走近南美洲（秘魯）系列文章DOING BUSINESS PERú秘魯營商環境（六）
2024-07-22Contributor供稿：秘魯Rodrigo, Elías & Medrano律師事務所
Chinese Translation中文翻譯：錦天城 王良 律師
China is Peru's main trading partner, the largest destination of exports and the main source of imports for Peru. Peru is China's second largest investment destination in South America. The two countries have established a comprehensive strategic partnership and signed a free trade agreement. In the next five to 10 years, Peru will become another destination for Chinese enterprises going global. More Chinese companies will enter Peru and expand into the broader South American market through Peru. AllBright Law is actively exploring the legal service market in South America, providing reliable host country legal service resources and doing legal research on various host countries for Chinese enterprises going to South America, so as to provide legal protection for serving China's high-level opening-up and the "the Belt and Road" strategy. To this end, AllBright Law, together with Rodrigo, El í as &Medrano Law firms in Peru, launched this Series of Articles on Peru Business Environment, including Peru's going global, Peru's corporate structures, Peru's promotion of investment and legal stability, operational legal environment, business winding up and restructuring a business.
中國是秘魯的主要貿易伙伴，是秘魯第一大出口目的地國，也是秘魯主要進口來源國。秘魯是中國在拉美的第二大投資目的地。兩國之間既建立全面戰略伙伴關系，又簽署了自由貿易協定。未來五到十年，秘魯將成為中國企業出海的另一片熱土，中國會有更多企業走向秘魯，并通過秘魯走向更廣闊的南美洲市場。錦天城積極開拓南美洲法律服務市場，向出海南美洲的中國企業提供可靠的東道國法律服務資源和做好國別法律研究等工作，為服務中國高水平對外開放和“一帶一路“戰略提供法律保障。為此，錦天城聯合秘魯Rodrigo,Elías & Medrano律師事務所，推出《秘魯營商環境》系類文章，介紹秘魯走向世界、秘魯公司架構、秘魯外國投資促進和法律穩定性、企業運營法律環境、停業和企業重整等內容。
Antitrust and Competition
反壟斷和競爭
Anti-competitive conduct is prohibited and sanctioned by the Law for the Repression of Anti- competitive Conduct (LRCA) and the Criminal Code (CP).
反競爭行為受到《制止反競爭行為法》（“LRCA”）和《刑法典》（“CP”）的禁止和制裁。
Administrative penalties are determined and executed by INDECOPI for each case that is presented before it. The LRCA comes into effect and, if applicable, sanctions individuals and entities that participate in the investigated market. However, in the case of infractions classified as absolute prohibitions, it may also sanction those individuals or entities that, without participating in said market, act as planners, intermediaries or facilitators of an anti-competitive conduct.
INDECOPI對提交的案件做出行政處罰決定并負責執行。LRCA生效后，可以適用該法制裁那些參與被調查市場的個人和實體。但是，對于絕對禁止性違法行為， LRCA也可以制裁那些沒有參與被調查市場，但充當了反競爭行為的策劃者、中間人或推動者的個人或實體。
Three main types of conduct are sanctioned by the LRCA: (i) abuse of dominant position, (ii) horizontal collusive practices, and (iii) vertical collusive practices.
LRCA制裁三種主要類型的行為：（i）濫用支配地位，（ii）橫向串通行為，和（iii）縱向串通行為。
Criminal sanctions are determined and executed by the Judiciary, without the previous opinion of INDECOPI. Likewise, it is not necessary for INDECOPI to declare or sanction anticompetitive conduct to initiate criminal proceedings. Unlike the LRCA, the CP does not delimit the market agents or entities. It may be considered an author of the crimes of Abuse of Economic Power.
刑事處罰由司法機構決定和執行，事先無需征詢INDECOPI的意見。同樣，啟動刑事訴訟程序也無需由INDECOPI宣布或制裁反競爭行為為前提。與LRCA不同， CP不去界定市場的代理人或實體。其可能被認定為濫用經濟地位犯罪的責任人。
The CP penalizes the following 2 types of conduct, already covered by the LRCA: (i) abuse of market dominance and (ii) participation in practices and agreements restrictive in the production, commercial or service activities in order to prevent, restrict or distort free competition (e.g., cartels or collusive practices).
