中國大型跨國企業(yè)法律事務(wù)部簡介(-16張)課件

1、OVERVIEW OF CHALLENGES AND OPPORTUNITIES FOR THE LEGAL AFFAIRS DEPARTMENTS OF MAJOR CHINESE ENTERPRISES中國大型跨國企業(yè)法律事務(wù)部的挑戰(zhàn)和機遇探討Robert D. Lewis主講：呂立山Lovells Beijing路偉國際律師事務(wù)所北京代表處OVERVIEW OF CHALLENGES AND OPPCaveats/Comments 前言：This presentation is based only on a general understanding of the current st

2、ructure and management of the law departments of many major Chinese corporations本講座根據(jù)主講人對中國跨國企業(yè)法務(wù)部現(xiàn)有組織機構(gòu)和管理水平的了解編寫。 In preparing this presentation, we have made certain assumptions:在本講座的編寫系以如下假設(shè)為基礎(chǔ)： 2.1Many major Chinese companies will aggressively expand their business globally over the next 3-5 ye

3、ars在未來3-5年間，中國跨國企業(yè)將在全球范圍內(nèi)積極擴展業(yè)務(wù)； 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中國跨國企業(yè)法務(wù)部(目前在中國公司法務(wù)部中名列前茅) 有意在未來3-5年間使其服務(wù)水平達(dá)到國際大型企業(yè)法務(wù)部的水平； 2.3Many major Chinese companies intend to continue t

4、o improve its corporate governance policies and practices as they move towards international operational standards中國跨國企業(yè)有意在向國際經(jīng)營標(biāo)準(zhǔn)邁進的過程中繼續(xù)改進其公司治理制度和規(guī)范。 Caveats/Comments 前言：This prKey Questions: 主要問題：What are the key matrices for evaluation of the structure role and management of the law department?評

5、價中國跨國企業(yè)法務(wù)部組織機構(gòu)、作用和管理水平的主要標(biāo)準(zhǔn)是什么？ What is the role of the law department with respect to:中國跨國企業(yè)法務(wù)部在以下方面發(fā)揮什么樣的作用？Global expansion of the companys business?中國跨國企業(yè)業(yè)務(wù)的全球性擴展 Development of the companys corporate governance policies and practices?中國跨國企業(yè)公司治理制度和規(guī)范的制定 How can the law department add the most va

6、lue to the companys business operations?中國跨國企業(yè)法務(wù)部如何為中國跨國企業(yè)的業(yè)務(wù)經(jīng)營創(chuàng)造最大價值？ 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?中國跨國企業(yè)法務(wù)部在使其服務(wù)水平達(dá)到國際大型企業(yè)法務(wù)部水平的努力中面臨哪些其他挑戰(zhàn)？Key Question

7、s: 主要問題：What are t1.1Total Legal Spending 法律開支總額 1.2Staffing 人員配備 1.3Structure 組織機構(gòu) Benchmarking the Chinese Corporate Law Department Against Law Departments of Foreign Multinationals 中國跨國企業(yè)法務(wù)部與國外跨國公司法務(wù)部的比較 Benchmarking the Chinese Corpo1.1Total Legal Spending 法律開支總額US/EU美國/歐洲 Asia亞洲 Total Legal Spe

8、nding as a Percentage of Company Revenue 法律開支總額占公司營業(yè)收入的百分比 0.25% to 0.50%0.10% Inside Legal Spending vs. Outside Counsel Spending 內(nèi)部法律開支與外部法律顧問開支的比例40% (internal 內(nèi)部)60% (external 外部)50%(internal 內(nèi)部)50%(external 外部) Inside Spending per In-house Lawyer 每名內(nèi)部法律顧問的開支 US$200,000 - US$300,000N/A Outside Co

9、unsel Spending per In-house Lawyer 每名內(nèi)部法律顧問的外部法律顧問開支 US$250,000 US$400,000N/ANote: All number are approximate based on comparison of data from various sources注：所有數(shù)據(jù)均為約數(shù)，以不同來源數(shù)據(jù)的比較為基礎(chǔ) Sources: ACCA, PWC Global Law Department Survey; Global Counsel 2002/3 Benchmarker Survey; Corp. Legal Times In-house

