科技型中小企业知识产权质押融资的文献综述
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摘要
知识产权质押融资模式为科技型中小企业提供了一种新的融资方式,能够有效地缓解科技型企业有形担保资产少、融资难的矛盾。现有学者对于科技型中小企业知识产权质押融资的研究主要包括知识产权质押融资的模式研究、知识产权质押融资的风险分析、知识产权质押融资的价值评估这三个方面,基于此,本文主要围绕这三个方面对相关文献进行梳理和总结,以期对未来的研究提供平台支持。
Intellectual property pledge provides a new way of financing for High-tech Small and Medium Enterprises and it can effectively alleviate the contradiction for High-tech SMEs due to the lack of tangible encumbered assets. About the topic of "High-tech Small and Medium Enterprises' Financing through Intellectual Property Pledge", the existing researches are mainly focused on the three areas: financing models, risks analysis and value assessment. Thus, this paper mainly collates and summarizes the relevant literatures on those three areas, with the purpose to provide a platform for future research.
Intellectual property pledge provides a new way of financing for High-tech Small and Medium Enterprises and it can effectively alleviate the contradiction for High-tech SMEs due to the lack of tangible encumbered assets. About the topic of "High-tech Small and Medium Enterprises' Financing through Intellectual Property Pledge", the existing researches are mainly focused on the three areas: financing models, risks analysis and value assessment. Thus, this paper mainly collates and summarizes the relevant literatures on those three areas, with the purpose to provide a platform for future research.
引文
[1]周丽.我国知识产权质押融资典型模式之比较分析-基于法律社会学的分析视野.电子知识产权.2009(11)33-38
[2]李希义、蒋琇.政府支持下的知识产权质押融资模式及其特征分析.科技与法律.2009(5)8-12
[3]左玉茹.知识产权质押融资热的冷思考---基于我国中小企业融资模式与美国SBA模式比较研究.电子知识产权.2010(11)48-49
[4]白少布.知识产权质押担保供应链融资运作模式研究.经济问题探索.2010(7)35-37
[5]连杰.我国知识产权分级质押融资运作模式研究.现代商业.2009(2)34-35
[6]马亚红.中小企业知识产权质押融资运行模式研究.河北.河北农业大学.2010.19-37
[7]范芳妮.科技型企业知识产权质押融资模式研究.天津.天津财经大学.2011
[8]章洁倩.我国知识产权质押融资模式多元化的思考.武汉金融.2011(4)40-42
[9]李建英、欧阳琦.知识产权质押贷款走向市场化的路径研究.河北经贸大学学报.2012(02)66-70
[10]Allen N.Berger,Gregory F.Udell,The economics of small business finance:The role of private equity and debt markets in the financial growth cycle,Journal of Banking&Finance 22(1998)613-673
[11]李杨、杨思群.中小企业融资与银行.上海.上海财经大学出版社.2001
[12]杨俊龙.中小企业融资难的原因及对策.经济问题.2003(12)28-29
[13]杨军.中小企业融资制度结构研究.武汉科技大学学报.2003(03)10-15
[14]高正平.中小企业融资新论.北京.中国金融出版社.2004
[15]胡乃武、罗丹阳.对中小企业融资约束的重新解释.经济与管理研究.2006.10
[16]陈敏菊.中小企业融资缺口分析.经济理论与经济管理.2009(11)76-80
[17]宋伟、胡海洋.知识产权质押贷款风险分散机制研究.知识产权.2009(04)73-77
[18]刘姝婕.知识产权质押融资风险的实证考察及其对策研究.广西桂林.广西师范大学.2010
[19]韩钢、李随成.高科技中小企业专利质押业务的信贷合约设计.科技进步与对策.2012(6)79-81
[20]陈莹、宋跃晋.知识产权质押融资的风险控制.金融与经济.2012(07)7-15
[21]田洪媛.知识产权质押融资问题研究.山东泰安.山东农业大学.2013
[22]张欢、温振华.知识产权质押融资风险评价体系研究.华北金融.2013(5)29-32
[23]章洁倩.科技型中小企业知识产权质押融资风险管理.科学管理研究.2013(2)98-101
