【摘要】：專利,作為高新技術(shù)企業(yè)最重要的無形資產(chǎn),歷來受到企業(yè)自身和投資者的密切關(guān)注,而信息披露制度是維護(hù)證券市場公平交易,推動(dòng)科技不斷創(chuàng)新的重要保障,由此可知,規(guī)范且有效的專利信息披露制度,不僅能夠形成保護(hù)廣大投資者切身利益的強(qiáng)大盾牌,更可以成為催生創(chuàng)業(yè)板市場源源不斷產(chǎn)生新的能量的有力武器。然而,自從創(chuàng)業(yè)板初創(chuàng)期發(fā)生了聳人聽聞的“專利門”事件后,相關(guān)學(xué)者、財(cái)經(jīng)新聞媒體和證券分析師做了廣泛的討論和深入的研究,并提出了一些建設(shè)性意見,一系列新的法律問題更是逐漸進(jìn)入人們的視野。本文正是在此背景之下,立足于我國關(guān)于專利信息披露制度的相關(guān)法律規(guī)定,透過創(chuàng)業(yè)板上市企業(yè)專利信息違規(guī)披露現(xiàn)象,結(jié)合近年來一些典型案例,并參閱了其它發(fā)達(dá)國家近幾年專利信息披露制度方面的研究成果,來展開論述。本文結(jié)構(gòu)包括引言和正文兩大部分,其中正文分為三章,具體安排如下： 第一章是對(duì)創(chuàng)業(yè)板上市企業(yè)及其信息披露發(fā)展?fàn)顩r的介紹,包括我國創(chuàng)業(yè)板和創(chuàng)業(yè)板上市企業(yè)的基本概況、創(chuàng)業(yè)板上市企業(yè)信息披露的主要特征及與之有關(guān)的國內(nèi)外立法情況。 第二章甄選了創(chuàng)業(yè)板上市企業(yè)過去三年中在專利信息披露過程中發(fā)生的違規(guī)案例,并分析了其成因。筆者主要枚舉了包括蘇州恒久、上海大亞在內(nèi)的典型案例,揭露了創(chuàng)業(yè)板上市企業(yè)專利信息披露過程中存在的主要問題,在此基礎(chǔ)上分析了造成創(chuàng)業(yè)板上市企業(yè)違規(guī)披露專利信息的原因。經(jīng)過分析,得出創(chuàng)業(yè)板上市企業(yè)專利信息披露中存在的主要問題有知識(shí)產(chǎn)權(quán)的出資問題、申請(qǐng)專利權(quán)利的不確定性問題、專利項(xiàng)目的質(zhì)量問題和知識(shí)產(chǎn)權(quán)維權(quán)訴訟問題等。而造成創(chuàng)業(yè)板上市企業(yè)違規(guī)披露專利信息的原因主要包括上市企業(yè)自律性較差、專利技術(shù)標(biāo)準(zhǔn)復(fù)雜、法律法規(guī)缺漏、違規(guī)成本偏低和市場監(jiān)管不利等。 第三章在前述兩章的基礎(chǔ)上提出了創(chuàng)業(yè)板上市企業(yè)專利信息披露改革與完善的措施。這些措施主要包括：一、建立有效的內(nèi)部組織機(jī)構(gòu),制定嚴(yán)密的知識(shí)產(chǎn)權(quán)保護(hù)策略；二、公平效益和質(zhì)量至上相結(jié)合,真實(shí)準(zhǔn)確地披露專利信息；三、注重專利管理,誠信披露信息；四、發(fā)揮制度引導(dǎo)優(yōu)勢,完善法律規(guī)范措施。
[Abstract]:Patents, as the most important intangible assets of high-tech enterprises, have always received close attention from the enterprises themselves and investors, and the information disclosure system is an important guarantee for maintaining fair transactions in the securities market and promoting continuous innovation in science and technology. A standardized and effective patent information disclosure system can not only form a powerful shield to protect the vital interests of investors, but also become a powerful weapon to generate new energy from the gem market. However, since the sensational "patent door" incident occurred in the initial period of the gem, relevant scholars, financial and news media and securities analysts have made extensive discussions and in-depth studies, and have put forward some constructive suggestions. A series of new legal problems are gradually entering people's vision. Under this background, based on the relevant laws and regulations of patent information disclosure system in our country, through the phenomenon of illegal disclosure of patent information of listed enterprises on the gem, combined with some typical cases in recent years, It also discusses the research results of patent information disclosure system in other developed countries in recent years. The structure of this paper includes two parts: introduction and text, in which the text is divided into three chapters, the specific arrangements are as follows: the first chapter is an introduction to the development of gem listed enterprises and their information disclosure. It includes the basic situation of the gem and gem listed enterprises, the main characteristics of the information disclosure of the gem listed enterprises and the related legislation at home and abroad. The second chapter selects the cases of violation in the process of patent information disclosure of gem listed enterprises in the past three years, and analyzes its causes. The author mainly enumerates the typical cases, including Suzhou Everlasting and Shanghai Daya, and exposes the main problems in the process of patent information disclosure of gem listed enterprises. On this basis, this paper analyzes the reasons for the illegal disclosure of patent information by gem listed enterprises. After analysis, the main problems in the disclosure of patent information of gem listed enterprises are the investment of intellectual property, the uncertainty of applying for patent rights, the quality of patent items and the litigation of intellectual property rights. The main reasons for the illegal disclosure of patent information in gem listed enterprises include poor self-discipline, complex patent technical standards, lack of laws and regulations, low cost of violation and unfavorable market supervision and so on. The third chapter puts forward the measures to reform and perfect the patent information disclosure of gem listed enterprises on the basis of the above two chapters. These measures mainly include: 1) establishing effective internal organization and formulating strict strategy of intellectual property protection; 2) combining fairness, benefit and quality first to disclose patent information truthfully and accurately; Third, pay attention to patent management, disclosure of information in good faith; fourth, give play to the advantages of institutional guidance, improve legal and normative measures.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D923.42;D922.287;D922.291.91

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