【摘要】：信托、銀行、保險(xiǎn)和證券，并稱為現(xiàn)代金融行業(yè)的四大支柱。專利作為知識(shí)產(chǎn)權(quán)的重要組成部分，是知識(shí)經(jīng)濟(jì)時(shí)代國(guó)家發(fā)展的戰(zhàn)略性資源和國(guó)際競(jìng)爭(zhēng)力較量的核心要素。而專利信托作為一種在專利轉(zhuǎn)化領(lǐng)域創(chuàng)新運(yùn)用的新興投融資工具，一方面順應(yīng)了社會(huì)經(jīng)濟(jì)的發(fā)展，使專利所具備的無(wú)限價(jià)值潛力和信托的杠桿優(yōu)勢(shì)強(qiáng)強(qiáng)聯(lián)合，充分體現(xiàn)了物盡其用；另一方面由于專利信托的新興性而無(wú)可避免的存在諸多風(fēng)險(xiǎn)。專利信托蓬勃發(fā)展的可能性在一定程度上取決于風(fēng)險(xiǎn)的控制防范。而通過(guò)法律制度的完善對(duì)風(fēng)險(xiǎn)加以控制和化解，是縮小風(fēng)險(xiǎn)范圍，，減少風(fēng)險(xiǎn)損失，阻止風(fēng)險(xiǎn)擴(kuò)散最有效的手段之一。 本文在介紹專利信托、專利信托風(fēng)險(xiǎn)和我國(guó)專利信托法律制度的現(xiàn)狀的基礎(chǔ)上，分析了專利信托風(fēng)險(xiǎn)與法律控制的內(nèi)在聯(lián)系以及專利信托風(fēng)險(xiǎn)法律控制的意義。著重探討了專利信托的主要風(fēng)險(xiǎn)，包括利潤(rùn)風(fēng)險(xiǎn)、信用風(fēng)險(xiǎn)以及操作風(fēng)險(xiǎn)三個(gè)方面。專利侵權(quán)訴訟及無(wú)效對(duì)于成本的增加，不可預(yù)料的技術(shù)進(jìn)步對(duì)于專利價(jià)值的降低以及專利權(quán)在流動(dòng)性上的缺陷是利潤(rùn)風(fēng)險(xiǎn)的主要原因；業(yè)界環(huán)境和監(jiān)管混亂導(dǎo)致專利信托信用風(fēng)險(xiǎn)加大；信托公司缺乏完善的內(nèi)部控制制度以及專利信托缺乏相應(yīng)對(duì)口的人力資本則不可避免的造成了專利信托操作風(fēng)險(xiǎn)。但是我國(guó)已初步具備專利信托法律風(fēng)險(xiǎn)控制的基本制度和實(shí)踐參考，也就意味著對(duì)于專利信托風(fēng)險(xiǎn)法律控制的討論有了可行性和現(xiàn)實(shí)意義，從而提出了完善專利信托風(fēng)險(xiǎn)法律控制的具體措施。專利信托設(shè)立階段風(fēng)險(xiǎn)控制法律措施的完善主要包括專利價(jià)值評(píng)估環(huán)節(jié)的建立，專利信托登記公示制度的細(xì)化，健全相關(guān)信息的披露制度；運(yùn)行階段風(fēng)險(xiǎn)控制法律措施的完善主要包括政府監(jiān)管模式的改革，建立健全信托公司風(fēng)險(xiǎn)內(nèi)控機(jī)制以及信托從業(yè)人員管理辦法。
[Abstract]:Trust, banking, insurance and securities, and known as the four pillars of the modern financial industry. Patent, as an important part of intellectual property rights, is the core element of strategic resources and international competitiveness in the era of knowledge economy. Patent trust, as a new investment and financing tool in the field of patent transformation, conforms to the development of social economy on the one hand, and makes the potential of unlimited value of patent and the leverage advantage of trust strong and strong combination, on the one hand, the patent trust has the unlimited value potential and the leverage advantage of the trust. Fully reflect the full use of things; On the other hand, there are many risks which can not be avoided because of the new nature of patent trust. The possibility of patent trust booming depends to a certain extent on risk control and prevention. It is one of the most effective means to reduce the scope of risk, reduce the loss of risk and prevent the spread of risk through the perfection of the legal system to control and resolve the risk. Based on the introduction of patent trust, patent trust risk and the legal system of patent trust in China, this paper analyzes the internal relationship between patent trust risk and legal control and the significance of legal control of patent trust risk. This paper mainly discusses the main risks of patent trust, including profit risk, credit risk and operation risk. The main reasons of profit risk are the increase of patent infringement litigation and invalidity, the decrease of patent value due to unpredictable technological progress, and the limitation of patent right liquidity. The credit risk of patent trust is increased due to the confusion of environment and supervision in the industry, and the operation risk of patent trust is inevitably caused by the lack of perfect internal control system of trust company and the lack of corresponding human capital of patent trust. But our country already has the basic system and the practice reference of the patent trust legal risk control initially, which means that the discussion of the patent trust risk legal control has the feasibility and the practical significance. Thus it puts forward specific measures to perfect the legal control of patent trust risk. The perfection of the legal measures of risk control in the stage of patent trust establishment mainly includes the establishment of patent value evaluation link, the refinement of patent trust registration publicity system, and the improvement of relevant information disclosure system. The perfection of the legal measures of risk control in the operation stage mainly includes the reform of the government supervision mode, the establishment and perfection of the internal risk control mechanism of the trust company and the management method of the trust personnel.
【學(xué)位授予單位】：新疆大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.282;D923.42

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