中國大型跨國企業(yè)法律事務(wù)部簡介

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(jī)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Caveats/Comments前言：This presentationisbasedonly on ageneralunderstanding of thecurrent structureandmanagementofthelaw departme

2、nts of manymajorChinesecorporations本講座根根據(jù)主講講人對(duì)中中國跨國國企業(yè)法法務(wù)部現(xiàn)現(xiàn)有組織織機(jī)構(gòu)和和管理水水平的了了解編寫寫。Inpreparingthispresentation, we havemadecertain assumptions:在本講座座的編寫寫系以如如下假設(shè)設(shè)為基礎(chǔ)礎(chǔ)：2.1Many major Chinesecompanies willaggressively expandtheirbusinessgloballyover thenext 3-5years在未來3-5年間，中中國跨國國企業(yè)將將在全球球范圍內(nèi)內(nèi)積極擴(kuò)擴(kuò)展業(yè)務(wù)務(wù)；2.2Ma

3、ny leadinglaw departments intendtoachieve theservice performance levelsoflawdepartmentsofleadingmultinational companiesinthenext3-5years中國跨國國企業(yè)法法務(wù)部(目前在中中國公司司法務(wù)部部中名列列前茅)有意在未未來3-5年間使其其服務(wù)水水平達(dá)到到國際大大型企業(yè)業(yè)法務(wù)部部的水平平；2.3Many major Chinesecompanies intendtocontinuetoimprove itscorporategovernancepoliciesandpra

4、ctices as theymovetowards internationaloperationalstandards中國跨國國企業(yè)有有意在向向國際經(jīng)經(jīng)營標(biāo)準(zhǔn)準(zhǔn)邁進(jìn)的的過程中中繼續(xù)改改進(jìn)其公公司治理理制度和和規(guī)范。KeyQuestions:主要問題題：What arethekey matrices forevaluation of thestructureroleandmanagementofthelaw department?評(píng)價(jià)中國國跨國企企業(yè)法務(wù)務(wù)部組織織機(jī)構(gòu)、作用和和管理水水平的主主要標(biāo)準(zhǔn)準(zhǔn)是什么么？What is therole of thelawdepartmentwith res

5、pectto:中國跨國國企業(yè)法法務(wù)部在在以下方方面發(fā)揮揮什么樣樣的作用用？Globalexpansion of thecompanysbusiness?中國跨國國企業(yè)業(yè)業(yè)務(wù)的全全球性擴(kuò)擴(kuò)展Developmentofthecompanys corporategovernance policies andpractices?中國跨國國企業(yè)公公司治理理制度和和規(guī)范的的制定Howcan thelawdepartmentaddthe mostvaluetothe companysbusinessoperations?中國跨國國企業(yè)法法務(wù)部如如何為中中國跨國國企業(yè)的的業(yè)務(wù)經(jīng)經(jīng)營創(chuàng)造造最大價(jià)價(jià)值？What

6、other keychallenges willthe in-house legal teamfaceinstrivingtoreachservice performance levelsofcorporatelaw departments of leadinginternationalcorporations?中國跨國國企業(yè)法法務(wù)部在在使其服服務(wù)水平平達(dá)到國國際大型型企業(yè)法法務(wù)部水水平的努努力中面面臨哪些些其他挑挑戰(zhàn)？1.1TotalLegalSpending法律開支支總額1.2Staffing人員配備備1.3Structure組織機(jī)構(gòu)構(gòu)Benchmarkingthe ChineseCorp

7、orate LawDepartment AgainstLaw Departments of ForeignMultinationals中國跨國國企業(yè)法法務(wù)部與與國外跨跨國公司司法務(wù)部部的比較較1.1TotalLegalSpending法律開支支總額US/EU美國/歐洲 Asia亞洲 Total Legal Spending 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

8、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 Counsel 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:Allnumber areapproximatebasedoncomparison of datafromvarious

9、sources注：所有有數(shù)據(jù)均均為約數(shù)數(shù)，以不不同來源源數(shù)據(jù)的的比較為為基礎(chǔ)Sources:ACCA,PWCGlobal LawDepartment Survey;Global Counsel2002/3 Benchmarker Survey;Corp.LegalTimesIn-houseCounselSurvey數(shù)據(jù)來源源：美國國公司法法律顧問問協(xié)會(huì)(ACCA)、PWC全球公司司法律部部調(diào)查、全球法法律顧問問2002/3比較調(diào)查查、公司司法律時(shí)時(shí)報(bào)法律律顧問調(diào)調(diào)查1.2CorporateLaw DepartmentStaffing公司法務(wù)務(wù)部人員員配備US/EU 美國/歐洲 Asia 亞洲

