标准必要专利禁令的适用：理论与政策
于左 颜一秀
摘 要：标准必要专利禁令的适用问题成为各国反垄断立法和执法关注的焦点。本文研究了标准必要专利禁令的积极效应和反竞争效应，重点研究了反竞争效应中的专利劫持和拒绝许可问题，特别是在专利权人和专利持有人存在竞争关系的情况下。发现当标准必要专利权人与专利使用者之间存在竞争关系时，专利权人更有动机利用禁令威胁实施专利劫持或拒绝许可。在理论探讨和对美国、欧盟相关立法与执法进展分析评价的基础上，为中国的相关反垄断立法及执法提出政策建议，并尝试提出判定是否支持禁令申请的“五步走机制”。
关键词：标准必要专利 禁令 专利劫持 竞争关系 五步走机制
Application of Injunction on Standard Essential Patents
Zuo Yu Yixiu Yan
Abstract：The application of injunction on standard essential patents has become the focus of judicial practice in various countries. This article discusses the risk of hold-up and reverse hold-up through the application for injunctions. We provide an overview of legislation and anti-trust enforcement currently in several countries or regions such as the United States, the European Union, Japan, South Korea and China. Then we design the "five-step" mechanism for the application of injunction. We proposes that China should make a clearer interpretation on the judicial mechanism of the application of injunction so that it can not only reduce the damage caused by the application of injunction on market competition and consumer welfare, but also provide sufficient protection for SEP owner.
Keywords: Standard Essential Patent Injunction Hold-up Reverse Hold-up FRAND
JEL Classification：K21 L12 O34
中国B2C市场独家交易的竞争效应
董维刚 林鑫
摘 要：基于中国B2C市场现状，本文以Hotelling模型为基本框架，研究了B2C平台为阻止商家多归属而提出的独家交易行为的影响，并对独家交易前后B2C市场博弈过程进行了模拟。研究发现，B2C平台的独家交易行为会一定程度上抑制市场竞争，有利于实施独家交易的平台提高市场份额，且可能提高市场中B2C平台的利润水平。从对两边用户的影响看，独家交易行为下的价格优惠能够提高商家剩余，但会降低消费者剩余。总体而言，独家交易行为对社会总福利的影响是不确定的，并非总是损害社会福利和经济效率。因此，反垄断机构对B2C独家交易行为在密切关注的同时，也应避免过度干预。
关键词：双边市场 B2C平台 独家交易 社会福利
The Competition Effect of Exclusive Dealing in Chinese B2C Market
Weigang Dong Xin Lin
Abstract: Based on the current situation of B2C market in China and taking Hotelling model as the basic framework, we analyses the effects of exclusive contracts provided by a B2C platform to prevent sellers from multihoming and simulates the game in B2C market with and without exclusive dealing by MATLAB. We find that exclusive contracts signed by the B2C platform and sellers have exclusive effects on competitors to some extent. It not only can help the platform which provides the exclusive dealing, but also probably improve the profits of platforms in B2C market. Furtherly, considering the effects on users from both sides, exclusive dealing increases the sellers’ surplus and reduce the consumers’ surplus, because the B2C platform will set a favorable price to attract all sellers and charge a higher price to buyers. Finally, in general, as exclusive contracts don’t necessarily make a loss on the social welfare and economic efficiency, its influence on social welfare is uncertain. Therefore, the antitrust authority should pay close attention to the exclusive dealing contracts of B2C platform as well as avoid excessive intervention.
