论专利资产证券化中发起人的瑕疵担保义务

发布时间：2018-06-08 12:09

本文选题：专利证券化 + 瑕疵担保　；参考：《湘潭大学》2013年硕士论文

【摘要】：专利资产证券化相对于传统的专利权融资方式而言，是一种全新的专利权融资途径，专利权人，即专利资产证券化的发起人，将专利资产转移到SPV（特殊目的机构）构成“真实销售”，其应承担相应的瑕疵担保义务。在我国当前并无专利证券化的针对性法律法规下，根据证券化流程和专利权的特殊性分析，在专利证券化领域中，发起人瑕疵担保义务范围的界定标准、承担责任的法律依据等法律问题在现存法律法规中均无明确规定，其诸多问题是独特的。故，现时在我国，发起人承担瑕疵担保义务的法律依据存在的问题有：第一关于未来收益权的让与（即未来债权的让与）、专利权许可或转让以及有价证券转让，这些转让人的瑕疵担保适用依据存在模糊性和不确定性；第二、理论界对专利资产证券化中的瑕疵担保制度研究主要在权利瑕疵担保上，且论述也不全面和系统，深入研究的甚少，，由于证券化涉及的主体较多，且之间的法律关系复杂，对于发起人的瑕疵担保范围难以界定；第三、专利法第47条学界有认为是排除了瑕疵担保制度的适用。笔者试图从发起人承担着双重的瑕疵担保义务（对特殊目的机构，即受让人，承担未来收益权转让的权利瑕疵担保，也对专利权的被许可人和特殊目的机构承担专利相关的双重瑕疵担保，包括物之权利瑕疵担保义务和权利瑕疵担保义务）出发，撰写该文论述上述问题，试以提出建议，希望能够促进我过专利资产证券化的发展，同时有利于完善我国瑕疵担保制度。本文可分为四章：第一章绪论，对发起人瑕疵担保义务现状研究和涉及主要问题做简要概述。第二章是发起人瑕疵担保义务的相关理论分析，由于资产证券化的复杂性，对瑕疵担保和资产证券化理论的简要分析，对该证券化程序和载体的分析，有助于理解证券化中瑕疵的担保的特殊性和复杂性。第三章对我国专利资产证券化中发起人的瑕疵担保义务的研究现状作简要分析和对其中存在的主要问题有所论述，学界对资产证券化中涉及的瑕疵担保问题少有研究，故现状简单，而问题多多，笔者对关键的三个问题进行重点论述和分析。第四章是关于发起人瑕疵担保制义务的构建，是对问题提出的建议和意见，解决存在的问题，是本文撰写的意义所在。
[Abstract]:Compared with the traditional way of patent financing, patent asset securitization is a new way of patent financing. The patentee, the initiator of patent asset securitization, The transfer of patent assets to SPV (Special purpose Agency) constitutes a "true sale", which should bear the corresponding defect guarantee obligation. According to the analysis of the process of securitization and the particularity of patent right, in the field of patent securitization, the definition standard of the scope of the sponsor's obligation to guarantee the defect in the field of patent securitization is defined. Legal issues such as the legal basis for assuming responsibility are not clearly stipulated in the existing laws and regulations, and many of them are unique. Therefore, at present, in our country, The problems existing in the legal basis for the sponsors to undertake the obligation of defective security are as follows: the first is the assignment of the right of future proceeds (i.e., the assignment of the future creditor's rights, the license or assignment of patent rights and the transfer of marketable securities), There is ambiguity and uncertainty in the basis of the defect guarantee of these assignors. Secondly, the research of the defect guarantee system in the patent asset securitization is mainly focused on the right defect guarantee, and the discussion is not comprehensive and systematic. Because the securitization involves many subjects and the legal relationship between them is complex, it is difficult to define the scope of the sponsor's defect guarantee; third, the patent law article 47 academic circle thinks that the application of the defect guarantee system is excluded. The author tries to assume the obligation of double defect guarantee from the initiator (to the special purpose organization, that is, the transferee, to undertake the right imperfection guarantee of the transfer of the right to gain in the future, Starting from the fact that the licensee of the patent right and the special purpose organization undertake the double defect guarantee related to the patent, including the obligation to guarantee the right and defect of the property and the obligation to guarantee the defect of the right), this paper discusses the above problems and puts forward some suggestions. This paper can be divided into four chapters: the first chapter is an introduction to the sponsors of the current situation of the status quo of the defect guarantee obligations and the main issues involved in a brief overview. The second chapter is the related theoretical analysis of the sponsors' obligation to guarantee defects. Due to the complexity of asset securitization, the brief analysis of the theory of defect guarantee and asset securitization, the analysis of the securitization process and carrier. It is helpful to understand the particularity and complexity of the guarantee of defects in securitization. The third chapter makes a brief analysis of the research status of the sponsor's defect guarantee obligation in China's patent asset securitization, and discusses the main problems in it. There is little research on the defect guarantee problem involved in the asset securitization. Therefore, the status quo is simple, and there are many problems, the author focuses on the three key issues and analysis. Chapter four is about the construction of the obligation of sponsor's defect guarantee system, the suggestion and opinion to the problem, and the solution to the existing problem, which is the significance of this paper.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D923;D922.287

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