CP處罰已被 LRCA調整的兩類行為：（i）濫用市場支配地位，和（ii）參與限制生產、商業或服務活動的行為和協議，以阻止、限制或扭曲自由競爭（例如卡特爾或串通行為）。
Abuse of Dominant Position 濫用支配地位
According to the LRCA Law, an economic agent enjoys a dominant position in a relevant market when it has the possibility of substantially restraining, affecting, or distorting the supply or demand conditions in that market, without its competitors, suppliers, or customers being able to counteract it.
根據 LRCA法律，經濟主體在相關市場上享有支配地位，是指該經濟主體有可能實質性地限制、影響或扭曲該市場的供求狀況，且競爭對手、供應商或客戶無法與之抗衡。
Holding a dominant position, with or without affecting real or potential competitors, does not constitute an illegal conduct. Neither monopolies nor dominant positions are prohibited per se, what is considered to be anti-competitive conduct is the abuse of that position. The CP agrees to sanction only the abuse of dominant position and not its holding.
擁有支配地位，無論是否影響現實或潛在的競爭對手，均不構成違法行為。壟斷或支配地位本身并不被禁止，濫用支配地位則構成反競爭行為。CP僅同意制裁濫用支配地位的行為，而不制裁擁有支配行為。
The LRCA Law provides that abuse of a dominant position is verified when an economic agent that holds a dominant position in the relevant market uses this position to unduly restrain competition, obtaining benefits and harming other competitors, in a way which would not have been possible had it not held said position.
LRCA法律規定，如果在相關市場具有支配地位的經濟主體利用支配地位不當限制競爭、獲取利益并損害其他競爭對手，則構成濫用支配地位行為。
Such conducts are sanctioned even when the dominant position derives from a legal provision or from an administrative act, contract or regulation. It is important to note that all conducts of abuse of dominance constitute relative prohibitions.
即使支配地位來源于法律規定或行政法規、合同或規章，該行為也應受到制裁。值得注意的是，所有濫用支配地位的行為均構成相對禁止行為。
It is worth mentioning that, unlike the LRCA, the CP does not contain a definition of abuse of dominance.
與LRCA不同，CP對濫用支配地位沒有做出規定。
Horizontal Collusive Practices 橫向串通行為
Horizontal collusive practices imply the joint action of several competitors as one. The reason for this is that companies sometimes find that cooperating with other competitors is more beneficial than competing with them. This undue cooperation occurs when companies coordinate to reduce the volume of their production, raise their prices, and increase the benefits to each company.
橫向串通行為是指數個競爭者聯合實施共同行為。其原因是，公司有時發現與競爭者合作比相互競爭更有利。公司協調減少產量、提高價格、增加公司利益時會出現此類不正當合作。
According to the LRCA Law, such practices may consist of agreements, decisions, recommendations, or concerted practices among competitors with the aim or effect of restraining, preventing, or distorting competition. The LRCA is not limited to sanction those legally enforceable agreements, but also prohibits cooperative activities, decisions or recommendations made through business partnerships, and even understandings between parties.
根據LRCA法律，該行為可能包括競爭者之間的協議、決定、建議或協同行為，其目的或效果是限制、阻止或扭曲競爭。LRCA并不僅限于制裁具有法律執行力的協議，還禁止合作行為、通過商業合作做出的決定或建議，甚至包括當事人之間的諒解。
Collusive practices are regulated by absolute prohibitions or regular prohibitions. Absolute prohibitions relate to practices that are illegal per se, while relative prohibitions relate to practices that require examination to verify whether they have anticompetitive effects. The LRCA considers as absolute prohibitions those concerted practices between parties (inter brand), which are not complementary or ancillary to other lawful agreements and whose purpose is to set wrecks, commercial conditions, limit production or sale, distribute customers, suppliers or markets, or establish positions or abstentions in bids (bid-rigging).
