我国专利证券化的法律风险及对策研究.pdfVIP

摘 要 专利证券化作为资产证券化在知识领域的延伸，已经显示出巨大的发展潜 力，其不但有利于专利产业化而且还可以有效为企业进行低成本融资。但是不可 否认的是现阶段不论是国内还是国外真正进行的专利证券化很少，究其原因，不 难发现专利估值难度大、缺乏高价值的专利池、风险太高、法律滞后等因素成为 横在专利证券化面前的一座座大山。本文通过对国内外相关案例的研究，对专利 证券化过程中可能出现的法律问题进行分析，并借鉴国外经验提出适合我国的对 策。 首先，本文分析了专利证券化的整个流程，指出了专利证券化和资产证券化 的相似和区别之处。通过分析不难发现，专利证券化风险的集中点在专利产品本 身的选择。其次，本文按照专利证券化开展的顺序对涉及专利本身的风险进行逐 一梳理，其中包括专利池构建中可能出现的垄断风险、专利权瑕疵风险、专利权 权属风险、专利权侵权风险以及因此导致的涉诉风险。最后，作者结合国内外相 关经验依次对上述的风险提出了应对策略，其中包括应对垄断风险的美国ULR 合同融资模式以及在资产证券化中常见的“二次授权”模式这两种模式上的借鉴， 并且提出借鉴知识产权证券化中的专利候补制度来应对专利瑕疵风险。侵权风险 应对中建议引入美国的ULR合同豁免条款和日本的专利授权金保险制度，最后以 仲裁为例来介绍应对涉诉的风险。文章的总结展望部分，在充分肯定制度建设对 风险防御的重要作用的同时还要认识到它们的不足之处，并对弥补制度缺陷的法 律构建提出了自己的看法。 【关键词】专利证券化 专利池选择 涉诉风险 I Abstract As an extension of asset securitization in the field of knowledge, patent securitization has shown great development potential,which is not only conducive to patent industrialization but also can effectively provide enterprises with low-cost financing.However, it isundeniable that there are few patent securitizations in China or abroad at the present stage, and it is not difficult to find that the factors such as difficulty in patent valuation, lack of high-value patent pool, high risk and law lag have become mountains in front of patent securitization. Through the study of domestic and foreign cases, this paper analyzes the possible legal analysis in the process of patent securitization, and puts forward the countermeasures suitable for Chinabasedon foreign experience. Firstly, this paper analyzes the whole process of patent securitization and points out the similarities and differences between patent securitization and asset securitization. It is not difficult to find that the concentration of risk of patent securitization lies in the choice ofpatent products. Secondly,thispaper sorted out the risks related to the patent itself one by one acc