国际礼让在美国反垄断法中的适用——兼论中国在美维C案的启示与因应

Applying International Comity in American Antitrust Case——Focusing on the Vitamin C Case

中国在美维C案(简称"维C案")是以中国企业为被告在美国进入诉讼程序的第一例反垄断民事诉讼案件。从2005年至2018年的13年间,此案历经纽约东区法院、第二巡回法院、联邦最高法院的三级审理,至今仍未尘埃落定。维C案的核心问题是美国法院是否应根据国际礼让拒绝行使管辖权、驳回原告的起诉。美国联邦最高法院在2018年6月14日的判决中虽然认定外国政府提交的法庭之友意见书对美国法院不具有约束力,但也间接肯定了国际礼让在本案中的可适用性。国际礼让是第二次世界大战后"美式沙文主义管辖"遭到他国强烈抵制的背景下,美国法院用以缓和尊重他国主权与执行本国反垄断法需要之间矛盾的工具。通过一系列判例,美国法院逐步明晰了国际礼让在反垄断法中的适用条件,从而使其成为得以豁免美国反垄断法上责任的一项重要抗辩依据。据此,本案发回重审后,中国企业仍有获得胜诉的一线生机。

The Vitamin C case is the first case of antitrust civil litigation in the United States where a Chinese enterprise is the defendant.During the 13 years from 2005 to 2018,the case has gone through from the East District Court of New York,the Second Circuit Court and the Supreme Court of the United States,and has not yet been settled.The core issue of the Vitamin C case is whether the U.S.court should refuse to exercise jurisdiction and dismiss the plaintiff’s prosecution in accordance with international comity.In its judgment of June 14,2018,the U.S.Supreme Court decided that Amicus briefs submitted by foreign governments were not binding on U.S.courts,but indirectly affirmed the applicability of international comity in this case.Therefore,after the case was remanded,Chinese enterprises still have a chance to win.Comity is a tool used by American courts to alleviate the contradiction between respecting for the sovereignty of other countries and the need to enforce their own anti-trust laws against the background that"American chauvinist jurisdiction"was strongly resisted by other countries after World War II.Through a series of cases,American courts have gradually clarified the applicable conditions of international comity in anti-trust law,thus making it an important defense basis for exemption from liability in American antitrust law.In view of the complexity of the intertwined legal issues and political factors in American anti-monopoly litigation,as well as the flexibility and uncertainty in the application of international comity,the Chinese government should not only support Chinese enterprises to actively seek exemption at the legal level,but also make good use of diplomatic means in order to change the outcome of anti-trust litigation cases.