[24]Peek,Joe;Rosengren,Eric S.Bank Lending and the Transmission of Monetary Policy.Journal of Banking&Finance.Jun1995,Vol.19 Issue 3/4.679-692
[25]Gertler,Mark;Gilchrist,Simon.Monetary policy,business cycles,and the behavior of small manufacturing firms,Quarterly Journal of Economics.May1994,Vol.109 Issue 2.309-340
[26]Kashyap,Anil K;Stein,Jeremy C.What Do a Million Banks Have to Say About the Transmission of Monetary Policy?National Bureau of Economic Research,Inc,NBER Working Papers,1997.60-56
[27]Berger,Allen N.;Kyle,Margaret K.;Scalise,Joseph M.Did U.S.Bank Supervisors Get Tougher during the Credit Crunch?Did They Get Easier during the Banking Boom?Did It Matter to Bank Lending?Prudential supervision:What works and what doesn't.2001.301-349
[28]曹凤岐.建立和健全中小企业信用担保体系.金融研究.2001(5)41-48
[29]殷孟波,贺国生.银行为什么愿意向大企业贷款.经济学家.2003(4)85-90
[30]威廉·配第.爱尔兰的政治解剖.落基山.商务印书馆.1964:80
[31]Gordon V.Smith;Russell L.Parr.Valuation of Intellectual property and Intangible Assets:cumulative supplement.John Wiley&Sons.2001
[32]Mark Berkman,"Valuing Intellectual Property Assets for Licensing Transactions",Licensing Journal.2002(04)6-22
[33]Alexander I.Poltorak;Paul J.Lerner.Essentials of Licensing Intellectual Property.John Wiley&Sons.2004
[34]Michael D.McC oy,Sandra L.Drews."Intellectual Property Valuation".The Secured Lender.2005(05)7-9
[35]S.K.Pal;S.Prakash;A.Madhukar;S.P.Mehrotra."Evaluation of intellectual property asset value",International Journal of Intellectual Property Management.2007(03)174-183
[36]Yu-Jing Chiu;Yuh-Wen Chen."Using Ahp In Patent Valuation.Mathematical and Computer Modeling"(2007)1054-1062
[37]Sohn SY,Kim HS,"Moon TH.Predicting the financial performance index of technology fund for SEM using structural equation model“,Expert Systmes With Application.2007(03)890-898
[38]董晓峰、李小英.对我国知识产权评估方法的调查分析.经济问题探索.2005(05)114-129
[39]范晓波.论知识产权价值评估.理论探索.2006(05)74-77
[40]张涛、杨晨.基于实物期权的知识产权价值评价体系研究.科学管理研究.2007(02)92-102
[41]戴晓凤、李检华.高科技上市公司内在价值评估:基于连续型实物期权模型的实证研究.财经理论与实践.2009(01)41-45
[42]Hou J.L.;lin H.YA.Multiple Regression Model for Patent Appraisal Searching for Factors Influencing Tw:hnological Asset Value.Industrial Management&Data System.2006.106(9)1304-1332
[43]Sheng-hsing Chen.The Collateral-Based Financing of Intellectual Property Right:A Study on Bank's Valuation System.Master's Thesis of National Taiwan University of Science and Technology.2008:27-120
[44]Holger Ernst,Sebastian Legler,Ulrich Lichtenthaler.Determinants of patent value:Insights from a simulation analysis.Technological Forecasting&Social Change.2010(77)1-19
[45]Yu S E S;Huamg K H;Li M Y L;et al.A novel option pricing model via fuzzy binomial decision tree.International Journal of Innovative Computing Information and Control,2011.7(2)709-718
