新興市場中之合作與競爭—以U.S. v. Apple案為中心

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陳芊儒(Chien-Ju Chen) 查詢紙本館藏

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論文名稱

新興市場中之合作與競爭—以U.S. v. Apple案為中心
(Rethinking Restraints of Trade in Emerging Markets: What We Can Learn From U.S. v. Apple)

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摘要(中)

在數位時代的潮流下，紙本書即使已流傳數百年，但由於攜帶不便，是以難逃轉型，電子書之概念逐漸成形，古騰堡計劃作為書籍電子化之先驅，吸引了包括Amazon在內之廠商投入電子書與電子閱讀器之製作與銷售。但Amazon以低價銷售電子書之方式卻受到詬病，出版商更是大力譴責，並與新參進者Apple合作。然而出版商與Apple之間的合作除了使電子書零售價格上升，亦消弭了零售階層的價格競爭，是以無論是紐約南區聯邦地區法院，或是第二巡迴上訴法院，皆認為Apple與出版商之間的行為構成水平聯合訂價，應以當然違法原則處理，並判決Apple違法。但不同於法院之判決結果，本文認為Apple與出版商簽訂的代理協議雖抬高了零售價格，但實際上卻能促進市場競爭，因此有以合理原則判案之可能性。但在討論Apple之行為是否構成共謀前，應先探詢Amazon對電子書之銷售策略是否有掠奪性訂價之嫌疑，接著才會深入探討為何本文認為Apple之行為能促進競爭，而例外合法。
對於一個新興市場而言，主管機關不應在產業萌芽初期即過分打壓參與者，以免影響市場之發展，尤其是與資訊流通密切相關的出版產業。隨著傳統出版商之重要性衰弱，Amazon除了逐漸取代傳統出版商外，還幾乎獨占了電子書零售市場，如此將導致消費者選擇產品之範圍縮減。因此，主管機關應鼓勵新參與者之進入，活躍整個產業的競爭，即使該新參與者是以可能限制市場競爭之手段進入市場，主管機關仍應先放寬審查之標準，留待該參與者之市場力量已足以使其交易相對人對其產生依賴時，其仍持續採用該限制競爭之手段，主管機關再對其加以制裁即可。
此外，本篇論文亦會假設，假若Apple案發生在我國，我國公平交易法會如何處理，是會如同美國法院般以當然違法原則論處，或是有較大之可能性適用合理原則。再者，本篇論文會稍加論述我國出版產業之現況，還有電子書在我國發展之現況，期望在出版產業之市值逐年下降之現在，能有再度起飛的未來。

摘要(英)

Despite the history of over hundreds of years, paper books are still forced to face the transformation as result of the inconvenience. At the time of fading away of paper books, E-books are starting to cut a figure. Amazon, the world’s largest E-commerce platform, saw the business opportunity and developed a E-reader ‘Kindle’ which immediately caught consumers’ attention. However, Amazon underselling E-books caused discontent among publishers, which decided to make an illegal price-fixing agreement with a new entrant, Apple. Because of the illegal horizontal collusion between Apple and publishers eliminating competition within E-books retail market, United States District Court for the Southern District of New York and United States Court of Appeals, Second Circuit asserts their conduct was subject to per se illegal. On the contrary, in my opinion, in spite of price increase, the price-fixing agreement actually encouraged potential market entrants entering the E-book market which fostering the competition. In addition, in terms of emerging markets, in order to facilitate the development of them, the authorities concerned have to encourage potential entrants to enter into the markets, especially in the publishing industry, even though the practices the entrants adopted have a probability to harm the competition. Hence, the Apple’s conduct should have room for discussion.

