274.2.3. Perfe

15、cting the antitrust exempt system of business combination.284.3. Regularize administrative intervention to avoid excessive interference.284.4. Further adjust the legal relationship of government, enterprises and society incoal resource integration .294.5. Appropriate treatment for residual problems

16、in enterprises integration.30Conclusion.32References.33Research achievements.36Acknowledgment .37Personal profiles .38Letter of commitment.39Authorization statement.40摘要摘要煤炭资源是中国最重要的基础能源之一，山西省是煤炭大省，经济 社会的发展也依赖于煤炭产业，一直以来山西依托在煤炭产业方面的突 出优势，大力发展煤炭工业，山西因煤而兴，但许多社会矛盾、经济障 碍也因煤而生。近年来，政府管理部门按照国家煤炭产业政策确定的发 展路线

17、采取了一系列措施，通过完善体制、强化管理、扶优汰劣、保障 安全，优化结构，促进升级，加大深度加工、节约资源、保护环境的力 度，对促进全省煤炭工业转型发展、安全发展起到了积极作用。但是， 由于整合力度和层面还比较低，煤矿企业水平依然良莠不齐，产业集中 度仍然较低，煤矿安全事故依然时有发生，这与科学发展观的要求相比 还有很大差距。为此，从 2009 年起，全国开始进行大规模的煤炭资源整 合，山西作为我国主要的产煤大省，首当其冲。本文就基于这样的背景 研究为什么要进行煤炭资源整合，通过整合对山西乃至全国有哪些影响， 在煤炭企业兼并重组过程中存在哪些问题，如何界定是否形成垄断，如 何从反垄断豁免的角度

18、对其进行分析，以及国外主要产煤国家是如何对 煤炭资源进行管理的等问题。本文主要运用历史分析、比较分析和实证分析的方法，通过研究国 外煤炭管理制度和此次山西煤炭资源整合的必要性，剖析当前国内经济 形势下煤矿企业兼并重组的现状、企业合并和反垄断适用除外制度理论， 为国家在山西范围内乃至全国范围内进行大规模企业兼并重组工作找到 理论支持和法律依据，并提出完善我国煤炭行业相关法规和制度的建议， 以便使煤矿企业兼并重组工作更加顺利进行。全文包括四个部分：第一部分，主要论述山西煤矿企业兼并重组工作的现状和出现的问 题。首先对兼并重组工作的背景进行简要的阐述，梳理资源整合的必要 性；其次对煤矿企业兼并重组已

19、取得的成果进行简要介绍，特别是经过 整合后产业集中度的提高给山西经济带来的影响；第三分析了在推进整 合过程中所产生的一些问题，为下文研究奠定基础。第二部分，主要从企业合并中反垄断法律规制理论角度，提出煤矿 企业兼并重组适用反垄断除外制度的理论依据。通过对企业合并和反垄断豁免制度的分析，将此次整合纳入到反垄断豁免的范围中来，并提出 通过程序来避免其滥用。第三部分，通过对国外三个主要产煤国家煤炭管理制度的介绍与分 析对比，找出其可供我国借鉴的经验，以期为我国煤矿企业兼并重组下 一步工作开展提供依据。第四部分，主要论述的是通过对继续推进煤矿企业兼并重组工作中 出现的诸多问题的思考，提出一些措施建议以

20、便更好地开展今后工作。 在这一部分，立足于我国的具体国情和中央政策，通过对煤炭改革法律 问题的分析，就未来煤炭资源整合的后续工作如何完善以及山西作为典 型如何对其他省的煤改做出示范效果两个方面，提出相应的对策和建议。本文得出的结论是：山西应当继续推进煤矿企业兼并重组工作，加快 煤矿企业整合，提高煤炭的产业集中度，突出抓好反垄断豁免制度的构 建，并逐级逐层制定配套措施，切实做到兼并重组工作在国家层面上有 法可依，在地方政府方面措施详实具体，以此为契机，推进山西省的全 面、协调、可持续发展。关键词：煤矿企业；兼并重组；反垄断；豁免ABSTRACTCoal is the most important

21、 and dominance energy resource in China, so Shanxi province, which has adequate coal resource, relies much on the coal industry to promote the economic and social development. However, some society contradictions and economic barriers are brought out by the over exploitation of coal industry in Shan

22、xi. Recent years, a series of measurements have been taken by the administrative departments following the coal industry policy of national development and reform commission, including to perfect system, to strengthen management, to assure security, to conserve resource and to protect environment, e

23、tc. These measures play vital role in the transformational and safety development of coal industry in whole Shanxi province. Since the short time and the shallow levels of them, coal mining enterprises are still have significant different management levels and abnormal distribution, even coalmine ac

24、cident happened in some ones, which have long distance to reach the development level we expected. So, in order to improve the whole coal industry system, China began with the national scale integration of coal resources, definitely, Shanxi province, which has the highest coal production, should sta

25、nd in the breach. In such research background, this study has a specific objective to investigate the necessity of coal resource integration, the work effect in Shanxi and whole China, the potential problems will be faced and how to solve the doubt of monopoly by antitrust exemption way, also, the e

26、nergy resource management cases in other foreign coal productive countries are used as references.This study analyzed the coal resource management system of foreigner countries, the necessity of resource integration in Shanxi and the current situation of coal mining enterprises by using the history

27、analysis, comparison analysis and empirical analysis method. The consequence of this study are providing theoretical and legal support for this large scale coal resources integration in Shanxi and whole nation, perfecting the institutional and regulatory setting, promoting the action of reconstructi

28、on and transformationinof coal mining enterprises. All investigation includes the following part:The 1st section talked about the existing state of affairs and present problems in this integration project in Shanxi. At first, introduced the background of coal resource integration project to establis

29、h its meaning; then elaborated the activities and achievements in Shanxi, and the effects of this project on the economic development in Shanxi; at last, discussed the present problems in this process and laid the foundation of this study.The 2nd section mainly discussed the anti-monopoly theory in

30、business combination so that provide the theoretical basis and evidence for that coal resource integration is exception to apply antitrust law. Expounded the cases of corporate combinations and the examples of antitrust exemption in worldwide; found possible enlightenments for further enhance coal m

31、ining enterprises restricting and integration project and its related regulations.The last section gave an account of deep thinking about these problems present in integration project, and brought forward opinions on the following work. All study in this section based on the specific condition and c

32、entral policy of China, set Shanxi as a pioneer in coal resource integration and considered the following potential problems by analyzing related regulations and laws.The conclusions of this research are following ones: the integration project of coal mining enterprises should be promoted in Shanxi,

33、 continue to increase the degree of coal industry concentration, to perfect the business combination, especially to establish antitrust exemption system, to provide legal support for integration project, so that Shanxi could seize this transformation development chance.Keywords: M coal mining enterprises; antitrust; antitrust exemptionIV煤炭作为一种重要的矿产资源，是我国国民经济发展的基础能源之一，与民生利 益息息相关。随着近年来煤炭行业的飞速发展，煤炭产业布局不合理、资