【摘要】：專利許可債權(quán)證券化作為專利資產(chǎn)證券化的一種,是資產(chǎn)證券化這一融資工具延伸到專利領(lǐng)域的表現(xiàn)。專利許可債權(quán)證券化與資產(chǎn)證券化最大的區(qū)別在于基礎(chǔ)資產(chǎn)的特殊性,專利許可債權(quán)證券化的基礎(chǔ)資產(chǎn)是專利許可合同所產(chǎn)生的專利許可費(fèi)收入這一債權(quán)資產(chǎn),并以該債權(quán)資產(chǎn)為支撐來發(fā)行資產(chǎn)支持證券進(jìn)行融資。作為一種新興的知識產(chǎn)權(quán)融資模式,自專利許可債權(quán)證券化誕生以來便擁有著鮮活的生命力,這實(shí)際上是資本市場開始逐步認(rèn)可專利經(jīng)濟(jì)價值的過程。專利許可債權(quán)證券化能夠有效滿足專利權(quán)人的融資需求,對專利成果的轉(zhuǎn)化和知識經(jīng)濟(jì)的發(fā)展具有重要的意義,同時也給投資者提供了新的投資渠道,可見,技術(shù)金融一體化是現(xiàn)代技術(shù)創(chuàng)新發(fā)展過程中不可阻擋的潮流。本文共分為四章,第一章首先對專利許可債權(quán)證券化的上位概念資產(chǎn)證券化的基礎(chǔ)理論進(jìn)行詮釋,然后列舉了專利資產(chǎn)的種類,接著分析了專利許可債權(quán)這一基礎(chǔ)資產(chǎn)的法律性質(zhì),得出專利許可債權(quán)證券化的涵義。在專利許可債權(quán)證券化的相關(guān)概念解釋清楚后,對其產(chǎn)生和發(fā)展的動因,即市場對它的需求以及它的優(yōu)越性進(jìn)行說明。第二章主要是對包括專利許可債權(quán)證券化在內(nèi)的資產(chǎn)證券化的共性法律問題以及專利許可債權(quán)證券化過程中特有的法律問題進(jìn)行分析,從基礎(chǔ)資產(chǎn)的轉(zhuǎn)讓、特殊目的載體(SPV)的設(shè)立來分析資產(chǎn)證券化過程中必備的風(fēng)險隔離機(jī)制,最后說明風(fēng)險隔離機(jī)制并不是萬無一失的,與發(fā)起人及SPV之間的風(fēng)險隔離目的有可能落空。第三章對專利許可債權(quán)證券化過程中存在的除發(fā)起人和SPV破產(chǎn)風(fēng)險之外的其他風(fēng)險進(jìn)行了歸納整理,并提出化解風(fēng)險的對策。第四章首先分析我國進(jìn)行專利許可債權(quán)證券化的可行性,得出可行性的結(jié)論后,對我國的法律環(huán)境進(jìn)行評述,構(gòu)建出目前最適宜我國運(yùn)行的專利許可債權(quán)證券化模式。專利許可債權(quán)證券化是金融創(chuàng)新的產(chǎn)物,具有高度的衍生性,在提高債權(quán)資產(chǎn)流動性的同時也蘊(yùn)含著相當(dāng)大的風(fēng)險,需要監(jiān)管機(jī)關(guān)予以高度重視。在分析了專利許可債權(quán)證券化的核心法律問題之后,如何通過完善立法實(shí)現(xiàn)證券化過程的法制化是本文探討的重點(diǎn)。在資產(chǎn)證券化的未來發(fā)展中,我們需要根據(jù)自身的法律環(huán)境,有針對性地對我國法律中存在的障礙進(jìn)行破除,對立法缺失進(jìn)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.
【學(xué)位授予單位】：青海民族大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2015
【分類號】：D912.28

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