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저작자표시-비영리-변경금지 2.0 대한민국
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반경쟁행위가 없었을 경우 형성되었을 가격과 물량
반경쟁행위로 인해 형성된 가격과 물량
가격인상으로 인한 후생감소분 : (Overcharge) 물량감소로 인한 후생감소분 : (Volume Effect)
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ABA Section of Antitrust Law, Proving Antitrust Damages : Legal and
Economic Issues(2nd Ed), 2010
― , Providing Antitrust Damages ; Legal and Economic Issues,
American Bar Association, 2012
Alfter, M & Young, J, "Economic Analysis of Cartels - Theory and
Practice", E.C.L.R, Issue 10, 2005, p.546
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Andrew I Gavil & William E. Kovacic & Jonathan B Baker, Antitrust
law in perspective : cases, concepts, and problems in competition
policy, Thomson/West, 2002
Commission of the European Communities, "Green Paper on Damages
actions for breach of the EC antitrust rules", 2005
― , "White Pater and Damages actions for breach of the EC
antitrust rules", 2008
,― "Best Practices for the Submission of Economic Evidence and
Data Collection in Cases concerning the Application of Articles 101
and 102 and in Merger Cases", 2010
― , "Draft Guidance Paper : Quantifying Harm in Actions for
Damages based on Breaches of Article 101 or 102 of the Treaty on
the Functioning of the European Union", 2011
― , IP/05/1634, Brussels, 20th December 2005, Competition : Commission
launches consultations on facilitation damages claims for breaches of EU
competition law
― , IP/08/515, Brussels, 3rd April 2008, Antitrust : Commission presents
policy paper on compensation consumer and business victims of
competition breaches
Conner, J .M., "Global Cartels Redux : The Amino Acid Lysine
Antitrust Litigation", in Kwoka & White Ed., The Antitrust
Revolution; Economics, Competition and Policy(5th Ed), Oxford
University Press, 2007
Dan B. Dobbs, Law of remedies, Damages-Equity-Restitution(2nd Edition)
Volume 1, West Publishing Company, 1993
,― The law of Torts Volume 1, West Group, 2000
Dan B. Dobbs, Paul T. Hayden, Ellen M. Bublick, Tort and Compensation,
Personal Accountability and Social Responsibility for Injury, West
Group, 2009
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Edward J. Kionka, Torts(4th Ed), Thomson/West, 2005
Emily Clark, Mat Hughes and David Wirth, Study on the Conditions of
Claims for Damages in case of Infringement of EC Competition
Rules-analysis of economic models for the calculation of damages-,
Ashurst, 2004.8
Gunnar Niels, Helen Jenkins, James Kavanagh, "Economics for
Competition Lawyers", Oxford University Press, 2011
Hovenkamp, Federal Antitrust Policy, The Law for Competition and its
Practice(3rd Ed), Thomson/West, 2005
― , the Antitrust Enterprise : Principle and Execution, Harvard
University, 2005
Hovenkamp, Herbert, Federal Antitrust Policy : The Law of Competition
and its Practice (2nd Ed.), St. Paul, Minn. : West Group, 1999
James Langenfeld and Chris Alexander. "Daubert and other gatekeeping
challenges of antitrust experts", Antitrust, Vol. 25 No.3, ABA, 2011
John E. and White, Lawrence J. Ed., The Antitrust Revolution:
Economics, Competition and Policy (4th Ed.), New York, Oxford
University Express, 2004
John L. Diamond, Cases and materials on Torts, American Casebook
Series, West Group, 2001
John O. Haley, Antitrust in Germany and Japan, University of Washington
Press, 2001
Jonathan B. Baker, M. Howard Morse, "Final report of Economic
Evidence Task Force", 2006
Jonathan Faull & Ali Nickpay, the EC law of competition, Oxford
University Press, 2007
Joseph E. Harrington Jr.,"Post-Cartel Pricing During Litigation", The
Journal of Industrial Economics Volume 52, Issue 4, 2004
Lawrence A. Sullivan & Warren S. Grimes, The law of antitrust : an
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integrated handbook, West Group, 2006
Lennart Ritter & David Braun, European Competition Law: A
Practitioner's Guide(3rd Ed), Kluwer Law International, 2005
Mark Furse, Competition Law for the EC and UK(6th Ed), Oxford
University Press, 2008
Mark Steiner, Economics in Antitrust Policy : Freedom to Contract vs.
