论知识产权证券化的若干法律问题

发布时间：2019-04-23 08:09

【摘要】：人类社会的发展经历了从农业社会、工业社会到知识经济时代的过程，美国的知识产权贸易额占全国GDP的70%以上，越是发达的国家越是重视知识产权的发展。世界已经进入信息时代，知识产权作为我们这个时代重要资源，在我们的社会和经济生活中发挥着举足轻重的作用。资产证券化作为一种融资方式，自20世纪70年代以来在美国得到迅速的发展，1在欧洲和亚洲国家也日益得到广泛的应用。随着知识产权这个生产因素在社会发展和商业生活中得到日益广泛的重视，以及资产证券化的融资方式在经济发展中的长足运用，两股具有生命力的生产要素和融资方式在经济的发展下得到创新的融合——知识产权证券化。知识产权证券化既发挥了知识产权的经济价值，为广大中小高新技术企业的融资解决了资金难题，更有利于鼓励知识产权在社会的发展和资本化；对于资本市场来说，也注入了知识产权的新鲜血液。虽然知识产权证券的历史还很短，在操作的过程中仍面临着一些难题，但是自诞生之后，其交易总量还是增长了近100倍。目前我国对知识产权证券化的研究的专著较少，理论也比较基础，缺乏系统、深入的探讨。知识产权证券化是资产证券化的一种，因此资产证券化的基本原理和核心方法也同样适用于知识产权证券化。鉴于时间和水平有限，笔者仅就知识产权证券化中最重要的若干问题进行研究，希望通过对知识产权证券化中若干问题客观、具体的阐述，让读者了解知识产权证券化的障碍、优势和如何解决的方法。在文章结构方面，本文第一章介绍了知识产权证券化的基本法理和内涵并引入后面几章要阐述的问题，包括知产权证券化的内涵、特征、作用、主要参与人、法律关系、操作步骤和重要的法律问题；第二章主要阐述了知产权证券化中的信用增级和信用担保问题，包括其内容、方法和效果；第三章阐述了知识产权证券化中真实销售的问题，，包括其内涵、操作中的法律标准和操作后的权利标准；第四章讨论了特殊目的机构（SPV）的法律问题，包括SPV的设立、运营和实体合并等法律问题；第五章通过借鉴前面阐述的各国经验对我国发展知识产权证券化事业提出了自己的建议。
[Abstract]:The development of human society has experienced the process from agricultural society, industrial society to the era of knowledge economy. The amount of intellectual property trade in the United States accounts for more than 70% of the national GDP. The more developed countries pay more attention to the development of intellectual property rights. The world has entered the information age, as an important resource of our times, intellectual property plays an important role in our social and economic life. As a kind of financing method, asset securitization has been developed rapidly in the United States since 1970s, and has been widely used in European and Asian countries. With the increasing importance of intellectual property as a productive factor in social development and commercial life, and the considerable application of asset securitization in economic development, Intellectual property securitization is an innovative fusion of two vital factors of production and financing under the development of economy. The securitization of intellectual property has not only brought into play the economic value of intellectual property rights, but also solved the capital problems for the financing of the majority of small and medium-sized high-tech enterprises. For capital markets, there is also a fresh injection of intellectual property. Although the history of intellectual property securities is still very short, there are still some difficulties in the process of operation, but since its birth, its trading volume has increased nearly 100 times. At present, there are few monographs on the securitization of intellectual property rights in our country, the theory is also relatively basic, lack of systematic, in-depth discussion. Intellectual property securitization is a kind of asset securitization, so the basic principle and core method of asset securitization are also applicable to intellectual property securitization. In view of the limited time and level, the author only studies some of the most important issues in intellectual property securitization, and hopes to make readers understand the obstacles of intellectual property securitization by objectively and concretely expounding some problems in the process of intellectual property securitization. Advantages and solutions. In terms of the structure of the article, the first chapter of this paper introduces the basic legal principles and connotation of intellectual property securitization and introduces the issues to be elaborated in the following chapters, including knowing the connotation, characteristics, role, main participants and legal relations of property rights securitization. Operational steps and important legal issues; The second chapter mainly expounds the problems of credit enhancement and credit guarantee in the securitization of intellectual property rights, including its contents, methods and effects. The third chapter expounds the real sale of intellectual property securitization, including its connotation, the legal standard in operation and the right standard after operation; The fourth chapter discusses the legal issues of the special purpose organization (SPV), including the establishment of SPV, the operation and the merger of entities, etc. The fifth chapter puts forward some suggestions for the development of intellectual property securitization in China by drawing lessons from the experiences of other countries.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F204;F831.5;D922.28

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