【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,orrestrictthesalesvolumeofcommoditiesbylimitingthesu