【中英文对照版】关于行业协会的反垄断指南.docx

（2024年1月10日国务院反 垄断反不正当竞争委员会印 发）第一条目的和依据为了预防和制止行业协会从事 中华人民共和国反垄断法 （以下简称反垄断法）禁 止的行为，发挥行业协会在促 进行业规范健康持续发展、维 护市场竞争秩序等方面的积极 作用，引导行业协会加强反垄 断合规建设，根据反垄断 法等法律规定，制定本指 南。国务院反垄断反不正当竞争委员会关于行业协会的反垄断指南Anti-MonopolyGuidelinesforIndustryAssociationsoftheAnti-MonopolyandAnti-UnfairCompetitionCommissionoftheStateCouncil制定机关：国务院反垄断委员会公布日期：2024.01.10施行日期：2024.01.10效力位阶：部门工作文件法规类别：行业标准管理IssuingAuthority：Anti-MonopolyCommitteeoftheStateCouncilDateIssued：01-10-2024EffectiveDate：01-10-20241.evelofAuthority：DepartmentalWorkingDocumentsAreaofLaw：AdministrationofIndustryStandardsAnti-MonopolyGuidelinesforIndustry国务院反垄断反不正当竞争委AssociationsoftheAnti-MonopolyandAnti-Unfair员会关于行业协会的反垄断指CompetitionCommissionoftheStateCouncil南(IssuedbytheAnti-MonopolyandAnti-UnfairCompetitionCommissionoftheStateCouncilonJanuary10,2024)Article1PurposeandBasisForthepurposesofpreventingandstoppingindustryassociationsfromperformingconductprohibitedbytheAnti-MonopolyLawofthePeople'sRepublicofChina("Anti-MonopolyLaw"),maximizingthepositiveroleofindustryassociationsinpromotingwell-regulated,sound,andsustainableindustrydevelopmentandmaintainingorderlymarketcompetition,andguidingindustryassociationsinensuringantimonopolycompliance,theseGuidelinesaredevelopedinaccordancewiththeAnti-MonopolyLawandotherlaws.Article2Definition第二条基本概念ForthepurposesoftheseGuidelines,"industryassociation'1meansasocialgrouplegalpersoncomposedofeconomicorganizationsandindividualsinanindustrythatperformsindustryserviceandself-regulatoryfunctions.Anindustryassociationmayprimarilyconsistofcompetingundertakings,butitmayalsoincludeupstreamanddownstreamundertakingsorthoseotherwiserelatedinbusiness.本指南所称行业协会，是指由同行业经济组织和个人组成，行使行业服务和自律管理职能的社会团体法人。行业协会主要由具有竞争关系的经营者组成，也可能包括上下游经营者，或者具有其他业务联系的经营者。Article3GeneralRequirementsAnindustryassociationshallstrengthenindustryself-regulation,guideundertakingsintheindustryincompetinginaccordancewithlawsandregulations,andmaintainorderlymarketcompetition.第三条总体要求行业协会应当加强行业自律，引导本行业的经营者依法竞争，合规经营，维护市场竞争秩序。AnindustryassociationshallnotviolatetheAnti-MonopolyLawbyprecludingorrestrictingcompetition.行业协会不得违反反垄断法的规定，从事排除、限制竞争行为。Article4GeneralProvisionsProhibitingOrganizationofEngaginginConductunderaMonopolyAgreement第四条禁止组织从事垄断协议的一般规定Themainformofanindustryassociation'sviolationoftheAnti-MonopolyLawisbyarrangingforundertakingsintheindustrytoengageinconductunderamonopolyagreement.AnindustryassociationshallnotviolateArticle21oftheAnti-组织本行业的经营者从事垄断协议，是行业协会违反反垄断法的主要表现形式。行业协会不得违反反垄断法第二十一条的规定，组织本行业前款所称从事，包括垄断协议 的达成和实施。第五条垄断协议的形式垄断协议是指排除、限制竞争 的协议、决定或者其他协同行 为。协议、决定可以是书面、口头 等形式。其他协同行为是指经营者虽未 明确订立协议或者决定，但实 质上存在协调一致的行为，有 关经营者基于独立意思表示所 作出的价格跟随等平行行为除 外。第六条横向垄断协议行业协会不得组织本行业具有 竞争关系的经营者达成反垄 断法第十七条禁止的下列垄 断协议：（一）固定或者变更商品或者 服务（以下统称商品）价格。 行业协会不得以价格自律、行MonopolyLawbyarrangingforundertakingsin的经营者从事垄断协议行为。