10、# of In-house Lawyers per US$B of Revenue 每10億美元營業(yè)收入所對(duì)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 每千名員工所對(duì)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(duì)應(yīng)的輔助人員人數(shù) 0.80.81.3CorporateLaw DepartmentStructure公司法務(wù)務(wù)部組織織機(jī)構(gòu)Reportinglines責(zé)任制度度ToWhom

11、Doesthe CLOreport?總法律顧顧問對(duì)誰誰負(fù)責(zé)？-directlyorindirectly to Chairman/CEO直接或間間接對(duì)董董事長/執(zhí)行總裁裁負(fù)責(zé)60%-Directlyorindirectly to CFO直接或間間接對(duì)財(cái)財(cái)務(wù)總監(jiān)監(jiān)負(fù)責(zé)15%-directlyorindirectly to CLOofparentco.直接或間間接對(duì)母母公司的的總法律律顧問負(fù)負(fù)責(zé)10%-directlyorindirectly to other seniormgr.直接或間間接對(duì)其其他高層層管理人人員負(fù)責(zé)責(zé)15%WhichdepartmentsreporttoCLO?哪些部門門對(duì)總法

12、法律顧問問負(fù)責(zé)？-tax稅務(wù)10%-IPRmanagement知識(shí)產(chǎn)權(quán)權(quán)管理65%-treasury財(cái)務(wù)5%-regulatory compliance政府監(jiān)管管60%-company admin/secretary公司行政政/公司秘書書65%-corporategovernance公司治理理60%BenchmarkingIssues forChinese Companies比較之下下中國跨跨國企業(yè)業(yè)面臨的的問題LegalRisksandLegalCostsinChinaare Lower thaninEU/US在中國面面臨的法法律風(fēng)險(xiǎn)險(xiǎn)和法律律開支低低于歐洲洲/美國legalspending

13、asa percentageoftotalrevenuelikelywillneed to increase as thecompanysbusinessexpandsglobally隨著全球球性的業(yè)業(yè)務(wù)擴(kuò)展展，中國國跨國企企業(yè)的法法律開支支占其營營業(yè)總收收入的百百分比可可能需要要增加GivenlowerlawyersalariesinChina, #ofin-houselawyersperUS$Brevenue can/shouldbedisproportionately higherinChina由于中國國律師的的薪酬較較低，中中國跨國國企業(yè)每每10億美元營營業(yè)收入入所對(duì)應(yīng)應(yīng)的公司司法律顧

14、顧問人數(shù)數(shù)可能/應(yīng)該增加加Perin-houselawyer costs in EU/US willbesignificantlyhigher中國跨國國企業(yè)在在歐洲/美國每名名公司法法律顧問問的成本本將會(huì)顯顯著增加加- possible tensionbetweenEU/USlegalstaffandChinalegalstaff?可能造成成歐洲/美國法務(wù)務(wù)部人員員與中國國法務(wù)部部人員之之間關(guān)系系緊張- willneedtoconsideruseofadditionalnon-lawyer staff in EU/US需要考慮慮在歐洲洲/美國增聘聘非律師師人員Will needmorespec

15、ializedsupport fromoutsidelegalcounsel in EU/US在歐洲/美國將需需更多外外部法律律顧問提提供專業(yè)業(yè)服務(wù)Will needtoincreaseinternalintegrationofthe Companyslawdepartmentandconsiderrestructuringofreportinglines將需加強(qiáng)強(qiáng)中國跨跨國企業(yè)業(yè)法務(wù)部部的內(nèi)部部整合，考慮重重組責(zé)任任制度2.Role of In-house LawDepartment in CompanysGlobalExpansion中國跨國國企業(yè)法法務(wù)部在在中國跨跨國企業(yè)業(yè)全球擴(kuò)擴(kuò)展過程

16、程中的作作用Corporate:Capitalization requirements,companysecretarial,directorships,securitiescompliance; etc.公司：資資本本要求、公司董董秘、董董事事務(wù)務(wù)、遵守守證券事事務(wù)法規(guī)規(guī)等Financial:implicationsofbusinessexpansiononnew andexistingloan facilityagreements金融：業(yè)業(yè)務(wù)務(wù)擴(kuò)展對(duì)對(duì)于新的的和現(xiàn)有有的貸款款協(xié)議的的影響IPR:filings,infringements,licensing, alliances,prote

