本文選題：知識產(chǎn)權(quán)質(zhì)押　切入點(diǎn)：風(fēng)險(xiǎn)評估與管控　出處：《寧波大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：知識產(chǎn)權(quán)質(zhì)押融資是中小型科技企業(yè)融資擔(dān)保的主要形式,但我國知識產(chǎn)權(quán)價(jià)值評估、擔(dān)保、出資、證券化等交易市場未完全建立,知識產(chǎn)權(quán)質(zhì)押融資制度起步晚、經(jīng)驗(yàn)不足,利用知識產(chǎn)權(quán)質(zhì)押實(shí)現(xiàn)融資存在諸多風(fēng)險(xiǎn)和障礙。完善我國知識產(chǎn)權(quán)質(zhì)押融資的程序和配套措施,主要解決知識產(chǎn)權(quán)評估難題、控制知識產(chǎn)權(quán)的風(fēng)險(xiǎn),并且需要政府、企業(yè)、金融機(jī)構(gòu)的同步參與。本文擬從理論上引入知識產(chǎn)權(quán)質(zhì)押融資風(fēng)險(xiǎn)的界定和表現(xiàn)形式,接著從我國現(xiàn)有的知識產(chǎn)權(quán)風(fēng)險(xiǎn)管控實(shí)踐、管控措施的法律價(jià)值體現(xiàn)分析現(xiàn)有的制度缺陷,從而為提高知識產(chǎn)權(quán)質(zhì)押融資服務(wù)同時(shí)降低融資成本提出法律的完善建議。文章第一部分在厘清知識產(chǎn)權(quán)質(zhì)押法律性質(zhì)和風(fēng)險(xiǎn)概念的基礎(chǔ)上,認(rèn)為知識產(chǎn)權(quán)質(zhì)押風(fēng)險(xiǎn)即為市場信息的不對稱性、交易非出清狀態(tài)、價(jià)值評估的局限性致使對質(zhì)押結(jié)果難以預(yù)測和把控。同時(shí),對知識產(chǎn)權(quán)質(zhì)押后的法律狀態(tài)和市場價(jià)值的多種可能性因素進(jìn)行歸納。文章第二部分從實(shí)踐層面總結(jié)國內(nèi)知識產(chǎn)權(quán)質(zhì)押融資的風(fēng)險(xiǎn)管控和分擔(dān)制度。首先,對知識產(chǎn)權(quán)審批、評估、登記、貸后管理的四大流程中風(fēng)險(xiǎn)評估方法總結(jié),指出程序?qū)徟闹貜?fù)性和繁雜性。最后,對國內(nèi)采取的直接質(zhì)押、捆綁質(zhì)押、反擔(dān)保質(zhì)押知識產(chǎn)權(quán)擔(dān)保特征梳理,以及補(bǔ)貼和風(fēng)險(xiǎn)分擔(dān)政策制度的梳理,分析政府、企業(yè)、銀行各自的角色定位。文章第三部分從風(fēng)險(xiǎn)管控和分擔(dān)機(jī)制的法律價(jià)值體現(xiàn)分析其效用。首先以評估結(jié)論不確定性的控制理論為基礎(chǔ),分析理論和實(shí)踐中對評估活動的規(guī)范制度,在某種程度上限制了評估的主觀性和道德風(fēng)險(xiǎn),體現(xiàn)知識產(chǎn)權(quán)交易的安全性。其次,從企業(yè)融資的費(fèi)用和政府承擔(dān)的職責(zé)分析出知識產(chǎn)權(quán)融資成本較高,但對國內(nèi)識產(chǎn)權(quán)質(zhì)押規(guī)模的個(gè)規(guī)律遞增起到明顯的推動作用,提高中小企業(yè)的生產(chǎn)效率,間接促進(jìn)生產(chǎn)方式革新和產(chǎn)業(yè)結(jié)構(gòu)優(yōu)化。文章第四部分從約束評估活動、精簡質(zhì)押融資程序、提高技術(shù)服務(wù)的質(zhì)量三個(gè)方面提出具體的法律規(guī)范建議,以期能實(shí)現(xiàn)知識產(chǎn)權(quán)風(fēng)險(xiǎn)評估質(zhì)量、完善政府公共信息和技術(shù)服務(wù)從而降低融資成本和風(fēng)險(xiǎn),推動我國知識產(chǎn)權(quán)質(zhì)押融資事業(yè)的穩(wěn)健發(fā)展。
[Abstract]:Intellectual property pledge financing is the main form of financing guarantee for small and medium-sized science and technology enterprises. However, China's intellectual property value assessment, guarantee, investment, securitization and other transaction markets have not been fully established, the intellectual property mortgage financing system started late, and lack of experience. There are many risks and obstacles in using intellectual property rights pledge to realize financing. Perfecting the procedure and supporting measures of intellectual property pledge financing in our country, mainly solve the problem of intellectual property evaluation, control the risk of intellectual property, and need government, enterprises, This paper intends to introduce the definition and manifestation of the financing risk of intellectual property pledge theoretically, and then from the current practice of intellectual property risk management and control in our country. The legal value of the control measures reflects the analysis of the existing system defects, In order to improve the financing service of intellectual property pledge and reduce the financing cost, the first part of the article clarifies the legal nature of intellectual property pledge and the concept of risk. It is considered that the risk of intellectual property pledge is the asymmetry of market information, the non-clearing state of transaction, and the limitation of value evaluation, which makes it difficult to predict and control the pledge result. The second part summarizes the risk control and sharing system of the domestic intellectual property pledge financing from the practical level. First, the intellectual property right examination and approval, Summary of risk assessment methods in the four major processes of assessment, registration and post-loan management, pointing out the repeatability and complexity of procedure approval. Finally, the characteristics of intellectual property rights security adopted in China, such as direct pledge, bundled pledge, anti-security pledge, are combed. As well as the subsidy and risk sharing policy system, the analysis of the government, enterprises, The third part of this paper analyzes the effectiveness of the risk control and sharing mechanism from the legal value. Firstly, it is based on the uncertainty control theory of the evaluation conclusion. The normative system of evaluation activities in theory and practice limits to some extent the subjectivity and moral hazard of evaluation, and reflects the security of intellectual property transactions. The cost of intellectual property financing is high from the cost of enterprise financing and the responsibility of the government, but it plays a significant role in promoting the increase of the law of the scale of pledge of property rights in China, and improving the production efficiency of small and medium-sized enterprises. In part 4th, the author puts forward specific legal and normative suggestions from three aspects: restraint evaluation, streamlining of pledge financing procedures, improvement of the quality of technical services, and improvement of the quality of technical services. The aim is to realize the quality of intellectual property risk assessment, perfect the government public information and technology service, reduce the financing cost and risk, and promote the steady development of intellectual property pledge financing in our country.
【學(xué)位授予單位】：寧波大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：D923.4

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