關鍵字(中)

★ Apple
★ Amazon
★ 電子書
★ 反托拉斯法
★ 新興市場
★ 水平聯合訂價

關鍵字(英)

★ Apple
★ Amazon
★ E-books
★ Antitrust Law
★ Emerging Markets
★ Price-fixing

論文目次

1. 緒論 1
1.1. 研究背景與動機 1
1.2. 研究目的與問題意識 2
1.3. 研究方法與限制 4
1.4. 研究架構 5
2. 訴訟案件背景說明 7
2.1. 事實背景 7
2.1.1. 電子書面世沿革 7
2.1.2. Amazon之市場策略 9
2.1.3. Apple進軍電子書零售市場 13
2.1.4. 簽定代理協議 17
2.1.5. Amazon下架Macmilliam的書籍 19
2.2. 與Apple案相關之Amazon與Hachette爭議 20
2.2.1. 合作促銷費用的提升 20
2.2.2. Hachette與Amazon之紛爭陷入僵局 21
2.2.3. Amazon與Hachette間爭議之解決 22
2.3. 引發之法律爭議 23
2.3.1. 定性Apple之行為 23
2.3.2. Amazon對電子書的售價是否為掠奪性定價 24
2.3.3. Apple與出版商之間的聯合訂價行為是否有例外合法之可能性 25
2.4. Apple案之法院見解 26
2.4.1. 法院適用當然違法原則之理由 27
2.4.2. 以證據檢驗Apple與出版商之共謀行為合意 37
2.4.3. 法院判決 43
3. 電子書之市場生態與Amazon之市場力 45
3.1. 經濟學中所區分之市場結構 46
3.1.1. 完全競爭市場 46
3.1.2. 不完全競爭市場 48
3.1.3. 獨占市場 51
3.2. 電子書相關市場界定 52
3.2.1. 市場界定之概述 52
3.2.2. 電子書之市場界定 56
3.3. 美國經濟學界與聯邦司法實務對掠奪性訂價之發展 63
3.3.1. Areeda-Turner成本檢定法 65
3.3.2. Easterbrook回收檢定法 70
3.4. Amazon實行掠奪性訂價之認定 71
3.4.1. 適用Areeda-Turner檢定法 71
3.4.2. 適用Easterbrook回收檢定法 72
3.5. 本文對Amazon實施掠奪性訂價之見解 76
4. Apple與出版商簽訂的代理協議予以合理化之可能性 79
4.1. 相關案例 80
4.1.1. Leegin Creative Leather Products v. PSKS, Inc.案 80
4.1.2. Toledo Mack Sales & Serv., Inc. v. Mack Trucks, Inc.案 82
4.1.3. Leegin案法院見解在Apple案之適用 84
4.2. 以合理原則處理Apple與被告出版商行為之可能性 85
4.2.1. 最惠國條款對競爭造成之效果 86
4.2.2. 司法部僅向法院提起民事訴訟 90
4.2.3. 電子書為新興產業 92
4.3. Amazon整合出版商與零售商之角色為出版產業帶來之影響 93
4.3.1. 出版商之角色受到削弱 94
4.3.2. 終端消費者的選擇減少 99
4.4. 打破電子書零售市場由Amazon享有優勢地位之局面 103
4.4.1. 代理模式是否為Apple唯一可行之方式 103
4.4.2. Apple為電子書零售市場帶來競爭 109
4.4.3. Apple產品對競爭對手造成的銷量影響 112
4.5. Apple行為合法化之可能性 124
4.5.1. 合法化Apple之行為 124
4.5.2. 將Apple活絡市場競爭之行為一般化 129
4.6. 小結 131
5. 電子書爭議為我國法制及出版產業帶來之啟示 135
5.1. 類似案件在我國法之管制建議 135
5.1.1. 公平會對軸輻式共謀之處理方式 136
5.1.2. Apple行為例外豁免於當然違法原則之可能性 139
5.1.3. 我國與美國就軸輻式共謀管制手段之差異 146
5.2. 我國出版產業之現況分析 154
5.2.1. 出版產業之銷售概況 155
5.2.2. 數位出版在我國之未來性 159
6. 結論與未來研究建議 163
參考文獻 166

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───，博客來要賣電子書了，你會放下紙本嗎，天下雜誌，2015/09/01，http://www.cw.com.tw/article/article.action?id=5070443.

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指導教授

王明禮(Ming-Li Wang)

審核日期

2017-7-11

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