创业板上市企业专利信息披露问题探究
发布时间：2018-11-06 15:44
【摘要】：专利,作为高新技术企业最重要的无形资产,历来受到企业自身和投资者的密切关注,而信息披露制度是维护证券市场公平交易,推动科技不断创新的重要保障,由此可知,规范且有效的专利信息披露制度,不仅能够形成保护广大投资者切身利益的强大盾牌,更可以成为催生创业板市场源源不断产生新的能量的有力武器。然而,自从创业板初创期发生了耸人听闻的“专利门”事件后,相关学者、财经新闻媒体和证券分析师做了广泛的讨论和深入的研究,并提出了一些建设性意见,一系列新的法律问题更是逐渐进入人们的视野。本文正是在此背景之下,立足于我国关于专利信息披露制度的相关法律规定,透过创业板上市企业专利信息违规披露现象,结合近年来一些典型案例,并参阅了其它发达国家近几年专利信息披露制度方面的研究成果,来展开论述。本文结构包括引言和正文两大部分,其中正文分为三章,具体安排如下： 第一章是对创业板上市企业及其信息披露发展状况的介绍,包括我国创业板和创业板上市企业的基本概况、创业板上市企业信息披露的主要特征及与之有关的国内外立法情况。 第二章甄选了创业板上市企业过去三年中在专利信息披露过程中发生的违规案例,并分析了其成因。笔者主要枚举了包括苏州恒久、上海大亚在内的典型案例,揭露了创业板上市企业专利信息披露过程中存在的主要问题,在此基础上分析了造成创业板上市企业违规披露专利信息的原因。经过分析,得出创业板上市企业专利信息披露中存在的主要问题有知识产权的出资问题、申请专利权利的不确定性问题、专利项目的质量问题和知识产权维权诉讼问题等。而造成创业板上市企业违规披露专利信息的原因主要包括上市企业自律性较差、专利技术标准复杂、法律法规缺漏、违规成本偏低和市场监管不利等。 第三章在前述两章的基础上提出了创业板上市企业专利信息披露改革与完善的措施。这些措施主要包括：一、建立有效的内部组织机构,制定严密的知识产权保护策略；二、公平效益和质量至上相结合,真实准确地披露专利信息；三、注重专利管理,诚信披露信息；四、发挥制度引导优势,完善法律规范措施。
[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.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D923.42;D922.287;D922.291.91
本文编号：2314716
[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.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D923.42;D922.287;D922.291.91
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