知识产权论文：知识产权 证券化 资产池

知识产权论文：知识产权 证券化 资产池 知识产权论文:知识产权 证券化 资产池 【中文摘要】21世纪是知识经济时代,知识产权在当今社会中的地位毋庸置疑。知识产权作为企业的一项重要资产,法律不仅要确认和保护知识产权,而且还要发展和运用知识产权。知识产权证券化属于资产证券化的范畴,是一种新兴的融资方式,已经为发达国家的文化产业和高科技产业的发展起到了巨大的推动作用。加强知识产权与金融资本领域的融合是响应国家提出的实施知识产权战略、建设创新型国家号召的必然趋势,也是解决目前高科技型中小企业融资难问的重要途径。全文分为四章,第一章介绍了知识产权证券化概况,包括知识产权证券化的概念、分类、特点及其基本流程等内容。第二章是知识产权证券化基础资产研究,在介绍了适合证券化基础资产的范围和条件后,研究了选择基础资产的策略,第四节讲述了如何构建知识产权证券化资产池,提出了构建知识产权资产池的几点意见。第三章主要分析了知识产权证券化的特殊法律问题,特殊机构的构建模式和“真实销售”的判断是所有资产证券化都要研究的重点问题,主张我国应建立信托模式的特殊机构以及采用债权让与形式的资产转让方法。而发起人应承担的义务和债权让与的法律问题则是知识产权证券化的特有法律问题,应该加强发起人的信息披露义务和权利瑕疵担保义务,承认未来债权的让与并设立债权让与公告。第四章分析了我国为什么要开展知识产权证券化以及法律和政策上的一些建议。一方面介绍了我国进行知识产权证券化的必要性和可能性,另一方面从《合同法》、《信托法》、《证券法》等法律法规分析了现行法律的某些 不足及修改建议,我国的知识产权证券化正处于摸索阶段,政府的指 导和扶持必不可少,所以在政策上要成立专门的知识产权证券化主管 机构,推动知识产权证券化的发展;法律上要建立健全知识产权证券 化监管制度,防范风险。知识产权证券化涉及法律、金融和管理等诸 多领域,目前理论界并没有出现系统的研究成果。虽然我国目前没有 知识产权证券化的案例出现,但随着经济发展和知识产权证券化在中 国理论研究的不断深入,最终将会走向实践,开创中国的知识产权证 券化实务。希望通过自己的研究,为我国的知识产权与金融发展献微 薄之力。 【英文摘要】The 21st century is an era of knowledge-based economy. Intellectual property is playing an undoubted role in the modern society. As an important asset of enterprises, the law should not only confirm and protect the intellectual property but also develop and employ it. Intellectual property has both the value and use value. It is available to gain the profits by making use of its use value, and at the same time, financing assurance can be achieved by taking advantage of its value. As a new way of financing, the securitization of intellectual property belongs to the asset securitization, and it has make great contributions to the development of the cultural and high-technological industry in the developed countries. Enhancement of the integration of the intellectual capital and financial capital is a response to the implementation of intellectual property strategy and building an innovative nation strategy, and also it is an important way to solve the problems of financing for current high-tech small and middle enterprises.The paper is composed of four chapters. The first chapter is an introduction of the securitization of intellectual property, including the concept, classifications, features and the basic flow of the securitization of intellectual property. The second chapter demonstrates the research on underlying assets of the securitization of intellectual property. After the introduction of the scope and conditions of underlying assets suitable for securitization, the author studies the strategy for selecting the underlying assets. The fourth section of this chapter illustrates how to construct the asset pool of the securitization of intellectual property and put forward some suggestions for that. The third chapter mainly analyzes the special legal issues about the securitization of intellectual property. The mode of the construction of special purpose vehicle and the judgment of “True Sales” are both the major issues for all asset securitization. The author advocates establishing the special purpose vehicle of trust mode in our country and transferring the assets by the assignment of credit. The unique legal issues of the securitization of intellectual property