串通行為受到絕對禁止或相對禁止的規制。絕對禁止涉及本身違法的行為，而相對禁止涉及需要通過審查來證實其是否具有反競爭效果的行為。LRCA將當事人之間（品牌之間）的協同行為視為絕對禁止，該協同行為不是其他合法協議的補充或附屬于其他合法協議，其目的是設置障礙、商業條件、限制生產或銷售、分銷客戶、供應商或市場，或者確立投標地位或投標棄權（串通投標）。
Vertical Collusive Practices 縱向串通行為
According to the LRCA, these are collusive practices among economic agents operating at different levels of the production, distribution, and marketing whose purpose or effect is to restrict, prevent, or distort free competition. These types of practices require at least one of the parties to have a dominant position in the relevant market prior to engaging in the collusive arrangement.
LRCA認為，這些行為是發生在生產、分銷和營銷不同層面運營的經濟主體之間的串通行為，其目的或效果是限制、阻止或扭曲自由競爭。構成此類行為至少要有一方在實施串通行為之前在相關市場上具有支配地位。
Illegal vertical practices may consist of alleged abuse of a dominant position and horizontal collusive practices. All vertical collusive practices constitute relative prohibitions. In all such cases, INDECOPI must demonstrate that the practice has or may have a negative impact on competition.
違法的縱向行為可能包括被指控的濫用支配地位和橫向串通行為。所有縱向串通行為均構成相對禁止。在此種情況下，INDECOPI必須證明該行為已經或可能會對競爭產生不利影響。
For its part, the CP does not distinguish between horizontal and vertical collusive practices, and therefore, by virtue of the general classification, penalizes participation in practices and agreements restrictive in the productive, mercantile or service activity with the purpose of preventing, restrict or distort free competition.
就其本身而言， CP并未區分橫向串通行為和縱向串通行為，因此，按照一般分類，對參與在生產、商業或服務活動中具有限制性的做法和協議以阻止、限制或扭曲自由競爭為目的，即應當被處罰。
Proving Collusive Practices 證明串通行為
Given that collusive practices are difficult to prove, the competition agency may resort to indications and presumptions in order to verify whether similar behavior exists among competitors, and that the similarity is not naturally explained by the competitive operation of the market, such as simultaneous price fluctuations, similar quality of the product offered, and comparable indications.
鑒于串通行為通常難以證明，競爭管理機構可通過跡象判斷和推定，以便核實競爭者之間是否存在類似行為，以及是否可以用市場的競爭性經營，例如同時出現的價格波動、提供同等質量的產品以及其他可比性特征，來進行合理解釋。
In this sense, the competition agency must make a careful and restrictive analysis of the alleged uncompetitive practice. For example, it must make sure that the similarity in behavior is not the result of a mere suspicion, but that it has been absolutely proved and that there is no rational alternative explanation for the concerted practice which is capable of justifying such identical behavior.
從這個意義上說，競爭管理機構必須對被指控的不競爭行為進行仔細和限制性分析。例如，必須確定行為之間的類似性不是純粹出于懷疑，而是能夠提供絕對性證明，能夠證明這種相同行為是協同行為并排除掉合理的替代解釋。
This analysis carried out by INDECOPI will not be considered as a necessary procedural requirement for criminal proceedings.
INDECOPI進行的此種分析不會作為刑事訴訟的一項必要程序性要求。
Sanctions and Corrective Measures 制裁和糾正措施
The anti-competitive practices sanctioned by the LRCA are of an administrative nature, therefore, such breaches result in the imposition of fines by INDECOPI. Depending on the seriousness of the infringement, fines may be up to 12% of the gross sales or revenues collected by the offending companies.
LRCA制裁的反競爭做法具有行政性質，因此， INDECOPI可對此類違法行為處以罰款。視違法的嚴重程度，罰款最高可達違法公司總銷售額或總收入的12%。
In addition, INDECOPI is empowered to order corrective measures aimed to restore the competitive process. Corrective measures are additional to the sanctions that may be imposed for infringing the provisions contained in the LRCA.
此外，INDECOPI有權下令采取糾正措施，以恢復競爭秩序。糾正措施是對違反 LRCA條款所做出制裁以外的補充。
Likewise, INDECOPI often punishes individuals who participated in anti-competitive conduct on behalf of sanctioned companies.
