专利许可债权证券化的法律问题研究
发布时间：2018-08-28 16:14
【摘要】：专利许可债权证券化作为专利资产证券化的一种,是资产证券化这一融资工具延伸到专利领域的表现。专利许可债权证券化与资产证券化最大的区别在于基础资产的特殊性,专利许可债权证券化的基础资产是专利许可合同所产生的专利许可费收入这一债权资产,并以该债权资产为支撑来发行资产支持证券进行融资。作为一种新兴的知识产权融资模式,自专利许可债权证券化诞生以来便拥有着鲜活的生命力,这实际上是资本市场开始逐步认可专利经济价值的过程。专利许可债权证券化能够有效满足专利权人的融资需求,对专利成果的转化和知识经济的发展具有重要的意义,同时也给投资者提供了新的投资渠道,可见,技术金融一体化是现代技术创新发展过程中不可阻挡的潮流。本文共分为四章,第一章首先对专利许可债权证券化的上位概念资产证券化的基础理论进行诠释,然后列举了专利资产的种类,接着分析了专利许可债权这一基础资产的法律性质,得出专利许可债权证券化的涵义。在专利许可债权证券化的相关概念解释清楚后,对其产生和发展的动因,即市场对它的需求以及它的优越性进行说明。第二章主要是对包括专利许可债权证券化在内的资产证券化的共性法律问题以及专利许可债权证券化过程中特有的法律问题进行分析,从基础资产的转让、特殊目的载体(SPV)的设立来分析资产证券化过程中必备的风险隔离机制,最后说明风险隔离机制并不是万无一失的,与发起人及SPV之间的风险隔离目的有可能落空。第三章对专利许可债权证券化过程中存在的除发起人和SPV破产风险之外的其他风险进行了归纳整理,并提出化解风险的对策。第四章首先分析我国进行专利许可债权证券化的可行性,得出可行性的结论后,对我国的法律环境进行评述,构建出目前最适宜我国运行的专利许可债权证券化模式。专利许可债权证券化是金融创新的产物,具有高度的衍生性,在提高债权资产流动性的同时也蕴含着相当大的风险,需要监管机关予以高度重视。在分析了专利许可债权证券化的核心法律问题之后,如何通过完善立法实现证券化过程的法制化是本文探讨的重点。在资产证券化的未来发展中,我们需要根据自身的法律环境,有针对性地对我国法律中存在的障碍进行破除,对立法缺失进行完善。
[Abstract]:As a kind of patent asset securitization, the securitization of patent license creditor's rights is the manifestation of asset securitization, which is extended to patent field. The biggest difference between the securitization of patent license claims and the securitization of assets lies in the particularity of the basic assets. The basic assets of the securitization of patent license claims are the income of the patent license fees generated by the patent license contracts. And with the debt assets as the support to issue asset-backed securities for financing. As a new mode of intellectual property financing, the securitization of patent license creditor's rights has a fresh vitality since the birth of the securitization, which is actually the process of the capital market gradually recognizing the economic value of patent. The securitization of patent license creditor's rights can effectively meet the financing needs of patentee, which is of great significance to the transformation of patent achievements and the development of knowledge economy. At the same time, it also provides investors with new investment channels. The integration of technology and finance is an irresistible trend in the development of modern technology innovation. This paper is divided into four chapters. The first chapter explains the basic theory of the epigynous concept asset securitization of patent license creditor's rights securitization, and then enumerates the types of patent assets. Then, the author analyzes the legal nature of patent license creditor's right, and obtains the meaning of patent license creditor's rights securitization. After explaining the related concepts of patent license securitization, this paper explains the reasons for its emergence and development, that is, the market's demand for the securitization and its superiority. The second chapter mainly analyzes the general legal problems of asset securitization, including patent license creditor's securitization, and the special legal problems in the process of patent license creditor's securitization, from the transfer of basic assets. The establishment of special purpose carrier (SPV) is used to analyze the necessary risk isolation mechanism in the process of asset securitization. Finally, it is shown that the risk isolation mechanism is not foolproof, and the purpose of risk isolation with initiators and SPV may fail. The third chapter sums up and arranges the other risks in the process of patent license credit securitization except the initiator and SPV bankruptcy risk, and puts forward the countermeasures to resolve the risk. The fourth chapter firstly analyzes the feasibility of the securitization of patent license claims in our country, then draws the conclusion of feasibility, then comments on the legal environment of our country, and constructs the model of the securitization of creditor's rights of patent license which is most suitable for our country at present. The securitization of patent license creditor's rights is the product of financial innovation, which has a high degree of derivation. It also contains considerable risks while improving the liquidity of creditor's rights assets, which needs to be attached great importance to by the supervisory authorities. After analyzing the core legal problems of the securitization of patent license creditor's rights, how to realize the legalization of the securitization process through perfecting the legislation is the focus of this paper. In the future development of asset securitization, according to our own legal environment, we need to break down the obstacles existing in our country's laws and perfect the legislative deficiencies.
【学位授予单位】：青海民族大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D912.28
本文编号：2209918
[Abstract]:As a kind of patent asset securitization, the securitization of patent license creditor's rights is the manifestation of asset securitization, which is extended to patent field. The biggest difference between the securitization of patent license claims and the securitization of assets lies in the particularity of the basic assets. The basic assets of the securitization of patent license claims are the income of the patent license fees generated by the patent license contracts. And with the debt assets as the support to issue asset-backed securities for financing. As a new mode of intellectual property financing, the securitization of patent license creditor's rights has a fresh vitality since the birth of the securitization, which is actually the process of the capital market gradually recognizing the economic value of patent. The securitization of patent license creditor's rights can effectively meet the financing needs of patentee, which is of great significance to the transformation of patent achievements and the development of knowledge economy. At the same time, it also provides investors with new investment channels. The integration of technology and finance is an irresistible trend in the development of modern technology innovation. This paper is divided into four chapters. The first chapter explains the basic theory of the epigynous concept asset securitization of patent license creditor's rights securitization, and then enumerates the types of patent assets. Then, the author analyzes the legal nature of patent license creditor's right, and obtains the meaning of patent license creditor's rights securitization. After explaining the related concepts of patent license securitization, this paper explains the reasons for its emergence and development, that is, the market's demand for the securitization and its superiority. The second chapter mainly analyzes the general legal problems of asset securitization, including patent license creditor's securitization, and the special legal problems in the process of patent license creditor's securitization, from the transfer of basic assets. The establishment of special purpose carrier (SPV) is used to analyze the necessary risk isolation mechanism in the process of asset securitization. Finally, it is shown that the risk isolation mechanism is not foolproof, and the purpose of risk isolation with initiators and SPV may fail. The third chapter sums up and arranges the other risks in the process of patent license credit securitization except the initiator and SPV bankruptcy risk, and puts forward the countermeasures to resolve the risk. The fourth chapter firstly analyzes the feasibility of the securitization of patent license claims in our country, then draws the conclusion of feasibility, then comments on the legal environment of our country, and constructs the model of the securitization of creditor's rights of patent license which is most suitable for our country at present. The securitization of patent license creditor's rights is the product of financial innovation, which has a high degree of derivation. It also contains considerable risks while improving the liquidity of creditor's rights assets, which needs to be attached great importance to by the supervisory authorities. After analyzing the core legal problems of the securitization of patent license creditor's rights, how to realize the legalization of the securitization process through perfecting the legislation is the focus of this paper. In the future development of asset securitization, according to our own legal environment, we need to break down the obstacles existing in our country's laws and perfect the legislative deficiencies.
【学位授予单位】：青海民族大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D912.28
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