Keywords: Two-sided Market B2C Platform Exclusive Dealing Social Welfare
JEL Classification: L13 L42 L81
中国乘用车合资模式下中方议价势力估算及影响因素分析
李 凯 赵伟光
摘 要：如何衡量企业议价势力一直是产业组织理论关心的热点和难点问题。文章从纵向视角考察中国乘用车合资企业内中资议价势力问题，基于车型月度数据，通过采用“新实证产业组织”分析范式，构建合资企业内中资与外资“纵向纳什讨价还价模型”对合资企业整车制商中资议价势力进行实证研究。研究结论为：①确实存在中资议价势力底气不足问题，但在考察时期内，其议价势力呈现上升趋势；②议价势力并不是行业固有特征，会随着讨价还价双方变动而变动，受行业结构与规模变化影响较小，是一种企业之间议价现象；③相对于中资市场份额，对外资过度依赖是造成中资议价底气不足主要原因，自主品牌通过减弱对外资依赖性提高中资议价势力。本文以上结论为有关中国乘用车市场议价势力相关文献研究以及反垄断部门针对合资企业内中资、外资议价势力评估、相关反垄断审查、产业规制政策提供借鉴。
关键词：中国乘用车行业 议价势力 BLP 新实证产业组织
Empirical Analysis on the Bargaining Power And Its Influencing Factors in Chinese Passenger-vehicle Joint Venture
Kai Li Weiguang Zhao
Abstract: Using the monthly data of Chinese passenger car joint venture, based on the "new empirical industrial organization " analysis paradigm and constructing a model of "vertical Nash bargaining model",this paper makes an empirical study on the Chinese Passenger-vehicle joint venture.The conclusion is:①There is indeed the problem of lack of Bargaining Power in the Chinese Passenger-vehicle joint venture, but during the inspection period, its show an upward trend;Bargaining Power is not inherent characteristics of the industry, It will change with the bargaining changes, not subject to changes in industry structure and scale,It is a bargaining phenomenon between enterprises;Market share of Chinese side in joint venture, dependence on foreign investors, independent brands do have an impact on the Chinese Bargaining Power;④Compared with the impact of market share on Chinese firms’ Bargaining Power, it is necessary to reduce the dependence on foreign investment in China's passenger car joint venture, developing and expanding its own brand, seizing the high-end passenger car market, enhancing the "internal strength" ,Those are key to the Bargaining Power of Chinese capital.
Keywords: Chinese Passenger-vehicle Market Bargaining Power BLP NEIO
JEL Classification: L4 L41 L42
开放、竞争与中国企业表现：一个文献综述
王聪
摘 要：近年来，中国企业在生产率、创新等方面的表现成为学术界关注的焦点。以开放和竞争为主线，现有文献从以下方面对涉及中国企业表现的问题进行了探索：首先，利用宏微观数据对开放与竞争环境下企业的表现进行定量测算，并围绕国有企业如何改善表现展开争论；其次，比较不同类型中国企业的表现，寻找中国企业表现的共同点；再次，在竞争视角下，竞争影响企业表现的不同机制，强调了对外开放、市场竞争与企业内部环境的作用；最后，探索中国企业进一步改革的方向，已有改革的效果，以及国有企业改革面临的困难。
关键词：开放 竞争 企业表现 文献综述
Openness, Competition And the Performance of Chinese Enterprises: A Literature Review
Cong Wang
Abstract: In recent years, the performance of Chinese enterprises in productivity, innovation and other aspects has become the focus of attention in the academic circle. Taking opening and competition as the main line, the existing literature has explored the problems involved in the performance of Chinese enterprises from the following aspects: First of all, Using macro and micro data to quantify the performance of enterprises under the open and competitive environment, and discuss how the state-owned enterprises improve their performance; secondly, Comparing the performance of different types of Chinese enterprises and looking for the common point of Chinese enterprise performance; thirdly, In the perspective of competition, competition affects the different mechanisms of enterprise performance, and emphasizes the role of opening to the outside world, market competition and the internal environment of the enterprise; finally, To explore the direction of the further reform of Chinese enterprises, the effect of the reform and the difficulties faced by the reform of the state-owned enterprises.