Freedom to Compete, Boca Raton, FL. USA, 2007
Michael D. Whinston, Lectures on Antitrust Economics, First MIT Press
paperback edition, 2008
OECD, "Hard Core Cartels: Recent Progress and Challenges Ahead",
2003
― , "Roundtable on Prosecuting Cartels Without Direct Evidence fo
Agreement", 2006
Oxera and a multi-jurisdictional team of lawyers led by Dr. Assimakis
Komninos, "Quantifying antitrust damages : Towards non-binding
guidance for court", 2009
Patrick A.McNutt, Law, Economics and Antitrust toward a New
Perspective, Edward Elgar Publishing, Inc., 2005
Peter Davis and Eliana Garcés, Quantitative techniques for competition
and antitrust analysis, Princeton Univ. Press, 2009
Phillip E. Areeda, & Herbert Hovenkamp, Antitrust Law : An
Analysis of Antitrust Principles and Their Application Vol, (2nd Ⅱ
Ed), Aspen Publishers, 2000
, Fundamentals of Antitrust Law(3rd Edition), Aspen Publishers, ―
2006
Posner, Antitrust Law(2nd Ed), the University of Chicago Press, 2001
Richard Whish, Competition Law(6th Ed), Lexis Nexis UK, 2009
Simon Bishop and Mike walker, The Economics of EC Competition
Law: Concepts, Application and Measurement, University Ed.(3rd Ed.),
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Thomson Reuters Limited, 2010
Stephen Breyer, "Economic Reasoning and Judicial Review", the
AEI-Brookings joint center 2003 distinguished lecture, the AEI Press,
2003
Thomas E. Sullivan & Jeffrey L. Harrison, Understanding Antitrust and Its
Economic Implications(5th Ed), LexisNexis, 2009
Van Dijk, T. and F.Verboven, Quantification of damages, In Issues in
Competiton Law and Policy (ed. W. D. Collins), Chicago, IL, 2007
Verboven, F. and L. Bettendorf, Incomplete transmission of coffee bean
prices: evidence from the Netherlands. European Journal of
Agricultural Economics 27(1), 2001
Wulf-Hemming Roth, "Private Rnforcement of European Competion
Law - Recommendations flowing from the German Experience", in
Ju ragen Basedow(Editor), Private Enforcement of EC Competion
Law, Klumer Law International, 2007
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Abstract
EU Guideline and Case Study on Quantifying Damages of anti-competitive practices
MOON, Jongsuk
Department of Economics
The Graduate School
Seoul National University
The Monopoly Regulation and Fair Trade Act (hereinafter,
"Fair Trade Act") amended in 2005, allowed the court to assess
damages in antitrust cases or the damage approval system. Fair
Transactions in Subcontracting Act (hereinafter, "Subcontract Act"),
amended in 2011, introduced treble damage action which imposes a
penalty amount of up to three times of the damages on those whose
illegal trading practices damaged others.
These made it possible that the party injured by an anti-competitive
behavior would get compensation by bringing a civil suit itself, while
in the past, enforcement of the Fair Trading Act and Subcontract Act
in Korea was focused mainly on giving administrative sanctions such
as desist orders and fines. Such a damage compensation scheme is
expected to show great deterrence against anti-competitive behavior.
Not only in the US where damage litigation activities are
vigorous, but also in the EU, damage suits have been encouraged for
its positive effect of preventing anti-competitive conducts. The Korean
government has introduced several measures to stimulate damage
lawsuits as well. However, despite these efforts, Korea still cannot be
viewed as a country with dynamic damage suits. My personal view
on the issue is that such sluggish movement in damage suits is
because of the difficulties in estimating a proper amount of damages.
That is, in the absence of any direct evidence on a specific amount
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of damages caused by anti-competitive behaviors such as cartel, there
is no other way but to use assumptions about what has yet to happen
and rely on econometric analytical techniques to anticipate about a
simulated reality and guess damage amounts. This process inevitably
involves errors and complicated econometric analytical methods and
they require a considerable amount of knowledge on economics and
statistics. I gather these all undermine the efforts to stimulate damage
suits.
In this regard, it is significant to introduce 2011 EU guidelines
on the estimation of damages in anti-competitive practices and to
review and evaluate, based on the guidelines, 7 most typical examples
where econometric approaches were taken to address damage claims
against competition-restricting behaviors. Although it is the United
States that sees most active antitrust enforcement and damages
litigations along with many published theses and reports on damages
assessment, it was the EU Commission that first issued such
guidelines in the public sector. Recognizing this, we, in this thesis,
take a look at estimation methods by focusing on the EU guidelines.
This thesis starts by studying the EU guidelines in Chapter 2.
We looked at the background and processes of producing the
guidelines first then, followed the contents to examine the guidelines’
structure and detailed methodologies. As for general damage
assessment methodologies, quantifying harm caused by a rise in prices
or from exclusionary practices, we referred to the EU guidelines to
study further but also, in addition, we used papers listed in domestic
and foreign journals and some books issued in the US.
