中国大型跨国企业法律事务部.ppt

1、OVERVIEW OF CHALLENGES AND OPPORTUNITIES FOR THE LEGAL AFFAIRS DEPARTMENTS OF MAJOR CHINESE ENTERPRISES中国大型跨国企业法律事务部的挑战和机遇探讨,Robert D. Lewis主讲：吕立山 Lovells Beijing路伟国际律师事务所北京代表处,Caveats/Comments 前言：,This presentation is based only on a general understanding of the current structure and management of

2、the law departments of many major Chinese corporations 本讲座根据主讲人对中国跨国企业法务部现有组织机构和管理水平的了解编写。 In preparing this presentation, we have made certain assumptions: 在本讲座的编写系以如下假设为基础： 2.1Many major Chinese companies will aggressively expand their business globally over the next 3-5 years 在未来3-5年间，中国跨国企业将在全球范

3、围内积极扩展业务； 2.2Many leading law departments intend to achieve the service performance levels of law departments of leading multinational companies in the next 3-5 years 中国跨国企业法务部(目前在中国公司法务部中名列前茅) 有意在未来3-5年间使其服务水平达到国际大型企业法务部的水平； 2.3Many major Chinese companies intend to continue to improve its corporat

4、e governance policies and practices as they move towards international operational standards 中国跨国企业有意在向国际经营标准迈进的过程中继续改进其公司治理制度和规范。,Key Questions: 主要问题：,What are the key matrices for evaluation of the structure role and management of the law department? 评价中国跨国企业法务部组织机构、作用和管理水平的主要标准是什么？ What is the ro

5、le of the law department with respect to: 中国跨国企业法务部在以下方面发挥什么样的作用？ Global expansion of the companys business? 中国跨国企业业务的全球性扩展 Development of the companys corporate governance policies and practices? 中国跨国企业公司治理制度和规范的制定 How can the law department add the most value to the companys business operations? 中

6、国跨国企业法务部如何为中国跨国企业的业务经营创造最大价值？ What other key challenges will the in-house legal team face in striving to reach service performance levels of corporate law departments of leading international corporations? 中国跨国企业法务部在使其服务水平达到国际大型企业法务部水平的努力中面临哪些其他挑战？,1.1Total Legal Spending 法律开支总额 1.2Staffing 人员配备 1.3

7、Structure 组织机构,Benchmarking the Chinese Corporate Law Department Against Law Departments of Foreign Multinationals 中国跨国企业法务部与国外跨国公司法务部的比较,1.1Total Legal Spending 法律开支总额,Note: All number are approximate based on comparison of data from various sources 注：所有数据均为约数，以不同来源数据的比较为基础 Sources: ACCA, PWC Globa

8、l Law Department Survey; Global Counsel 2002/3 Benchmarker Survey; Corp. Legal Times In-house Counsel Survey 数据来源：美国公司法律顾问协会(ACCA) 、PWC全球公司法律部调查、全球法律顾问2002/3比较调查、公司法律时报法律顾问调查,1.2Corporate Law Department Staffing公司法务部人员配备,1.3 Corporate Law Department Structure 公司法务部组织机构,Reporting lines 责任制度,To Whom D

9、oes the CLO report? 总法律顾问对谁负责？ - directly or indirectly to Chairman/CEO 直接或间接对董事长/执行总裁负责 60% - Directly or indirectly to CFO 直接或间接对财务总监负责 15% - directly or indirectly to CLO of parent co. 直接或间接对母公司的总法律顾问负责 10% - directly or indirectly to other senior mgr. 直接或间接对其他高层管理人员负责 15% Which departments repor

10、t to CLO? 哪些部门对总法律顾问负责？ - tax 税务 10% - IPR management知识产权管理 65% - treasury 财务 5% - regulatory compliance 政府监管 60% - company admin/secretary 公司行政/公司秘书65% - corporate governance 公司治理 60%,Benchmarking Issues for Chinese Companies比较之下中国跨国企业面临的问题,Legal Risks and Legal Costs in China are Lower than in EU/

11、US 在中国面临的法律风险和法律开支低于欧洲/美国,legal spending as a percentage of total revenue likely will need to increase as the companys business expands globally 随着全球性的业务扩展，中国跨国企业的法律开支占其营业总收入的百分比可能需要增加 Given lower lawyer salaries in China, # of in-house lawyers per US$B revenue can/should be disproportionately highe

12、r in China 由于中国律师的薪酬较低，中国跨国企业每10亿美元营业收入所对应的公司法律顾问人数可能/应该增加 Per in-house lawyer costs in EU/US will be significantly higher 中国跨国企业在欧洲/美国每名公司法律顾问的成本将会显著增加 - possible tension between EU/US legal staff and China legal staff? 可能造成欧洲/美国法务部人员与中国法务部人员之间关系紧张 - will need to consider use of additional non-lawy

13、er staff in EU/US 需要考虑在欧洲/美国增聘非律师人员 Will need more specialized support from outside legal counsel in EU/US 在欧洲/美国将需更多外部法律顾问提供专业服务 Will need to increase internal integration of the Companys law department and consider restructuring of reporting lines 将需加强中国跨国企业法务部的内部整合，考虑重组责任制度,2. Role of In-house La

14、w Department in Companys Global Expansion 中国跨国企业法务部在中国跨国企业全球扩展过程中的作用,Corporate:Capitalization requirements, company secretarial, directorships, securities compliance; etc. 公司：资本要求、公司董秘、董事事务、遵守证券事务法规等 Financial:implications of business expansion on new and existing loan facility agreements 金融：业务扩展对于新

15、的和现有的贷款协议的影响 IPR:filings, infringements, licensing, alliances, protection, value creation, etc. 知识产权：申报 、侵权、许可、联合、保护、增值等 HR:compliance with union laws, employment contract requirements, termination process requirements, anti-discrimination laws, sexual harassment laws, etc. 人力资源：遵守工会法、劳动合同规定、劳动合同中止程

16、序规定、反歧视法、性骚扰法等 Operational:compliance with laws relating to sales of goods, appointment and dismissal of agents/distributors, security/collection of A/R, tax aspects, etc. 运营：遵守与货物销售相关的法律、代理商或分销商的指定和撤销、应收帐款的但保/征收、税务等等 Other:product liability, competition law, environmental, litigation, real estate,

17、etc. 其他：产品责任、反不正当竞争法、环境、诉讼、房地产等,2.1 Legal Risks/Issues in EU/US 在欧洲/美国面临的法律风险/问题,Formulation of corporate policies 制定公司制度 Preparation of contract templates 编制合同范本 Strategic coordination with business managers 与业务经理进行策略协调 Hiring and management of local legal staff in EU/US 委托及管理欧洲/美国当地法律人员 Coordinati

18、on/Management of outside legal counsel in EU/US 协调/管理欧洲/美国外部法律顾问,2.2 Law Department Role in Management of Legal Risks 中国跨国企业法务部在法律风险管理方面的作用,2.3 Corporate Policies and Practices公司制度和规范,Examples of Policies and Practices for “Sensitive” or “Important” Transactions for a High-Tech Company有关“敏感”或“重要”交易的制度和规范实例,Appointment/termination of sales reps/distributors 销售代理/经销商的指定/撤销 2.IPR licenses 知识产权的许可 3.Establishment of new entities 新机构的设立 4.Vendor financing or investments in customers 卖方融资或对客户投资 5.Unusual contract terms and conditions: 不正常合同条款 - no liability cap 无赔偿责任限制 - “most favored custo