同樣，INDECOPI常常對代表受制裁公司參與反競爭行為的個人進行處罰。
As of August 2020, anti-competitive practices are covered by the CP as offences of a criminal nature, therefore, such offences result in sentences of imprisonment by the Judiciary. Depending on the seriousness of the offence, custodial sentences of not less than 2 years, nor more than 6 years may be imposed. In addition, the penalty of disqualification for the perpetrator of the crime, as well as fines ranging from 180 to 365 days, may also be applied.
截至2020年8月，反競爭行為被視為具有刑事犯罪性質而被CP所管轄，因此，此類罪行可由司法機構判處徒刑。視犯罪情節的嚴重程度，可判處2年以上、6年以下的監禁。此外，還可判處剝奪犯罪行為人資格，以及180天至365天不等的處罰。
The Leniency Program (Leniency) 寬大制度（寬大）
According to the LRCA, and provided that certain requirements are met, any of the persons, natural or legal, involved in a horizontal collusive agreement may request INDECOPI to be totally or partially exempted from the fine in exchange for providing evidence to help identify and establish the existence of the conduct and to punish parties.
根據LRCA，在滿足特定條件的情況下，橫向串通協議中的任何自然人或法人，通過提供有助于確認和確立行為存在的證據或讓當事方受到處罰的證據，以此換取INDECOPI免除全部或部分罰款，
The leniency program does not eliminate or limit any civil liability that the applicant may have, as regards the damage that the anti-competitive conduct may have caused.
寬大制度不能消除或限制申請人就反競爭行為可能造成的損害所應承擔的任何民事責任。
Control of acts of corporate control structure 對公司控制結構進行管控
In Peru, since 2021, the regime of prior control of corporate control structure operations is in force. The legal basis that regulates this regime is formed by Law 31112, “Law that establishes the prior control of corporate control structure operations”; its Regulation, approved by Supreme Decree 039-2021-PCM; and, the “Guidelines for the Calculation of Notification Thresholds”, approved by Resolution 022-2021/ CLC-INDECOPI.
自2021年起，秘魯對公司實施控制結構實行事先監管。制度的法律基礎由第31112號法律“關于公司實施控制結構事先管控法”、經039-2021- PCM最高法令批準的規章以及經022-2021/CLC-INDECOPI決議批準的“申報標準計算指南”構成。
This regime, which is applicable to all economic activities (and not only to the electricity market as it was before), obliges economic agents to request prior approval from the National Institute for the Defense of Competition and Protection of Intellectual Property (INDECOPI) for corporate control structure operations that comply with the requirements set forth in the regime.
這一制度適用于所有經濟活動（而不是像以前那樣僅適用于電力市場），使經濟主體有義務就符合該制度要求的公司控制結構向國家保護競爭和知識產權協會（INDECOPI）申請事先批準。
The main aspects of the corporate control structure regime are as follows:
公司控制結構制度的主要內容如下：
Corporate control structure operations:
the following are corporate control structure operations, and therefore could be subject to prior control by INDECOPI:
公司實施控制結構：以下是公司實施控制結構的行為，可能受到INDECOPI的事先監管：
a. A merger of two or more economic agents, which were independent before the operation, whatever the form of corporate organization of the merging entities or of the entity resulting from the merger.
兩個或兩個以上的經濟主體的合并，這些經濟主體在運營前是獨立的，不論合并實體或合并后實體的公司組織形式如何。
b. The acquisition by one or more economic agents, directly or indirectly, of rights that allow them, individually or jointly, to exercise control over all or part of one or more economic agents.
一個或多個經濟主體，直接或間接地獲得權利，使其能夠單獨或共同對一個或多個經濟主體的全部或部分行使控制。
c. The formation by two or more independent economic agents of a joint venture or any other analogous contractual modality that implies the acquisition of joint control over one or more economic agents, in such a way that said economic agent performs the functions of an autonomous economic entity.
兩個或多個獨立的經濟主體組成合資企業或任何其他類似的合同形式，這意味著獲得對一個或多個經濟主體的共同控制，使得上述經濟主體行使獨立經濟實體的功能。
d. The acquisition by an economic agent of direct or indirect control, by any means, of operating productive assets of one or more other economic agents.