Keyword： Openness Competition Enterprise Performance Literature Review
JEL Classification: F60 L10
制造业集聚对军民融合产业发展的双重效应研究
湛泳 赵纯凯 郭坚豪
摘 要：军民融合是中国统筹经济建设和国防建设的重要国家战略，发展军民融合产业是各级地方政府的重要任务之一。本文基于制造业集聚的双重效应，构建了制造业集聚影响军民融合产业发展的理论框架，利用中国省际面板数据实证检验了制造业集聚对军民融合产业发展的影响。结果发现：制造业集聚与军民融合产业呈现倒“U”型关系，且当制造业集聚水平越高、集聚的技术要素密集程度越大、地区技术势差越小和技术溢出渠道越多时这种倒“U”型关系越稳健。另外，制造业集聚对军转民和民参军行业都同样表现为倒“U”型影响，但后者的拐点值更大。本文的研究对厘清制造业集聚影响制军民融合产业发展的作用机制以及制造业集聚背景下如何快速推进军民融合产业发展具有重要的意义。
关键词：军民融合产业制造业集聚 双重效应
The Research of Double Effect of Manufacturing Agglomeration
on the Development of Civil-Military Integration Industry
Yong Zhan Chunkai Zhao Jianhao Guo
Abstract: Civil-military integration is an important national strategy to guide China’s economic development and national defense construction, and the development of civil-military integration industry is one of the important tasks for local governments at all levels. This paper constructs the theoretical framework of the influence of manufacturing agglomeration on the development of civil-military integration industry based on the dual effect of manufacturing agglomeration. Then we empirically tests whether manufacturing agglomeration promotes the development of civil-military integration industry by using the Chinese provincial panel data. The results show that there are inverted “U”-shape relationship between manufacturing industry agglomeration and civil-military integration industry. When the agglomeration degree of manufacturing industry is stronger, the concentration of technological factors is more intensive, the smaller the regional technical potential and the more channels of technology spillover, the more robust the inverted “U”-shape relationship is. Besides, it shows that the manufacturing industry agglomeration effect on the "military-into-civilian" and "civilian enterprises entering into military production" is a reversed “U”-shape relationship, but the impact of manufacturing agglomeration on "civilian enterprises entering into military production" industry's inverted u-shape inflection point is greater. The research of this paper is of great significance to clarify the mechanism of the agglomeration of the manufacturing industry impacting on civil-military integration and promote the rapid development of civil-military integration industry under the background of manufacturing agglomeration.
Keywords: Civil-military Integration Industry Manufacturing Agglomeration Double Effect
JEL classification: O14 L64
加成率估算方法研究述评与展望
岳文 韩剑
摘 要：产业组织理论中对如何估算加成率的研究由来已久，由于边际成本的数据难于获得且度量困难，早期实证产业组织中对加成率的估算主要依赖于会计法和需求法。不过，自从Hall（1988）开创了使用生产法估算加成率的先河后，生产法迅速发展，当前已然成为了估算加成率的主流方法。为此，本文从行业层面、企业层面和产品层面三个维度对如何使用生产法来估算加成率的相关文献进行了系统性的梳理，重点介绍了生产法中估算加成率的Hall模型、Klette模型、Roeger模型、DLW模型和De Locker et al.模型等五个主流模型，同时对这些模型的适用条件以及各自的优势与劣势进行了比较。通过总结已有相关文献，挖掘未来研究方向，本文为今后相关学者从事更进一步的研究提供了借鉴参考。
关键词：加成率 会计法 需求法 生产法
Review and Prospect of Markup Estimating Methods
Wen Yue Jian Han
Abstract: In industrial organization, how to estimate markup has been studied for a long time. As it is difficult to quantify marginal cost, estimating markup mainly depends on the accounting method and the demand method in the early empirical industry organization. However, since Hall , No.1988) founds the beginning of estimating markup with the production method, the production method has been developing rapidly and becomes the main method of estimating markup currently. Therefore, from the perspectives of industry-level, firm-level and product-level, this paper systematically reviews the literature on how to estimate markup with the production method, and introduces five major models in the production method, such as Hall model, Klette model, Roeger model, DLW model and De Locker et al. Model. At the same time, this paper compares these models' applicable conditions, advantages and disadvantages respectively. By summarizing the relevant literature and exploring the future research direction, this paper provides reference for scholars engaged in further research.