10、 Counsel Survey 數(shù)據(jù)來源：美國公司法律顧問協(xié)會(ACCA) 、PWC全球公司法律部調(diào)查、全球法律顧問2002/3比較調(diào)查、公司法律時報法律顧問調(diào)查 1.1Total Legal Spending 法律開支總1.2Corporate Law Department Staffing公司法務(wù)部人員配備 US/EU 美國/歐洲 Asia 亞洲 # of In-house Lawyers per US$B of Revenue 每10億美元營業(yè)收入所對應(yīng)的內(nèi)部法律顧問人數(shù) 5 9 3 - 4 # of In-house Lawyers per 1,000 employees 每千名員工所

11、對應(yīng)的內(nèi)部法律顧問人數(shù) 1.4 (global median)(全球中位數(shù)) N/A不適用 Support Staff per In-house Lawyer 每名內(nèi)部法律顧問所對應(yīng)的輔助人員人數(shù) 0.80.81.2Corporate Law Department S1.3 Corporate Law Department Structure 公司法務(wù)部組織機構(gòu) Reporting lines 責(zé)任制度 To Whom Does the CLO report? 總法律顧問對誰負(fù)責(zé)？ - directly or indirectly to Chairman/CEO 直接或間接對董事長/執(zhí)行總裁負(fù)

12、責(zé) 60% - Directly or indirectly to CFO 直接或間接對財務(wù)總監(jiān)負(fù)責(zé) 15% - directly or indirectly to CLO of parent co. 直接或間接對母公司的總法律顧問負(fù)責(zé) 10% - directly or indirectly to other senior mgr. 直接或間接對其他高層管理人員負(fù)責(zé) 15% Which departments report to CLO? 哪些部門對總法律顧問負(fù)責(zé)？ - tax 稅務(wù) 10% - IPR management知識產(chǎn)權(quán)管理 65% - treasury 財務(wù) 5% - regu

13、latory compliance 政府監(jiān)管 60% - company admin/secretary 公司行政/公司秘書65% - corporate governance 公司治理 60%1.3 Corporate Law Department Benchmarking Issues for Chinese Companies比較之下中國跨國企業(yè)面臨的問題 Legal Risks and Legal Costs in China are Lower than in EU/US 在中國面臨的法律風(fēng)險和法律開支低于歐洲/美國 legal spending as a percentage of

14、 total revenue likely will need to increase as the companys business expands globally 隨著全球性的業(yè)務(wù)擴展，中國跨國企業(yè)的法律開支占其營業(yè)總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 higher in China 由于中國律師的薪酬較低，中國跨國企業(yè)每10億美元營業(yè)收入所對應(yīng)的公司法律顧問人數(shù)可能/應(yīng)該增加

15、Per in-house lawyer costs in EU/US will be significantly higher 中國跨國企業(yè)在歐洲/美國每名公司法律顧問的成本將會顯著增加 - possible tension between EU/US legal staff and China legal staff? 可能造成歐洲/美國法務(wù)部人員與中國法務(wù)部人員之間關(guān)系緊張 - will need to consider use of additional non-lawyer staff in EU/US 需要考慮在歐洲/美國增聘非律師人員 Will need more speciali

16、zed support from outside legal counsel in EU/US 在歐洲/美國將需更多外部法律顧問提供專業(yè)服務(wù) Will need to increase internal integration of the Companys law department and consider restructuring of reporting lines 將需加強中國跨國企業(yè)法務(wù)部的內(nèi)部整合，考慮重組責(zé)任制度 Benchmarking Issues for Chines2. Role of In-house Law Department in Companys Glob

17、al Expansion 中國跨國企業(yè)法務(wù)部在中國跨國企業(yè)全球擴展過程中的作用 Corporate:Capitalization requirements, company secretarial, directorships, securities compliance; etc. 公司：資本要求、公司董秘、董事事務(wù)、遵守證券事務(wù)法規(guī)等Financial:implications of business expansion on new and existing loan facility agreements金融：業(yè)務(wù)擴展對于新的和現(xiàn)有的貸款協(xié)議的影響IPR:filings, infrin

18、gements, licensing, alliances, protection, value creation, etc.知識產(chǎn)權(quán)：申報 、侵權(quán)、許可、聯(lián)合、保護、增值等HR:compliance with union laws, employment contract requirements, termination process requirements, anti-discrimination laws, sexual harassment laws, etc.人力資源：遵守工會法、勞動合同規(guī)定、勞動合同中止程序規(guī)定、反歧視法、性騷擾法等 Operational:complian