一個經濟主體通過任何方式，獲得對一個或多個其他經濟主體的生產經營性資產的直接或間接控制。
It should be noted that not only the four (4) types of transactions described in the preceding paragraph are the only ones subject to the prior authorization procedure. As long as there is a change of control, and the requirements are met, an operation could be subject to the regime.
值得注意的是，需要事先批準程序的不限于上述四種交易類型。只要發生了控制權變更，并且滿足了相關要求，該經營行為就可能受該制度的約束。
For the purposes of analyzing a corporate control structure operation, INDECOPI also considers as a single business concentration operation the set of acts or operations carried out between the same economic agents within a period of two (2) years, and the concentration operation must be notified prior to the execution of the last transaction or act that allows the thresholds to be exceeded.
為分析公司控制結構行為，INDECOPI還將相同經濟主體在兩年內實施的一系列行為或經營視為單一的業務集中行為，并且集中行為必須在達到申報標準的最后一次交易或行為實施之前進完成。
2. Corporate control structure acts subject to the authorization procedure: In order to determine whether or not a transaction must go through the merger control regime, three (3) conditions must be verified simultaneously:
公司控制結構行為還受到授權程序的制約：為了確定一項交易是否必須通過合并控制制度批準，必須同時滿足三個條件：
(i) That the transaction be executed or have effects in Peru.
該交易在秘魯執行或在秘魯生效。
(ii) That the transaction involves a transfer of control. According to the Law, control “Is the possibility of exercising a decisive and continuous influence over an economic agent through (i) rights of ownership or use of all or part of the assets of an enterprise, or (ii) rights or contracts that allow decisive and continuous influence over the composition, deliberations or decisions of the bodies of an enterprise, directly or indirectly determining the competitive strategy”.
該交易涉及到控制權的轉移。控制權是指通過以下行為對經濟主體施加決定性和持續影響的可能性：(i)企業全部或部分資產的所有權或使用權，或（ii）能夠對企業機構的組成、審議或決策施加決定性和持續影響的權利或合同，從而直接或間接地決定了競爭策略。
(iii) That both parties jointly exceed the two (2) thresholds described in the following numeral:
雙方同時超過以下數字中描述的兩個標準。
3. Thresholds: The economic corporate control structures are subject to the procedure of prior control when the parties comply, concurrently, with the following thresholds:
標準：經濟型公司控制結構受事前控制程序的制約，當事人需同時達到以下標準：
? The total sum of the value of sales or annual gross income or value of assets in the country of the companies involved in the corporate control structure operation has reached during the fiscal year prior to that in which the operation is notified, a value equal to or greater than 118,000 Tax Units (“UIT” and the “Joint Threshold”).
在該公司控制結構行為被告知的前一財政年度中，該公司控制結構實施涉及的公司所在國家的銷售額或年總收入或資產價值總和等于或大于118,000個納稅單位（“UIT”和“共同標準”）。
? The value of the annual sales or gross income or value of assets in the country of at least two of the companies involved in the corporate control structure operation have reached, during the fiscal year prior to the one in which the operation is notified, a value equal to or higher than 18,000 UIT each (the “Individual Threshold”).
在該公司控制結構被告知的前一財政年度中，在該公司控制結構實施涉及的至少兩個公司所在國家的年銷售額或年總收入或資產價值達到或大于18,000個納稅單位（“單獨標準”）。
The Guidelines state that the UIT to be used must be “the UIT in force as of the last day of the fiscal year prior to the date of notification of the transaction, that is, as of December 31 of the previous year”. Accordingly, the amount of the thresholds applicable to all operations carried out in the year 2023 is as follows:
指南規定所使用的納稅單位必須是“在交易申報之日的前一財政年度的最后一天，即上一年度的12月31日為有效的納稅單位”。因此，適用于2023年所有經營行為的納稅單位的單位數額如下：
4. Operations that do not comply with the requirements: In the event that a corporate control structure operation is not subject to the merger control regime, the parties must submit a sworn statement in this regard. Likewise, INDECOPI may initiate an ex officio prior control procedure when there is prima facie evidence that it may generate a dominant position or affect effective competition in the relevant market, even if the aforementioned thresholds are not exceeded. This power may be exercised by INDECOPI up to one (1) year after the formal closing of the transaction.
