【摘要】：人類社會(huì)的發(fā)展經(jīng)歷了從農(nóng)業(yè)社會(huì)、工業(yè)社會(huì)到知識(shí)經(jīng)濟(jì)時(shí)代的過程，美國的知識(shí)產(chǎn)權(quán)貿(mào)易額占全國GDP的70%以上，越是發(fā)達(dá)的國家越是重視知識(shí)產(chǎn)權(quán)的發(fā)展。世界已經(jīng)進(jìn)入信息時(shí)代，知識(shí)產(chǎn)權(quán)作為我們這個(gè)時(shí)代重要資源，在我們的社會(huì)和經(jīng)濟(jì)生活中發(fā)揮著舉足輕重的作用。 資產(chǎn)證券化作為一種融資方式，自20世紀(jì)70年代以來在美國得到迅速的發(fā)展，1在歐洲和亞洲國家也日益得到廣泛的應(yīng)用。隨著知識(shí)產(chǎn)權(quán)這個(gè)生產(chǎn)因素在社會(huì)發(fā)展和商業(yè)生活中得到日益廣泛的重視，以及資產(chǎn)證券化的融資方式在經(jīng)濟(jì)發(fā)展中的長足運(yùn)用，兩股具有生命力的生產(chǎn)要素和融資方式在經(jīng)濟(jì)的發(fā)展下得到創(chuàng)新的融合——知識(shí)產(chǎn)權(quán)證券化。知識(shí)產(chǎn)權(quán)證券化既發(fā)揮了知識(shí)產(chǎn)權(quán)的經(jīng)濟(jì)價(jià)值，為廣大中小高新技術(shù)企業(yè)的融資解決了資金難題，更有利于鼓勵(lì)知識(shí)產(chǎn)權(quán)在社會(huì)的發(fā)展和資本化；對(duì)于資本市場(chǎng)來說，也注入了知識(shí)產(chǎn)權(quán)的新鮮血液。雖然知識(shí)產(chǎn)權(quán)證券的歷史還很短，在操作的過程中仍面臨著一些難題，但是自誕生之后，其交易總量還是增長了近100倍。 目前我國對(duì)知識(shí)產(chǎn)權(quán)證券化的研究的專著較少，理論也比較基礎(chǔ)，缺乏系統(tǒng)、深入的探討。知識(shí)產(chǎn)權(quán)證券化是資產(chǎn)證券化的一種，因此資產(chǎn)證券化的基本原理和核心方法也同樣適用于知識(shí)產(chǎn)權(quán)證券化。鑒于時(shí)間和水平有限，筆者僅就知識(shí)產(chǎn)權(quán)證券化中最重要的若干問題進(jìn)行研究，希望通過對(duì)知識(shí)產(chǎn)權(quán)證券化中若干問題客觀、具體的闡述，讓讀者了解知識(shí)產(chǎn)權(quán)證券化的障礙、優(yōu)勢(shì)和如何解決的方法。在文章結(jié)構(gòu)方面，本文第一章介紹了知識(shí)產(chǎn)權(quán)證券化的基本法理和內(nèi)涵并引入后面幾章要闡述的問題，包括知產(chǎn)權(quán)證券化的內(nèi)涵、特征、作用、主要參與人、法律關(guān)系、操作步驟和重要的法律問題；第二章主要闡述了知產(chǎn)權(quán)證券化中的信用增級(jí)和信用擔(dān)保問題，包括其內(nèi)容、方法和效果；第三章闡述了知識(shí)產(chǎn)權(quán)證券化中真實(shí)銷售的問題，，包括其內(nèi)涵、操作中的法律標(biāo)準(zhǔn)和操作后的權(quán)利標(biāo)準(zhǔn)；第四章討論了特殊目的機(jī)構(gòu)（SPV）的法律問題，包括SPV的設(shè)立、運(yùn)營和實(shí)體合并等法律問題；第五章通過借鑒前面闡述的各國經(jīng)驗(yàn)對(duì)我國發(fā)展知識(shí)產(chǎn)權(quán)證券化事業(yè)提出了自己的建議。
[Abstract]:The development of human society has experienced the process from agricultural society, industrial society to the era of knowledge economy. The amount of intellectual property trade in the United States accounts for more than 70% of the national GDP. The more developed countries pay more attention to the development of intellectual property rights. The world has entered the information age, as an important resource of our times, intellectual property plays an important role in our social and economic life. As a kind of financing method, asset securitization has been developed rapidly in the United States since 1970s, and has been widely used in European and Asian countries. With the increasing importance of intellectual property as a productive factor in social development and commercial life, and the considerable application of asset securitization in economic development, Intellectual property securitization is an innovative fusion of two vital factors of production and financing under the development of economy. The securitization of intellectual property has not only brought into play the economic value of intellectual property rights, but also solved the capital problems for the financing of the majority of small and medium-sized high-tech enterprises. For capital markets, there is also a fresh injection of intellectual property. Although the history of intellectual property securities is still very short, there are still some difficulties in the process of operation, but since its birth, its trading volume has increased nearly 100 times. At present, there are few monographs on the securitization of intellectual property rights in our country, the theory is also relatively basic, lack of systematic, in-depth discussion. Intellectual property securitization is a kind of asset securitization, so the basic principle and core method of asset securitization are also applicable to intellectual property securitization. In view of the limited time and level, the author only studies some of the most important issues in intellectual property securitization, and hopes to make readers understand the obstacles of intellectual property securitization by objectively and concretely expounding some problems in the process of intellectual property securitization. Advantages and solutions. In terms of the structure of the article, the first chapter of this paper introduces the basic legal principles and connotation of intellectual property securitization and introduces the issues to be elaborated in the following chapters, including knowing the connotation, characteristics, role, main participants and legal relations of property rights securitization. Operational steps and important legal issues; The second chapter mainly expounds the problems of credit enhancement and credit guarantee in the securitization of intellectual property rights, including its contents, methods and effects. The third chapter expounds the real sale of intellectual property securitization, including its connotation, the legal standard in operation and the right standard after operation; The fourth chapter discusses the legal issues of the special purpose organization (SPV), including the establishment of SPV, the operation and the merger of entities, etc. The fifth chapter puts forward some suggestions for the development of intellectual property securitization in China by drawing lessons from the experiences of other countries.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F204;F831.5;D922.28

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