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Interim Provisions on Prohibiting Monopoly Agreements [Not Yet Effective]
禁止垄断协议暂行规定 [尚未生效]
【法宝引证码】

Interim Provisions on Prohibiting Monopoly Agreements 

禁止垄断协议暂行规定

(Issued by Order No. 10 of the State Administration for Market Regulation on June 26, 2019) (2019年6月26日国家市场监督管理总局令第10号公布)

Article 1 For the purposes of preventing and curbing monopoly agreements, these Provisions are developed according to the Anti-Monopoly Law of the People's Republic of China (hereinafter referred to as “Anti-Monopoly Law”).   第一条 为了预防和制止垄断协议,根据《中华人民共和国反垄断法》(以下简称反垄断法),制定本规定。
Article 2 The State Administration for Market Regulation (“SAMR”) shall be responsible for the anti-monopoly law enforcement work against monopoly agreements.   第二条 国家市场监督管理总局(以下简称市场监管总局)负责垄断协议的反垄断执法工作。
The SAMR shall, according to the provisions of subparagraph 2 of Article 10 of the Anti-monopoly Law, authorize the market regulation departments of all provinces, autonomous regions, and municipalities directly under the Central Government (hereinafter referred to as the “market regulation departments at the provincial level”) to be responsible for the anti-monopoly law enforcement work against monopoly agreements within their respective administrative regions. 市场监管总局根据反垄断法第十条第二款规定,授权各省、自治区、直辖市市场监督管理部门(以下简称省级市场监管部门)负责本行政区域内垄断协议的反垄断执法工作。
For the purposes of these Provisions, anti-monopoly law enforcement institutions include the SAMR and market regulation departments at the provincial level. 本规定所称反垄断执法机构包括市场监管总局和省级市场监管部门。
Article 3 The SAMR shall be responsible for the investigation into and handling of the following monopoly agreements:   第三条 市场监管总局负责查处下列垄断协议:
(1) They are across provinces, autonomous regions and municipalities directly under the Central Government. (一)跨省、自治区、直辖市的;
(2) The case facts are relatively complicated or have major influence across the country. (二)案情较为复杂或者在全国有重大影响的;
(3) The SAMR deems that it is necessary to conduct direct investigation and handling. (三)市场监管总局认为有必要直接查处的。
For monopoly agreements listed in the preceding subparagraph, the SAMR may designate market regulation departments at the provincial level to investigate into and handle them. 前款所列垄断协议,市场监管总局可以指定省级市场监管部门查处。
In the investigation into and handling of monopoly agreements, the market regulation departments at the provincial level finding that the agreements do not fall under their scope of investigation and handling or the agreements fall under their scope of investigation and handling, but need to be investigated and handled by the SAMR shall report to the SAMR in a timely manner. 省级市场监管部门根据授权查处垄断协议时,发现不属于本部门查处范围,或者虽属于本部门查处范围,但有必要由市场监管总局查处的,应当及时向市场监管总局报告。
Article 4 An anti-monopoly law enforcement institution shall treat all operators equally when investigating into and handling monopoly agreements.   第四条 反垄断执法机构查处垄断协议时,应当平等对待所有经营者。
Article 5 “Monopoly agreement” means an agreement, a decision, or any other act in concert to exclude or restrict competition.   第五条 垄断协议是指排除、限制竞争的协议、决定或者其他协同行为。
An agreement or a decision may be in writing or verbal form. 协议或者决定可以是书面、口头等形式。
“Other acts in concert” means the acts substantially conducted in a coordinated manner by and between operators that have not specifically entered into any agreement or made any decision. 其他协同行为是指经营者之间虽未明确订立协议或者决定,但实质上存在协调一致的行为。
Article 6 To identify other acts in concert, the following factors shall be considered:   第六条 认定其他协同行为,应当考虑下列因素:
(1) Whether the market behaviors of operators are consistent. (一)经营者的市场行为是否具有一致性;
(2) Whether operators have had mental connection or information exchange. (二)经营者之间是否进行过意思联络或者信息交流;
(3) Whether operators can reasonably explain the consistency of the behaviors. (三)经营者能否对行为的一致性作出合理解释;
(4) The market structure, competition status, market changes and other situations of the relevant markets. (四)相关市场的市场结构、竞争状况、市场变化等情况。
Article 7 Operators that are competitors shall be prohibited from reaching the following monopoly agreements on the goods or services (hereinafter collectively referred to as “goods”):   第七条 禁止具有竞争关系的经营者就商品或者服务(以下统称商品)价格达成下列垄断协议:
(1) fixing or changing the price level, range of price changes, profit level or discount, commission fees and other expenses; (一)固定或者变更价格水平、价格变动幅度、利润水平或者折扣、手续费等其他费用;
(2) agreeing to adopt a standard formula for calculating prices; (二)约定采用据以计算价格的标准公式;
(3) restricting the self-determined pricing power of operators participating in an agreement; and (三)限制参与协议的经营者的自主定价权;
(4) fixing or changing the price by other means. (四)通过其他方式固定或者变更价格。
Article 8 Operators that are competitors shall be prohibited from reaching the following monopoly agreements on restricting the production volume or sales volume of goods:   第八条 禁止具有竞争关系的经营者就限制商品的生产数量或者销售数量达成下列垄断协议:
(1) restricting the production volume of goods by restricting the production volume, fixing the production volume, ceasing production, and other means, or restricting the production volume of goods of specific varieties and models; (一)以限制产量、固定产量、停止生产等方式限制商品的生产数量,或者限制特定品种、型号商品的生产数量;