不符合要求的經營行為：在公司控制結構行為不受合并管控制度約束的情況下，當事人必須就此提交一份宣誓聲明。同樣，如有初步證據表明交易可能產生支配地位或影響相關市場的有效競爭時，即使沒有超過上述的納稅單位，INDECOPI也可以依職權啟動事先管控程序。INDECOPI可以在交易正式結束后一年內行使這一權力。
5. Term and duration of proceedings: The authorization procedure by INDECOPI is one of two phases, depending on the transaction to be analyzed and the possible effects that it may have on the relevant market.
程序期限：INDECOPI的批準程序可以分為兩個階段，這取決于所分析的交易及其對相關市場可能產生的影響程度。
The first phase culminates with the authorization of INDECOPI in cases that do not involve competition concerns. This phase lasts a maximum of fifty-five (55) working days and concludes with the approval of the transaction by INDECOPI. In case the authority does not issue a decision within the term, the transaction shall be deemed to be approved by the application of the positive administrative silence. Only when a corporate control structure operation has competition concerns, or involves companies with a significant participation in the relevant market, INDECOPI initiates the second phase of the analysis, which lasts a maximum of ninety (90) working days (extendable for an additional thirty (30) working days, with prior justification).
在不涉及競爭問題的情況下，第一階段的結果是獲得INDECOPI批準。這一階段最長為五十五個工作日，以INDECOPI批準交易作為結束。如果在此期間沒有作出決定，則該交易應被視為適用積極的行政沉默而獲得批準。僅當公司控制結構行為存在競爭問題，或公司在相關市場上具有重要地位時， INDECOPI才啟動第二階段的分析，這一階段最長為九十個工作日（經事先獲準，可延長三十個工作日）。
6. Termination of proceedings: Once the corporate control structure operation has been analyzed, the Law states that INDECOPI may: (i) authorize the transaction; (ii) authorize the transaction with conditions aimed at avoiding or mitigating the possible effects that could arise from the corporate concentration transaction; or (iii) not authorize the transaction. INDECOPI’s decisions may be appealed.
程序的終止：一旦對公司控制結構的行為進行分析，法律規定INDECOPI可以（i）批準交易；（ii）附條件批準交易，以避免或減少公司集中交易可能產生的不利影響；或（iii）不批準交易。INDECOPI的決定可以被上訴。
7. Fines and non-compliance: Failure to comply with the regime leads to fines and corrective measures. The amount of these fines could be up to a maximum amount equivalent to 12% of the gross sales or income received by the infringer, or its economic group, related to all its economic activities, corresponding to the fiscal year immediately prior to the issuance of INDECOPI’s resolution.
罰款和違規行為：不遵守該制度將導致罰款和被采取糾正措施。罰款的數額最高可以相當于侵權人或其經濟集團在INDECOPI決議發布前一財政年度與其所有經濟活動相關總銷售額或收入的12%。
INDECOPI may impose corrective measures aimed at undoing the economic corporate control structure operation when possible. Notwithstanding the foregoing, the Law indicates that a corporate control structure operation that must be submitted to the prior control procedure has no legal effect whatsoever as long as it does not have the prior authorization of INDECOPI.
在可能的情況下，INDECOPI可以采取糾正措施，旨在撤銷經濟型公司控制結構行為。盡管有上述規定，只要沒有INDECOPI的事先授權，必須通過事先監管程序的公司控制結構行為就不具有任何法律效力。
At this point, it must be noted that formally closing a transaction before obtaining INDECOPI’s authorization is not the only case of infringement to the corporate control structure operation. Thus, actions such as sharing sensitive information between the parties, integrating operations or influencing in any way the company’s competitive strategy (exercising some kind of control, even de facto) before obtaining INDECOPI’s authorization may be considered as a punishable infringement.
必須注意的是，在獲得INDECOPI的授權之完成一項交易并不是侵犯公司控制結構行為的唯一情形。因此，在獲得INDECOPI的授權之前，當事人之間分享敏感信息、整合經營或以任何方式影響公司的競爭策略（行使某種控制，甚至是事實上的控制）等行為都可能被認定為應受處罰的侵權行為。