theindustrytoengageinconductunderamonopolyagreement.Forthepurposesoftheprecedingparagraph,"engagein"meanstoreachandimplementamonopolyagreement.Article 5 FormofMonopolyAgreement"Monopolyagreement'1meansanagreement,adecision,oranyotherconcertedconductthatprecludesorrestrictscompetition.Anagreementordecisionmaybeinwritten,oral,oranyotherform."Anyotherconcertedconduct"meansconductsubstantiallyconcertedbyundertakings,eventhoughtheyhavenotexplicitlyenteredintoanagreementordecision,exceptforpricefollowingandotherparallelconductbyrelevantundertakingsbasedonindependentdeclarationsofwill.Article 6 HorizontalMonopolyAgreementAnindustryassociationshallnotarrangeforcompetingundertakingsintheindustrytoenterintothefollowingmonopolyagreementsprohibitedbyArticle17oftheAnti-MonopolyLaw:(1) Anagreementtofixormodifythepricesofcommoditiesorservices(collectively,"commodities").Theindustryassociationshallneitherdeterminecommoditypricesfortheundertakingsorrestricttheirpricingautonomyunderthepretextofpriceself-regulation,industryoverhaul,ormaintenanceofanorderlymarket,amongothers,norarrangefortheundertakingstofixormodifyanypricelevel,pricefluctuationrange,profitmargin,discount,orhandlingorotherfeeoragreetoadoptastandardformula,algorithm,orplatformrule,amongothers,basedonwhichpricesarecalculated.业整顿、维护市场秩序等名义 为本行业的经营者设定商品价 格或者限制其自主定价权，也 不得组织本行业的经营者固定 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，约定采用据 以计算价格的标准公式、算 法、平台规则等。（二）限制商品的生产数量或 者销售数量。行业协会不得对 本行业的经营者作出减产、停 产、设定生产配额或者比例、 限量供应、停止销售等关于商 品生产数量或者销售数量的决 定，也不得组织本行业的经营 者通过限制产量、固定产量、 停止生产等方式限制商品的生 产数量，通过限制商品投放量 等方式限制商品的销售数量 等。(2) Anagreementtorestricttheproductionorsalesvolumesofcommodities.Theindustryassociationshallnotdecideontheproductionorsalesvolumeofcommoditiesfortheundertakings,suchasreducingproduction,suspendingproduction,settingproductionquotasorproportions,limitingsupply,andstoppingsalesnorarrangefortheundertakingstorestricttheproductionvolumeofcommoditiesbylimitingorfixingoutput,stoppingproduction,oranyothermeans,orrestrictthesalesvolumeofcommoditiesbylimitingthesupplyofcommodities.（三）分割销售市场或者原材料采购市场。行业协会不得组 织本行业的经营者划分商品的 销售地域、销售对象、市场份 额、销售收入、销售利润或者 销售商品的种类、数量、时 间，也不得组织本行业的经营 者划分原材料的采购区域、供 应商、种类、数量、时间等。（四）限制购买新技术、新设 备或者限制开发新技术、新产 品。行业协会不得组织本行业(3) Anagreementtodividethesalesorrawmaterialprocurementmarket.Theindustryassociationshallnotarrangefortheundertakingstodeterminethesalesareas,buyers,marketshares,salesvalue,profits,types,salesvolume,andsalestimeofcommodities,nortodeterminetheprocurementareas,suppliers,types,volume,ortime,amongothers,ofrawmaterials.(4) Anagreementtorestrictthepurchaseofnewtechnologyornewequipmentorrestrictthedevelopmentofnewtechnologyornewproducts.Theindustryassociationshallnotarrangeforthe的经营者限制购买、使用、租 赁、投资、研发新技术、新工 艺、新设备、新产品，或者拒 绝使用新技术、新工艺、新设undertakingstorestrictthepurchase,use,leasing,investmentin,andresearchanddevelopmentofnewtechnologies,processes,equipment,orproductsnortorefusetousetheforegoing.备、新产品等。