Chapter 3 examines 7 cases of damage suits against fair trade act
violation or other anti-competitive conducts where the court made its
final verdicts. Five of the 7 cases are violation of Article 19
‘prohibition on unfair common action' of the Fair Trading Act and
the other 2 are offenses of Article 23 ‘prohibition on unfair trading
practices’ of the Act. This thesis looked into those cases to see which
econometric analysis method was used based on the written rulings
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and made some evaluation by referring to the EU guidelines. A major
case among them is military fuel bid rigging that has recently
received the Supreme Court’s final verdict. This chapter also discusses
about flour cartel, school uniform cartel, local phone-call cartel, Credit
Card Company and VAN cartel, online educational services and
hypermarket with unfair practice.
Lastly, Chapter 4 puts together the discussions above and explored
the availability and usefulness of the EU guideline. This chapter
contains suggestions, policy proposals and requirements to stimulate
damage claim system against competition-harming practices.
The points highlighted in this thesis are as follows:
First, damage estimation method largely depends on the court
of a lawsuit. As a result, damage assessment results vary hugely. This
indicates that the plaintiff may try to avoid filing a lawsuit because
such a huge gap reduces their expected benefits. To prevent this
problem, we can make it mandatory to refer the case to a damage
surveyor when the claimed damage amount or the number of
stakeholders exceeds a certain level.
Second, it is stipulated in the Civil Proceedings Act that the
court of a lawsuit, a commissioned judge and entrusted judge should
appoint damage surveyor. In consideration of the purpose of this Act,
court, plaintiff and defendant should respect the result of the
court-appointed surveyor while limiting personal estimation.
Third, in line with the purpose of legislating the "damage
approval system", the court should take impartial steps thoroughly
relying on rules and not necessarily be wavered by the amount
claimed by plaintiffs or evidence they presented.
Fourth, econometrics analysis by a surveyor should be
publicized after considering if its results are not inclined toward one
party and how useful it is in applying academic damage estimation
methods.
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Fifth, as shown in the amendment of GWB (Gesetzgegen Wett be
werbsbeschrankungen), we also need to build a legislative approach
about “passing on defence".
I hope the discussions presented in this dissertation will be
helpful to trigger more damage suits against anti-competitive
behaviors.
Keyword: anti-competitive behavior, unfair trading practices, compensation for damages, damage lawsuit, unfair common action, cartel, estimation of damage, Fair Trade Act, Monopoly Regulation Act, Subcontract Act, Military fuel bid rigging
Student ID: 2003-23251
제 1 장 서 론제 1 절 연구 목적 및 의의제 2 절 선행 연구제 3 절 논문 구성 및 연구 방법론
제 2 장 EU 가이드라인 상의 손해배상액 산정방법제 1 절 가이드라인 작성 경과제 2 절 가이드라인의 구성제 3 절 손해배상액 산정의 일반적 방법론1. 비교분석 방법론(Comparator-Based Methods)가. 가상적 시나리오 설정법 나. 방법론의 실제 적용 : 경제변수를 추정하기 위한 기술적 방법들
2. 기타 방법론가. 시뮬레이션 분석나. 원가기준 분석
3. 방법의 선택
제 4 절 가격상승으로 인한 피해액 산정1. 반경쟁행위의 가격인상효과2. 가격인상분 산정가. 카르텔로 인한 가격인상분 산정나. 기타 반경쟁행위로 인한 가격인상분 산정
3. 물량효과분 산정
제 5 절 경쟁자 배제에 따른 손해액 산정 1. 반경쟁행위의 경쟁자 배제 효과 2. 경쟁자의 피해액 산정가. 시간의 흐름에 따른 경쟁자 배제행위의 영향나. 이익감소분 산정을 위한 일반적 접근법다. 기존의 경쟁자라. 신규진입 제한마. 미래의 이익(future loss)에 대한 보상
3. 소비자의 피해액 산정가. 손실분의 회수나. 반경쟁행위의 소비자이며 경쟁자인 경우
제 3 장 사 례 분 석제 1 절 군납유류 입찰담합사건1. 사건 개요2. 손해액산정 경제분석가. 1심 법원 판결 나. 2심 법원 판결다. 대법원 판결
3. 평 가가. 경제분석에 대한 평가나. 법원판결에 대한 평가
제 2 절 밀가루 담합사건1. 사건 개요2. 손해액산정 경제분석가. 담합후 더미변수 설정나. 손해(비용)전가의 항변
3. 평 가
제 3 절 교복 담합사건1. 사건 개요 및 손해액산정2. 평 가
제 4 절 전화요금 담합사건1. 사건 개요2. 손해액산정 경제분석3. 평 가
제 5 절 신용카드 담합사건1. 사건 개요2. 손해액산정 경제분석3. 평 가
제 6 절 온라인 교육서비스 관련 거래상 지위남용사건1. 사건 개요2. 손해액산정 경제분석 3. 평 가
제 7 절 대형마트의 거래상 지위남용건1. 사건 개요2. 손해액산정 경제분석3. 평 가
제 4 장 결 론참고문헌Abstract
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