19、ce with laws relating to sales of goods, appointment and dismissal of agents/distributors, security/collection of A/R, tax aspects, etc.運營：遵守與貨物銷售相關(guān)的法律、代理商或分銷商的指定和撤銷、應(yīng)收帳款的但保/征收、稅務(wù)等等 Other:product liability, competition law, environmental, litigation, real estate, etc.其他：產(chǎn)品責(zé)任、反不正當(dāng)競爭法、環(huán)境、訴訟、房地產(chǎn)等 2.1 L

20、egal Risks/Issues in EU/US 在歐洲/美國面臨的法律風(fēng)險/問題 2. Role of In-house Law DeparFormulation of corporate policies 制定公司制度Preparation of contract templates 編制合同范本Strategic coordination with business managers 與業(yè)務(wù)經(jīng)理進行策略協(xié)調(diào)Hiring and management of local legal staff in EU/US 委托及管理歐洲/美國當(dāng)?shù)胤扇藛TCoordination/Managemen

21、t of outside legal counsel in EU/US 協(xié)調(diào)/管理歐洲/美國外部法律顧問2.2 Law Department Role in Management of Legal Risks 中國跨國企業(yè)法務(wù)部在法律風(fēng)險管理方面的作用 Formulation of corporate polic2.3 Corporate Policies and Practices公司制度和規(guī)范 Law Department Prime 法務(wù)部 Drafting of Corporate charters起草公司章程 Drafting of approval authority delega

22、tion policies 起草審批授權(quán)制度 Drafting of code of conduct 起草行為規(guī)范 Drafting of policies and practices for “sensitive” and “important” transactions 起草“敏感”及“重要”交易制度和規(guī)范 Leadership of compliance, corporate secretarial and corporate governance functions 領(lǐng)導(dǎo)監(jiān)管事宜，公司文秘及公司治理職能 Drafting of litigation/crisis management

23、policies 起草訴訟/危機管理制度 Other Department Prime 其他部門 Establishing management reporting lines 建立管理責(zé)任制度 Establishing internal reporting requirements 建立內(nèi)部責(zé)任規(guī)定 Establishing budgeting/ remuneration controls 建立預(yù)算/薪酬控制 Establishing “independent” finance team 建立“獨立”財務(wù)隊伍 Establishing internal audit function 建立內(nèi)部

24、審計職能2.3 Corporate Policies and PrExamples of Policies and Practices for “Sensitive” or “Important” Transactions for a High-Tech Company有關(guān)“敏感”或“重要”交易的制度和規(guī)范實例Appointment/termination of sales reps/distributors銷售代理/經(jīng)銷商的指定/撤銷2.IPR licenses 知識產(chǎn)權(quán)的許可3.Establishment of new entities 新機構(gòu)的設(shè)立4.Vendor financing o

25、r investments in customers賣方融資或?qū)蛻敉顿Y5.Unusual contract terms and conditions:不正常合同條款- no liability cap 無賠償責(zé)任限制 - “most favored customer” price commitments “最惠客戶”價格承諾 - etc. 等等Examples of Policies and Pract3. Law Department “Value Add” 中國跨國企業(yè)法務(wù)部的 “增值”服務(wù) Minimum requirement最低要求 Maximize value最高價值 Draft

26、/negotiate contracts起草/談判合同 Contribute to overall “process” management to reduce time/costs/risks 參與全“過程”管理，減低時間/成本/風(fēng)險 Provide legal advice for projects提供項目法律意見 Participate in development of business strategy參與制定經(jīng)營策略 Support implementation of corporate policies/practices 協(xié)助實施公司制度/規(guī)范 Lead development

27、 of corporate policies/practices 領(lǐng)導(dǎo)制定公司制度/規(guī)范 Solve legal problems 解決法律問題 Prevent legal problems; educate senior management on legal risks 預(yù)防法律問題、對高層管理人員進行法律風(fēng)險教育 Protect IPR 保護知識產(chǎn)權(quán) Create new IPR-based assets and revenues 利用知識產(chǎn)權(quán)創(chuàng)造新的資產(chǎn)和收入 Be good lawyers 符合優(yōu)秀律師標(biāo)準(zhǔn) Contribute to commercial success of company 對公司的成功經(jīng)營作出貢獻 3. Law Department “Value Add”4. Other Challenges for Law Department中國跨國企業(yè)法務(wù)部面臨的其他挑