(5)Anagreementtojointlyboycotttrading.Theindustryassociationshallnotarrangefortheundertakingstojointlyrefusetosupplyorsellcommoditiesto,orpurchaseorresellcommoditiesfrom,aspecificundertaking,orjointlyrestrictaspecificundertakingfromtradingwithanundertakingcompetingwiththem,amongothers.（五）联合抵制交易。行业协会不得组织本行业的经营者联合拒绝向特定经营者供应或者销售商品、联合拒绝采购或者销售特定经营者的商品，或者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等。(6)Othermonopolyagreementsasdeterminedbytheanti-monopolyenforcementbodyoftheStateCouncil.（六）国务院反垄断执法机构认定的其他垄断协议。Article7VerticalMonopolyAgreement第七条纵向垄断协议AnindustryassociationshallnotarrangeundertakingsintheindustrytoenterintofollowingmonopolyagreementsprohibitedArticle17oftheAnti-MonopolyLawwithcounterparties:Mthehs行业协会不得组织本行业的经营者与交易相对人达成反垄断法第十八条禁止的下列垄断协议：(1)Anagreementtosetaspecificpriceofcommoditiesforresaletoathirdparty.Theindustryassociationshallnotarrangefortheundertakingstofixthepricelevel,pricefluctuationrange,profitmargin,discount,handlingfees,orotherfeesforresellingcommoditiestoathirdparty.（一）固定向第三人转售商品的价格。行业协会不得组织本行业的经营者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)Anagreementtosetaminimumpriceofcommoditiesforresaletoathirdparty.The（二）限定向第三人转售商品的最低价格。行业协会不得组industryassociationshallnotarrangefortheundertakingstosettheminimumpriceforresellingcommoditiestoathirdparty,whetherornotbyfixingthepricefluctuationrange,profitmargin,discount,handlingfees,orotherfees.织本行业的经营者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等。(3)Othermonopolyagreementsasdeterminedbytheanti-monopolyenforcementbodyoftheStateCouncil.（三）国务院反垄断执法机构认定的其他垄断协议。Iftheindustryassociationorundertakingsprovethatanagreementinsub-paragraph(1)or(2)oftheprecedingparagraphdoesnotprecludeorrestrictcompetition,theagreementshallnotbeprohibited.Iftheundertakingsprovethattheirrelevantmarketsharesarelessthanthethresholdspecifiedbytheanti-monopolyenforcementbodyoftheStateCouncilandmeetotherconditionsestablishedbytheanti-monopolyenforcementbodyoftheStateCouncil,theagreementshallnotbeprohibited.Article8CircumstancesofOrganizingtheConclusionofaMonopolyAgreementAnindustryassociationshallnotarrangeforundertakingsintheindustrytoreachamonopolyagreementby:(1)Developingandissuinganybylaw,rules,decision,notice,opinions,standards,orself-regulatoryagreement,amongothers,whichcontainsanythingthatprecludesorrestrictscompetition.对于前款第一项和第二项规定的协议，行业协会或者经营者能够证明协议不具有排除、限制竞争效果的，不予禁止。经营者能够证明其在相关市场的市场份额低于国务院反垄断执法机构规定的标准，并符合国务院反垄断执法机构规定的其他条件的，不予禁止。第八条组织达成垄断协议的情形行业协会不得通过下列行为组织本行业的经营者达成垄断协议：（一）制定、发布含有排除、限制竞争内容的行业协会章程、规则、决定、通知、意见、标准、自律公约等；（二）通过会议、邮件、电 话、函件、即时通讯工具等， 召集、组织、推动经营者以书 面、口头等形式达成含有排 除、限制竞争内容的协议、决 议、纪要、备忘录等；（三）通过会议、邮件、电 话、函件、即时通讯工具等， 召集、组织、推动经营者虽未 订立协议或者决定，但达成排 除、限制竞争的协调一致行 为；(2) Convening,arrangingfor,andpromptingtheundertakings,bymeeting,email,phonecall,correspondence,orinstantmessagingservice,amongothers,toreachanagreement,resolution,minutes,ormemorandum,amongothers,whichcontainsanythingthatprecludesorrestrictscompetitioninwritten,oral,oranyotherform.