[46]van Zeebroeck N.The puzzle of patent value indicators.Economics of Innovation and New Technology.2011.20(1)33-62
[47]Hsieh C H.Patent value assessment and commercialization strategy.Technological Forecasting and Social Change,2012(11)37-39
[48]Baron J;Delcamp H.Patcnt quality and value in discrete and cumulative innovation.Scientometrics.2012.90(2)581-606
[49]Fischer T;Leidinger J.Testing patent value indicators on directly observed patent value~An empirical analysis of Ocean Tomo patent auctions.Research Policy.2014.43(3)519-529
[50]万小丽、朱雪忠.专利价值的评估指标体系及模糊综合评价.科研管理.2008.29(2)185-191
[51]张彦巧、张文德.企业专利价值量化评估模型实证研究.情报杂志.2010(2)51-54
[52]靳晓东.专利资产证券化中专利价值的影响因素分析.商业时代.2011(24)66
[53]冯丽艳.专利价值评估中技术分成率的确定方法.工作研究.2011(03)46-47
[54]郑素丽、宋明顺.专利价值由何决定?科学学研究.2012(9)1316-1323
[55]邬智君.实物期权法在飞机经营租赁决策中的应用研究.北京.中央民族大学.2013
[2]李希义、蒋琇.政府支持下的知识产权质押融资模式及其特征分析.科技与法律.2009(5)8-12
[3]左玉茹.知识产权质押融资热的冷思考---基于我国中小企业融资模式与美国SBA模式比较研究.电子知识产权.2010(11)48-49
[4]白少布.知识产权质押担保供应链融资运作模式研究.经济问题探索.2010(7)35-37
[5]连杰.我国知识产权分级质押融资运作模式研究.现代商业.2009(2)34-35
[6]马亚红.中小企业知识产权质押融资运行模式研究.河北.河北农业大学.2010.19-37
[7]范芳妮.科技型企业知识产权质押融资模式研究.天津.天津财经大学.2011
[8]章洁倩.我国知识产权质押融资模式多元化的思考.武汉金融.2011(4)40-42
[9]李建英、欧阳琦.知识产权质押贷款走向市场化的路径研究.河北经贸大学学报.2012(02)66-70
[10]Allen N.Berger,Gregory F.Udell,The economics of small business finance:The role of private equity and debt markets in the financial growth cycle,Journal of Banking&Finance 22(1998)613-673
[11]李杨、杨思群.中小企业融资与银行.上海.上海财经大学出版社.2001
[12]杨俊龙.中小企业融资难的原因及对策.经济问题.2003(12)28-29
[13]杨军.中小企业融资制度结构研究.武汉科技大学学报.2003(03)10-15
[14]高正平.中小企业融资新论.北京.中国金融出版社.2004
[15]胡乃武、罗丹阳.对中小企业融资约束的重新解释.经济与管理研究.2006.10
[16]陈敏菊.中小企业融资缺口分析.经济理论与经济管理.2009(11)76-80
[17]宋伟、胡海洋.知识产权质押贷款风险分散机制研究.知识产权.2009(04)73-77
[18]刘姝婕.知识产权质押融资风险的实证考察及其对策研究.广西桂林.广西师范大学.2010
[19]韩钢、李随成.高科技中小企业专利质押业务的信贷合约设计.科技进步与对策.2012(6)79-81
[20]陈莹、宋跃晋.知识产权质押融资的风险控制.金融与经济.2012(07)7-15
[21]田洪媛.知识产权质押融资问题研究.山东泰安.山东农业大学.2013
[22]张欢、温振华.知识产权质押融资风险评价体系研究.华北金融.2013(5)29-32
[23]章洁倩.科技型中小企业知识产权质押融资风险管理.科学管理研究.2013(2)98-101
[24]Peek,Joe;Rosengren,Eric S.Bank Lending and the Transmission of Monetary Policy.Journal of Banking&Finance.Jun1995,Vol.19 Issue 3/4.679-692
[25]Gertler,Mark;Gilchrist,Simon.Monetary policy,business cycles,and the behavior of small manufacturing firms,Quarterly Journal of Economics.May1994,Vol.109 Issue 2.309-340
[26]Kashyap,Anil K;Stein,Jeremy C.What Do a Million Banks Have to Say About the Transmission of Monetary Policy?National Bureau of Economic Research,Inc,NBER Working Papers,1997.60-56
[27]Berger,Allen N.;Kyle,Margaret K.;Scalise,Joseph M.Did U.S.Bank Supervisors Get Tougher during the Credit Crunch?Did They Get Easier during the Banking Boom?Did It Matter to Bank Lending?Prudential supervision:What works and what doesn't.2001.301-349
[28]曹凤岐.建立和健全中小企业信用担保体系.金融研究.2001(5)41-48
[29]殷孟波,贺国生.银行为什么愿意向大企业贷款.经济学家.2003(4)85-90