17、ction,value creation,etc.知識(shí)產(chǎn)權(quán)權(quán)：申申報(bào)、侵權(quán)、許可、聯(lián)合、保護(hù)、增值等等HR:compliancewithunionlaws,employment contract requirements,terminationprocess requirements,anti-discriminationlaws,sexualharassment laws, etc.人力資源源：遵遵守工會(huì)會(huì)法、勞勞動(dòng)合同同規(guī)定、勞動(dòng)合合同中止止程序規(guī)規(guī)定、反反歧視法法、性騷騷擾法等等Operational:compliancewith lawsrelatingtosalesofgoods,

18、appointment anddismissalofagents/distributors,security/collection of A/R,tax aspects, etc.運(yùn)營：遵遵守守與貨物物銷售相相關(guān)的法法律、代代理商或或分銷商商的指定定和撤銷銷、應(yīng)收收帳款的的但保/征收收、稅務(wù)務(wù)等等Other:productliability,competitionlaw, environmental, litigation, realestate,etc.其他：產(chǎn)產(chǎn)品品責(zé)任、反不正正當(dāng)競爭爭法、環(huán)環(huán)境、訴訴訟、房房地產(chǎn)等等2.1LegalRisks/IssuesinEU/US在歐洲/美國面臨臨

19、的法律律風(fēng)險(xiǎn)/問題Formulationofcorporatepolicies制定公司司制度Preparationofcontracttemplates編制合同同范本Strategiccoordination withbusinessmanagers與業(yè)務(wù)經(jīng)經(jīng)理進(jìn)行行策略協(xié)協(xié)調(diào)Hiringand managementoflocallegalstaffinEU/US委托及管管理歐洲洲/美國當(dāng)?shù)氐胤扇巳藛TCoordination/Managementofoutside legal counselinEU/US協(xié)調(diào)/管理歐洲洲/美國外部部法律顧顧問2.2LawDepartmentRole in M

20、anagementofLegalRisks中國跨國國企業(yè)法法務(wù)部在在法律風(fēng)風(fēng)險(xiǎn)管理理方面的的作用2.3CorporatePoliciesand Practices公司制度度和規(guī)范范Law Department Prime 法務(wù)部 Drafting of Corporate charters起草公司章程 Drafting of approval authority delegation 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” an

21、d “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 policies 起草訴訟/危機(jī)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

22、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(dú)立”財(cái)務(wù)隊(duì)伍 Establishing internal audit function 建立內(nèi)部審計(jì)職能ExamplesofPoliciesandPractices for“Sensitive”or“Important”Transactionsfor aHigh-Tech Company有關(guān)“敏敏感”或或“重要要”交

23、易易的制度度和規(guī)范范實(shí)例Appointment/terminationofsalesreps/distributors銷售代理理/經(jīng)銷商的的指定/撤銷2.IPRlicenses知識(shí)產(chǎn)權(quán)權(quán)的許可可3.Establishment of newentities新機(jī)構(gòu)的的設(shè)立4.Vendorfinancing or investments in customers賣方融資資或?qū)涂蛻敉顿Y資5.Unusual contract terms andconditions:不正常合合同條款款- no liabilitycap無賠償責(zé)責(zé)任限制制- “most favoredcustomer” price com

24、mitments“最惠客戶戶”價(jià)格格承諾- etc.等等3.LawDepartment“ValueAdd”中國跨國國企業(yè)法法務(wù)部的的 “增增值”服服務(wù)Minimum requirement最低要求求Maximizevalue最高價(jià)值值 Draft/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(shí)間/成本/風(fēng)險(xiǎn) Provide legal advice for projects提供項(xiàng)目法律意見 Participate in d

25、evelopment of business strategy參與制定經(jīng)營策略 Support implementation of corporate policies/practices 協(xié)助實(shí)施公司制度/規(guī)范 Lead development 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(duì)高層管理人員進(jìn)行法律風(fēng)險(xiǎn)教育 Protect IPR 保護(hù)知識(shí)產(chǎn)權(quán) Create new IPR-based assets and revenues 利用知識(shí)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(duì)公司的成功經(jīng)營作出貢獻(xiàn) 4.OtherChallenges forLawDepartment中國跨國國企業(yè)法法務(wù)部面面臨的其其他挑戰(zhàn)戰(zhàn)Challenges挑戰(zhàn) Possible Solutions 可能的解決辦法 Build team