(3) Convening,arrangingfor,andpromptingtheundertakings,bymeeting,email,phonecall,correspondence,orinstantmessagingservice,amongothers,toconcerttheirconductthatprecludesorrestrictscompetition,eventhoughtheyhavenotreachedanagreementordecision.(4) Other conduct.the 第九条组织实施垄断协 议的情形（四）其他组织经营者达成垄断协议的行为。Article9CircumstancesofOrganizingImplementationofaMonopolyAgreement行业协会不得通过下列行为组 织本行业的经营者实施垄断协议：Anindustryassociationshallnotarrangeforundertakingsintheindustrytoimplementamonopolyagreementby:（一）采取设置入会要求、没 收保证金、设定违约金、限制 会员权益、取消会员资格、通 报批评、联合抵制、暂停经营 活动等惩戒措施，强迫经营者 实施垄断协议；(1) Forcingtheundertakingtoimplementthemonopolyagreementbytakingdisciplinarymeasuressuchasestablishingmembershiprequirements,confiscatingthedepositofsecurity,settingliquidateddamages,restrictingmembers'rightsandinterests,cancelingmembership,circulatinganoticeofcriticism,jointboycotting,andsuspendingbusinessactivities.（二）采取将垄断协议实施情 况与会员奖优评先挂钩等激励 措施，引导经营者实施垄断协(2) Guidingundertakingsinimplementingthemonopolyagreementbyprovidingincentivessuchaslinkingtheimplementationwithmemberawardsandevaluations.议;(3)Supervisingandmonitoringtheundertakings'implementationofthemonopolyagreementinpersonorbyathird-partyinstitution.（三）行业协会自身或者通过第三方机构对经营者实施垄断协议情况进行监督监测；(4)Facilitatingtheundertakingsinimplementingthemonopolyagreementbytakingguaranteemeasuressuchasbuildingaplatform,creatingataskforce,andestablishingacoordinationmechanism.（四）采取搭建平台、设立专班、建立协调机制等保障措施，为经营者实施垄断协议提供便利性条件；(5) Other conduct.（五）其他组织经营者实施垄断协议的行为。Article10High-RiskConduct第十条高风险行为Anindustryassociationshallavoidengaginginthefollowingconductthatmayfacilitateundertakingsintheindustryinreachingandimplementingamonopolyagreement:行业协会应当避免从事下列可能为本行业经营者达成、实施垄断协议提供便利性条件的行为：(1)Promptingtheundertakingstoexchangeanddiscusssensitivecompetitioninformationorgivingnoticeofsuchinformation.（一）推动本行业的经营者交换、讨论竞争性敏感信息或者通报竞争性敏感信息；(2)Publishinganindustryguidanceprice,benchmarkprice,referenceprice,recommendedprice,orforecastprice,amongothers,ordevisingapricecalculationformulaforreferencebytheundertakings,toguidethemincoordinatingcommodityprices.（二）发布行业内指导价、基准价、参考价、推荐价、预测价等，或者制定供本行业经营者参考的价格计算公式，引导本行业的经营者协调商品价格；(3)Publishinguntrueorinflatedsupplyanddemandconditions,andcosttrends,othermarket（三）发布不实或者夸大的成本趋势、供求状况等市场行情informationtoguidethemincoordinatingcommodityprices.信息，引导本行业的经营者协调商品价格。Forthepurposesoftheprecedingparagraph,"sensitivecompetitioninformation"meansthecost,price,discount,quantity,quality,salesvalue,andprofitorprofitmarginofcommodities,theresearchanddevelopment,investment,production,marketingplan,customerlist,andfuturebusinessstrategyofanundertaking,andotherinformationcloselyrelatedtomarketcompetition,excludinginformationthathasbeendisclosedtothepublicorispubliclyaccessible.Article11MonopolyAgreementExemptionIfamonopolyagreementarrangedbyanindustryorganizationforundertakingsintheindustrycomplieswiththecircumstancesandconditionsspecifiedinArticle20oftheAnti-MonopolyLaw,themonopolyagreementshallnotbeprohibited.AnindustryassociationmayprovideguidancetoundertakingsintheindustryonwhetheramonopolyagreementcomplieswiththecircumstancesandconditionsspecifiedinArticle20oftheAnti-MonopolyLawandsupporttheminapplyingforanexemptiontotheanti-monopolyenforcementbody.