Keywords: Markup Accounting Method Demand Method Production Method
JEL Classification: C13 C33 L11
中国对“一带一路”沿线国家海外投资的决定因素：
多维度差异视角
裴瑱 彭飞 郑思琪
摘 要： “一带一路” 倡议实施是推动中国与沿线国家之间投资往来的重要途径。经过测算中国与沿线国家之间的经济水平、营商环境、文化习俗和政治治理上的差异，并通过计量检验，发现这4个方面的差异是中国与沿线国家的海外投资的重要决定因素。根据因子分析得到中国与沿线国家之间的综合差异得分，可以将沿线国家分为4个圈层。比较不同圈层的特点，我们建议，在尊重各国之间的经济，文化和政治制度差异的前提下，按圈层综合差异的远近和缩小不同差异的难度，依次推动海外投资。
关键词：“一带一路” 经济水平差异 营商环境差异 文化习俗差异 政治治理差异 圈层理论
Determinants of Chinese OFDI in the “One Belt and One Road” Countries:
Multidimensional Difference Perspective
Zhen Pei Fei Peng Siqi Zheng
Abstract: The implementation of the “One Belt and One Road” initiative is an important way to promote investment between China and the Belt and Road countries. We find that the differences of economic level, businesss environment, coutural customs and political governance between Chinese and the host countries are important determinants of Chinese OFDI. According to the factor analysis on the comprehensive differences between China and the host countries, those host countries can be categorized into four circles. Comparing the characteristics of different circles, we suggest that, on the premise of respecting the differences in economic, cultural, and political systems among countries, we should promote foreign investment in order, in light of the comprehensiveness of circle-level differences and the difficulty of narrowing the differences.
Keywords: “One Belt and One Road” Business Environment Cultural Distance Political Governance
JEL Classification: F21 C33
供给侧改革背景下劳动力再配置与经济增长研究
——以山东省为例
李中翘 杨柳 刘刚
摘 要：我国经济发展面临的矛盾，表象上是速度问题，实质上是结构性失衡。本文以“偏离份额法”为基础，将经济增长细分为劳动数量效应、结构变迁效应和产业内技术进步效应，实证分析改革开放以来山东省劳动力再配置与经济增长关系。分析表明：（1）从总体看，经济增长主要动力来源于第二产业，对经济增长的贡献为64.20%。（2）从三种效应角度分析，经济增长动力主要来源于技术进步，对经济增长的贡献为64.55%。（3）对结构变迁效应的分析得出，第一、第二产业总体上存在“结构红利”，对经济增长贡献分别达到8.96%、9.07%；第三产业为-1.00%，1995年前第三产业劳动力份额的提升促进总体经济增长，而1995年之后表现为“结构负利”，符合鲍莫尔成本病假说。研究结论为合理配置劳动力资源、推进供给侧结构性改革，优化经济结构提供了重要理论依据。
关键词：劳动力再配置 结构红利 偏离份额法 成本病
Research on Labor Redistribution and Economic Growth
under the Background of Supply-side Reform
- A Case Study of Shandong Province
Zhongqiao Li Liu Yang Gang Liu
Abstract:The contradiction faced by China’s economic development is apparently a speed issue, and it is essentially a structural imbalance. Based on the “Shift Share Method”, this article subdivides economic growth into labor volume effects, structural change effects, and intra-industry technological advancement effects. It empirically analyzes the relationship between labor redistribution and economic growth in Shandong Province since the reform and opening up. The analysis shows that: (1) Overall, the main driving force for economic growth comes from the secondary industry, which contributes 64.20% to economic growth. (2) From the perspective of three kinds of effects, the main driving force for economic growth comes from technological progress, and its contribution to economic growth is 64.55%. (3) The analysis of the effects of structural change shows that the first and second industries generally have “structural dividends”, which contribute 8.96% and 9.07% to the economic growth respectively; the third industry is -1.00%, and they are numbered before 1995. The increase in the share of the labor force in the tertiary industry promoted overall economic growth, and after 1995 it represented a “negative structure” and was in line with the Bowmore cost sickness hypothesis. The conclusions of the study provide an important theoretical basis for the current rational allocation of labor resources in our province, promotion of structural reforms on the supply side, and optimization of economic structure.
Keywords: Labor Redistribution Structure Bonus Shift Share Method Cost disease
JEL Classification: L16 L52 L88