(2) restricting the sales volume of goods by restricting the volume of launch of goods, or restricting the sales volume of goods of specific varieties and models; and (二)以限制商品投放量等方式限制商品的销售数量,或者限制特定品种、型号商品的销售数量;
(3) restricting the production volume or sales volume of goods by other means. (三)通过其他方式限制商品的生产数量或者销售数量。
Article 9 Operators that are competitors shall be prohibited from reaching the following monopoly agreements on division of the sales markets or the raw materials procurement markets:   第九条 禁止具有竞争关系的经营者就分割销售市场或者原材料采购市场达成下列垄断协议:
(1) dividing the sales area, market share, sales target, sales income, and sales profit or the category, volume and time of goods sold; (一)划分商品销售地域、市场份额、销售对象、销售收入、销售利润或者销售商品的种类、数量、时间;
(2) dividing the procurement area, category, volume, time or suppliers of raw materials, semi-finished products, components and parts and related equipment; and (二)划分原料、半成品、零部件、相关设备等原材料的采购区域、种类、数量、时间或者供应商;
(3) dividing the sales market or raw materials procurement market by other means. (三)通过其他方式分割销售市场或者原材料采购市场。
For the purposes of the preceding subparagraph, raw materials also include the technologies and services required for the production and business operation of operators. 前款规定中的原材料还包括经营者生产经营所必需的技术和服务。
Article 10 Operators that are competitors shall be prohibited from reaching the following monopoly agreements on restricting the purchase of new technologies and new equipment or restricting the development of new technologies and new products:   第十条 禁止具有竞争关系的经营者就限制购买新技术、新设备或者限制开发新技术、新产品达成下列垄断协议:
(1) restricting the purchase or use of new technologies and new techniques; (一)限制购买、使用新技术、新工艺;
(2) restricting the purchase, lease or use of new equipment and new products; (二)限制购买、租赁、使用新设备、新产品;
(3) restricting the investment in, research and development of new technologies, new techniques or new products; (三)限制投资、研发新技术、新工艺、新产品;
(4) refusing to use new technologies, new techniques, new equipment and new products; and (四)拒绝使用新技术、新工艺、新设备、新产品;
(5) restricting the purchase of new technologies and new equipment, or restricting the development of new technologies and new products by other means. (五)通过其他方式限制购买新技术、新设备或者限制开发新技术、新产品。
Article 11 Operators that are competitors shall be prohibited from reaching the following monopoly agreements on boycott of trading:   第十一条 禁止具有竞争关系的经营者就联合抵制交易达成下列垄断协议:
(1) jointly refusing to supply or sell goods to specific operators; (一)联合拒绝向特定经营者供应或者销售商品;
(2) jointly refusing to purchase or sell goods of specific operators; (二)联合拒绝采购或者销售特定经营者的商品;
(3) jointly restricting specific operators from trading with operators that are competitors; and (三)联合限定特定经营者不得与其具有竞争关系的经营者进行交易;
(4) jointly boycotting trading by other means. (四)通过其他方式联合抵制交易。
Article 12 Operators shall be prohibited from reaching the following monopoly agreements with trading counterparties on the price of goods:   第十二条 禁止经营者与交易相对人就商品价格达成下列垄断协议:
(1) fixing the price level, range of price changes, profit level or discount, commission fees and other expenses of goods resold to third parties; (一)固定向第三人转售商品的价格水平、价格变动幅度、利润水平或者折扣、手续费等其他费用;
(2) restricting the minimum price of goods resold to third parties, or restricting the minimum price of goods resold to third parties through restricting the range of price changes, profit level or discount, commission fees and other expenses; and (二)限定向第三人转售商品的最低价格,或者通过限定价格变动幅度、利润水平或者折扣、手续费等其他费用限定向第三人转售商品的最低价格;
(3) fixing the price of goods resold or restricting the minimum price of goods resold by other means. (三)通过其他方式固定转售商品价格或者限定转售商品最低价格。
Article 13 Other agreements, decisions or acts in concert that do not fall under the circumstances prescribed from Articles 7 to 12 of these Provisions and that are proved to exclude or restrict competition shall be deemed monopoly agreements and be prohibited.   第十三条 不属于本规定第七条至第十二条所列情形的其他协议、决定或者协同行为,有证据证明排除、限制竞争的,应当认定为垄断协议并予以禁止。
Monopoly agreements prescribed in the preceding subparagraph shall be determined by the SAMR in consideration of the following factors: 前款规定的垄断协议由市场监管总局负责认定,认定时应当考虑下列因素:
(1) the fact that the operators have reached and implemented an agreement; (一)经营者达成、实施协议的事实;
(2) the market competition status; (二)市场竞争状况;
(3) the market shares of operators in the relevant market and their control over the market; (三)经营者在相关市场中的市场份额及其对市场的控制力;
(4) the impact of an agreement on the price, quantity and quality of goods; (四)协议对商品价格、数量、质量等方面的影响;
(5) the impact of an agreement on market access, technical advancement and other respects; (五)协议对市场进入、技术进步等方面的影响;
(6) the impact of an agreement on consumers and other operators; and (六)协议对消费者、其他经营者的影响;
(7) other factors related to the recognition of monopoly agreements. (七)与认定垄断协议有关的其他因素。
Article 14 An industry association shall be prohibited from carrying out the following activities:   第十四条 禁止行业协会从事下列行为:
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