前款所称竞争性敏感信息，是指商品的成本、价格、折扣、数量、质量、营业额、利润或者利润率以及经营者的研发、投资、生产、营销计划、客户名单、未来经营策略等与市场竞争密切相关的信息，但已公开披露或者可以通过公开渠道获取的信息除外。第十一条垄断协议豁免行业协会组织本行业的经营者达成的垄断协议，符合反垄断法第二十条规定的情形和条件的，不予禁止。行业协会可以就垄断协议是否符合反垄断法第二十条规定的情形和条件，为本行业的经营者提供指导，并支持本行业的经营者向反垄断执法机构提出豁免申请。Article12IndustryAssociationasanUndertaking第十二条行业协会的经营者身份行业协会从事商品生产、经营 或者提供服务，属于反垄断 法第十五条规定的经营者 时，不得违反反垄断法规WhenanindustryassociationthatproducesordistributescommoditiesorprovidesservicesconstitutesanundertakingunderArticle15oftheAnti-MonopolyLaw,itshallnotviolatetheAnti-MonopolyLawbyengaginginconductundera定，从事垄断协议、滥用市场 支配地位行为以及违法实施经 营者集中。第十三条滥用行政权力 排除、限制竞争经法律、法规授权具有管理公 共事务职能的行业协会不得违 反反垄断法第五章的规 定，滥用行政权力实施限定交 易、通过签订合作协议或备忘 录等方式妨碍经营者进入相关 市场或对经营者实行不平等待 遇、妨碍商品自由流通、排除 或限制经营者参加招投标等经 营活动、限制或强制经营者设 立分支机构、强制经营者从事 垄断行为、制定含有排除限制 竞争内容的规定等排除、限制 竞争行为。第十四条协助行政机关 滥用行政权力排除、限制竞争行业协会不得基于行政机关的 要求、委托，或者通过与行政 机关联合制定发布规定、办 法、决定、公告、通知、意 见、函件、会议纪要，签订合 作协议、备忘录等方式，协助 行政机关实施滥用行政权力排monopolyagreement,abusingitsdominantmarketposition,orillegallyimplementingaconcentrationbetweenundertakings.Article 13 AbuseofAdministrativePowerstoPrecludeorRestrictCompetitionAnindustryassociationempoweredbyalaworregulationtoadministerpublicaffairsshallnotviolatetheprovisionsofChapterVoftheAnti-MonopolyLawbyabusingadministrativepowertorestricttransactions;foreclosingotherundertakingsfromenteringtherelevantmarketortreatingthemunequallythroughsigningacooperationagreementormemorandumoranyothermeans;obstructingthefreecirculationofcommodities;foreclosingorrestrictingundertakingsfromparticipatinginsolicitationofbids,bidding,andotherbusinessactivities;restrictingundertakingsfromestablishingbranchesorforcingthemtoestablishbranches;forcingundertakingstoengageinmonopolisticconduct;developingprovisionscontaininganythingthatprecludesandrestrictscompetition;orotherwiseprecludingandrestrictingcompetition.Article 14 AssistingAdministrativeAgenciesinAbuseofAdministrativePowerstoPrecludeorRestrictCompetitionAnindustryassociationshallnotassistanadministrativeagencyinabusingadministrativepowertoprecludeandrestrictcompetitionbasedontherequirementsoforcommissionfromtheadministrativeagency,orbydevelopingandissuinganyregulations,measures,decisions,announcements,notices,opinions,correspondence,meetingminutestogetherwiththeadministrativeagency,signingacooperation除、限制竞争彳亍为。agreementormemorandum,orusinganyothermeans.Article 15 FairCompetitionReviewWhenanindustryassociationempoweredbyalaworregulationtoadministerpublicaffairsdevelopsanynormativeorotherpolicydocumentorspecificpolic