[30]威廉·配第.爱尔兰的政治解剖.落基山.商务印书馆.1964:80
[31]Gordon V.Smith;Russell L.Parr.Valuation of Intellectual property and Intangible Assets:cumulative supplement.John Wiley&Sons.2001
[32]Mark Berkman,"Valuing Intellectual Property Assets for Licensing Transactions",Licensing Journal.2002(04)6-22
[33]Alexander I.Poltorak;Paul J.Lerner.Essentials of Licensing Intellectual Property.John Wiley&Sons.2004
[34]Michael D.McC oy,Sandra L.Drews."Intellectual Property Valuation".The Secured Lender.2005(05)7-9
[35]S.K.Pal;S.Prakash;A.Madhukar;S.P.Mehrotra."Evaluation of intellectual property asset value",International Journal of Intellectual Property Management.2007(03)174-183
[36]Yu-Jing Chiu;Yuh-Wen Chen."Using Ahp In Patent Valuation.Mathematical and Computer Modeling"(2007)1054-1062
[37]Sohn SY,Kim HS,"Moon TH.Predicting the financial performance index of technology fund for SEM using structural equation model“,Expert Systmes With Application.2007(03)890-898
[38]董晓峰、李小英.对我国知识产权评估方法的调查分析.经济问题探索.2005(05)114-129
[39]范晓波.论知识产权价值评估.理论探索.2006(05)74-77
[40]张涛、杨晨.基于实物期权的知识产权价值评价体系研究.科学管理研究.2007(02)92-102
[41]戴晓凤、李检华.高科技上市公司内在价值评估:基于连续型实物期权模型的实证研究.财经理论与实践.2009(01)41-45
[42]Hou J.L.;lin H.YA.Multiple Regression Model for Patent Appraisal Searching for Factors Influencing Tw:hnological Asset Value.Industrial Management&Data System.2006.106(9)1304-1332
[43]Sheng-hsing Chen.The Collateral-Based Financing of Intellectual Property Right:A Study on Bank's Valuation System.Master's Thesis of National Taiwan University of Science and Technology.2008:27-120
[44]Holger Ernst,Sebastian Legler,Ulrich Lichtenthaler.Determinants of patent value:Insights from a simulation analysis.Technological Forecasting&Social Change.2010(77)1-19
[45]Yu S E S;Huamg K H;Li M Y L;et al.A novel option pricing model via fuzzy binomial decision tree.International Journal of Innovative Computing Information and Control,2011.7(2)709-718
[46]van Zeebroeck N.The puzzle of patent value indicators.Economics of Innovation and New Technology.2011.20(1)33-62
[47]Hsieh C H.Patent value assessment and commercialization strategy.Technological Forecasting and Social Change,2012(11)37-39
[48]Baron J;Delcamp H.Patcnt quality and value in discrete and cumulative innovation.Scientometrics.2012.90(2)581-606
[49]Fischer T;Leidinger J.Testing patent value indicators on directly observed patent value~An empirical analysis of Ocean Tomo patent auctions.Research Policy.2014.43(3)519-529
[50]万小丽、朱雪忠.专利价值的评估指标体系及模糊综合评价.科研管理.2008.29(2)185-191
[51]张彦巧、张文德.企业专利价值量化评估模型实证研究.情报杂志.2010(2)51-54
[52]靳晓东.专利资产证券化中专利价值的影响因素分析.商业时代.2011(24)66
[53]冯丽艳.专利价值评估中技术分成率的确定方法.工作研究.2011(03)46-47
[54]郑素丽、宋明顺.专利价值由何决定?科学学研究.2012(9)1316-1323
[55]邬智君.实物期权法在飞机经营租赁决策中的应用研究.北京.中央民族大学.2013