are the obligations of the initiators and the legal problems about the assignment of credit. Initiators’ obligations of information disclosure and the assurance of ownership of underlying asset should be enhanced. Besides, the assignment of future claims ought to be recognized and the registration system of assignment of credit need establishing. The fourth chapter focuses on why our country should develop the securitization of intellectual property and provides some suggestions for the law-making and policy-making. For one thing, the author shows the readers the necessity and feasibility of developing the securitization of intellectual property in our country. For another thing, the author analyzes the shortcomings of existing laws and offers many modification suggestions based on laws such as Contract Law, Trust Law and Security Law. Because the securitization of intellectual property in our country is still at a stage of fumbling, the guide and support from the government are indispensible. Therefore, from the perspective of the policy, the specialized competent authorities of securitization of intellectual property should be established to promote the development of the securitization of intellectual property. In addition, from the perspective of law, perfect supervisory and regulatory system of securitization of intellectual property ought to be constructed for risk prevention.The securitization of intellectual property involves many fields such as law, technology, finance and management. At the present, there are still no systematic research achievements in the theory circle. Although no cases about the securitization of intellectual property have emerged in our country, with the development of the economy, the securitization of intellectual property will advance continuously in our theoretical study and come into practice from theory. The author hopes to make a contribution to the development of the intellectual property and finance in China through his own study. 【关键词】知识产权 证券化 资产池 【采买全文】 1.3.9.9.38.8.4.8 1.3.8.1.13.7.2.1 同时提供论文写作定制和论文发表服务.保过包发. 【说明】本文仅为中国学术文献总库合作提供，无涉版权。作者如有异议请与总库或学校联系。 【英文关键词】Intellectual Property Securitization Asset Pool 【目录】知识产权证券化法律问题研究 中文摘要 8-9 Abstract 9-10 引言 11-13 一、知识产权证 券化概述 13-19 (一) 知识产权证券化的概念 13-15 1、 资产证券化的概念 13-14 2、知识产权证券化的概念 14-15 (二) 知识产权证券化的分类 15-16 (三) 知识产权证券化的特点 16-17 (四) 知识产权证券化的基本流程 17-19 二、知识产权证券化之基础资产研究 19-25 (一) 适合证券化基础资产的范围 19-21 (二) 拟证券化基础资产的条件 21-22 (三) 证券化基础资产的选择策略 22-23 (四) 知识产权证券化中资产池的构建 23-25 三、知识产权证券化几个法律问题 25-34 (一) 特殊目的机构的构建模式 25-27 1、特殊目的公司 25-26 2、特殊目的信托 26-27 3、合伙形式 27 (二) 资产转移的方式及”真实销售”的判断 27-30 1、资产转移的方式选择 27-29 2、基础资产”真实销售”的判断 29-30 (三) 发起人应承担的义务 30-31 1、充分的信息披露义务 30-31 2、基础资产权利瑕疵担保义务 31 (四) 债权让与的主要法律问题 31-34 1、将来债权的界定 31-32 2、将来债权的让与 32 3、债权让与公告制度 32-34 四、我国的知识产权证券化 34-44 (一) 我国开展知识产权证券化的必要性 34-37 1、融合知识资本与金融资本 34 2、拓宽企业融资渠道 34-36 3、增强技术成果转化能力 36-37 (二) 我国开展知识产权证券化的可行性 37-38 1、具备较好的法制环境及政策导向 37 2、已有资产证券化案例可作为参照 37-38 3、拥有充足的知识产权数 量和交易规模 38 4、专业中介机构有了较大发展 38 (三) 我国开展知识产权证券化的法律与政策建议 38-44 1、成立专门的证券化主管机构 39 2、设立常设特殊目的信托机构 39-40 3、完善证券化相关法律法规 40-42 4、建立统一的登记公示制度 42 5、建立健全证券化监管制度 42-44 结束语 44-45 参考文献 45-48 致谢 48-49 学位论文评阅及答辩情况表 49