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论文编号：	6112
作者编号：	2220110888
上传时间：	2014/5/27 15:45:01
中文题目：	并购中的知识产权法律风险控制研究
英文题目：	Research on Intellectual Property Law Risk Control
指导老师：	李莉
中文关键字：	并购；知识产权；法律风险；控制措施。
英文关键字：	Keyword: Merger; intellectual property; law risk; control measures.
中文摘要：	摘 要 消除过剩产能要依赖并购，克服产业零散，让产业越来越集中，中国打造世界级的企业，也需要并购扩张市场。并购是社会主义市场经济发展过程中配置资源、优化资源最好的手段和工具之一。随着人类社会从农业化时代向工业化时代、从初级的工业化时代向大工业化时代转变、特别是信息化时代到来的今天，智慧资本、标准之争最终的载体都是知识产权，如商标代表后面产品与市场的号召力、专利代表后面的技术号召力、著作权代表后面文化的号召力，企业并购往往因为欲图对方的市场而收购对方的商标、欲图对方的技术而收购对方的专利和专有技术等等。正是因为知识产权和知识产权法律风险、并购中知识产权法律风险控制的系统性、复杂性、多样性等特点，在较短的时间和篇幅内全部涵盖各个分支和子概念等，就很难以论述。因此本着范围限定原则。本论文限定于并购中知识产权法律风险控制范畴。知识产权法律风险限定在商标法律风险、专利法律风险、著作权中最重要的计算机软件著作权法律风险。并购中商标法律风险表现形式、专利法律风险表现形式、计算机软件著作权法律风险表现形式以及对上述三种法律风险的控制措施。 可操作性原则。对并购中商标法律风险表现形式、专利法律风险表现形式、计算机软件著作权法律风险表现形式充分的、系统性地总结归纳基础上，阐述如何有效地对并购中上述三种法律风险进行良好控制，以期望达到并购损失最小化、收益最大化的战略目标。刚性原则。我国实施成文法不允许法官通过案例创设法律，企业在宏观、中观行业产业、微观交易对手并购法律环境中，只能遵守既定法律法规部门规 I 章以及最高法院的司法解释，超过范围、规避法律风险，有时适得其反，甚至导致违法犯罪，因此只能遵守国家法律法规。通过对相关法律法规以及并购中的商标法律风险表现形式、专利法律风险表现形式、计算机软件著作权法律风险表现形式规范性的总结归纳，让并购交易双方在合法合规的框架内安排交易结构以及控制上述三种法律风险。研究并购中知识产权法律风险相关理论、并购中知识产权法律风险分析、并购中的知识产权法律风险控制方案构建、并购中的知识产权法律风险控制措施，特别是对并购中最重要的商标法律风险控制措施、专利法律风险控制措施、计算机软件著作权法律风险控制措施的研究，具有实用性、迫切性，越来越具有理论与现实意义。 本论文将为并购中涉及商标法律风险控制措施、专利法律风险控制措施、计算机软件著作权法律风险控制措施提供规律性的、可操作性的理论与实践参考。 关键词：并购；知识产权；法律风险；控制措施。
英文摘要：	Abstract In order to eliminate overcapacity, it is required to depend on merger, and conquer scattered industry, so as to make industry become more centralized, meanwhile, in order to forge enterprises on world level, China also needs to merge to expand market, therefore merger is one of the best means and tools for resource configuration and optimization during socialist market economy development. With human’s society transforming from agricultural to industrial age, from primary industrial age to large-scaled industrial age, especially, nowadays, with the arrival of information age, the final carrier for intelligence capital and standard competition is intellectual property, i.e. trademark represents calling power of products and market behind it, patent represents technology calling power behind it, while copyright represents culture calling power behind it, so enterprise merger always tends to purchase the other’s trademark, when aiming to merge the other’s market, while purchase the other’s patent and exclusive technology, when aiming to the other’s technology etc. Because of intellectual property and law risks of intellectual property, as well as systematic, complex and diversified characteristics in intellectual property law risks control during merger, it is very difficult to cover all branches and sub-concepts etc. in a limited time and space. So based on the scope definition principle, this thesis is limited to intellectual property law risks control. However, intellectual property law risks is limited to computer software copyright law risk, which enjoys the most importance among I trademark law risk, patent law risk and copyright law risk, as well as trademark law risk presence forms, patent law risk forms, computer software copyright law risk presence forms and control measures on the above three law risks during merger. Operational principle. It discusses how to carry out sound control on the above three law risks during merger in an effective manner based on sufficient and systematic summarization on trademark law risk presence forms, patent law risk forms and computer software copyright law risk presence forms, expecting to achieve the strategic goal of minimizing loss and maximizing benefits of merger. Rigidity principle. It has been an written law in China that no judge is allowed to establish laws via any case, and enterprises could only comply with existing rules from laws and regulations departments as well as judicial explanation from the highest court, under circumstances of micro and medium industries, as well as micro deal opponent merger laws, and law risks caused by exceeding the scope have to be avoided, sometimes this may have an exactly opposite effect, or even cause illegal crime, so it is required to abide by national laws and regulations. Via normative summarization on related laws and regulations as well as trademark law risk presence forms, patent law risk forms and computer software copyright law risk presence forms during merger, both parties of merger shall arrange deal structure inside a legal frame and control the above three law risks. Therefore, research on theories related to intellectual property law risk during merger, analysis on intellectual property law risk during merger, establishment of control plan on intellectual property law risk during merger, control measures on intellectual property law risk, especially control measures on trademark law risk of the greatest importance during merger, control measures on patent law risk, and II research on control measures on computer software copyright law risk, have become more practical and urgent, with more theoretic and realistic significance. This thesis will provide regular and operational reference based on theory and practice for control measures on trademark law risk, control measures on patent law risk and control measures on computer software copyright law risk involved in merger. Keyword: Merger; intellectual property; law risk; control measures.
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