中国大型跨国企业法律事务部简介

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 presentationisbasedonly on ageneralunderstanding of thecurrent structureandmanagementofthelaw departme

2、nts of manymajorChinesecorporations本讲座根根据主讲讲人对中中国跨国国企业法法务部现现有组织织机构和和管理水水平的了了解编写写。Inpreparingthispresentation, we havemadecertain assumptions:在本讲座座的编写写系以如如下假设设为基础础：2.1Many major Chinesecompanies willaggressively expandtheirbusinessgloballyover thenext 3-5years在未来3-5年间，中中国跨国国企业将将在全球球范围内内积极扩扩展业务务；2.2Ma

3、ny leadinglaw departments intendtoachieve theservice performance levelsoflawdepartmentsofleadingmultinational companiesinthenext3-5years中国跨国国企业法法务部(目前在中中国公司司法务部部中名列列前茅)有意在未未来3-5年间使其其服务水水平达到到国际大大型企业业法务部部的水平平；2.3Many major Chinesecompanies intendtocontinuetoimprove itscorporategovernancepoliciesandpra

4、ctices as theymovetowards internationaloperationalstandards中国跨国国企业有有意在向向国际经经营标准准迈进的的过程中中继续改改进其公公司治理理制度和和规范。KeyQuestions:主要问题题：What arethekey matrices forevaluation of thestructureroleandmanagementofthelaw department?评价中国国跨国企企业法务务部组织织机构、作用和和管理水水平的主主要标准准是什么么？What is therole of thelawdepartmentwith res

5、pectto:中国跨国国企业法法务部在在以下方方面发挥挥什么样样的作用用？Globalexpansion of thecompanysbusiness?中国跨国国企业业业务的全全球性扩扩展Developmentofthecompanys corporategovernance policies andpractices?中国跨国国企业公公司治理理制度和和规范的的制定Howcan thelawdepartmentaddthe mostvaluetothe companysbusinessoperations?中国跨国国企业法法务部如如何为中中国跨国国企业的的业务经经营创造造最大价价值？What

6、other keychallenges willthe in-house legal teamfaceinstrivingtoreachservice performance levelsofcorporatelaw departments of leadinginternationalcorporations?中国跨国国企业法法务部在在使其服服务水平平达到国国际大型型企业法法务部水水平的努努力中面面临哪些些其他挑挑战？1.1TotalLegalSpending法律开支支总额1.2Staffing人员配备备1.3Structure组织机构构Benchmarkingthe ChineseCorp

7、orate LawDepartment AgainstLaw Departments of ForeignMultinationals中国跨国国企业法法务部与与国外跨跨国公司司法务部部的比较较1.1TotalLegalSpending法律开支支总额US/EU美国/欧洲 Asia亚洲 Total Legal Spending as a Percentage of Company Revenue 法律开支总额占公司营业收入的百分比 0.25% to 0.50%0.10% Inside Legal Spending vs. Outside Counsel Spending 内部法律开支与外部法律顾问

8、开支的比例40% (internal 内部)60% (external 外部)50%(internal 内部)50%(external 外部) Inside Spending per In-house Lawyer 每名内部法律顾问的开支 US$200,000 - US$300,000N/A Outside Counsel Spending per In-house Lawyer 每名内部法律顾问的外部法律顾问开支 US$250,000 US$400,000N/ANote:Allnumber areapproximatebasedoncomparison of datafromvarious

9、sources注：所有有数据均均为约数数，以不不同来源源数据的的比较为为基础Sources:ACCA,PWCGlobal LawDepartment Survey;Global Counsel2002/3 Benchmarker Survey;Corp.LegalTimesIn-houseCounselSurvey数据来源源：美国国公司法法律顾问问协会(ACCA)、PWC全球公司司法律部部调查、全球法法律顾问问2002/3比较调查查、公司司法律时时报法律律顾问调调查1.2CorporateLaw DepartmentStaffing公司法务务部人员员配备US/EU 美国/欧洲 Asia 亚洲

10、# of In-house Lawyers per US$B of Revenue 每10亿美元营业收入所对应的内部法律顾问人数 5 9 3 - 4 # of In-house Lawyers per 1,000 employees 每千名员工所对应的内部法律顾问人数 1.4 (global median)(全球中位数) N/A不适用 Support Staff per In-house Lawyer 每名内部法律顾问所对应的辅助人员人数 0.80.81.3CorporateLaw DepartmentStructure公司法务务部组织织机构Reportinglines责任制度度ToWhom

11、Doesthe CLOreport?总法律顾顾问对谁谁负责？-directlyorindirectly to Chairman/CEO直接或间间接对董董事长/执行总裁裁负责60%-Directlyorindirectly to CFO直接或间间接对财财务总监监负责15%-directlyorindirectly to CLOofparentco.直接或间间接对母母公司的的总法律律顾问负负责10%-directlyorindirectly to other seniormgr.直接或间间接对其其他高层层管理人人员负责责15%WhichdepartmentsreporttoCLO?哪些部门门对总法

12、法律顾问问负责？-tax税务10%-IPRmanagement知识产权权管理65%-treasury财务5%-regulatory compliance政府监管管60%-company admin/secretary公司行政政/公司秘书书65%-corporategovernance公司治理理60%BenchmarkingIssues forChinese Companies比较之下下中国跨跨国企业业面临的的问题LegalRisksandLegalCostsinChinaare Lower thaninEU/US在中国面面临的法法律风险险和法律律开支低低于欧洲洲/美国legalspending

13、asa percentageoftotalrevenuelikelywillneed to increase as thecompanysbusinessexpandsglobally随着全球球性的业业务扩展展，中国国跨国企企业的法法律开支支占其营营业总收收入的百百分比可可能需要要增加GivenlowerlawyersalariesinChina, #ofin-houselawyersperUS$Brevenue can/shouldbedisproportionately higherinChina由于中国国律师的的薪酬较较低，中中国跨国国企业每每10亿美元营营业收入入所对应应的公司司法律顾

14、顾问人数数可能/应该增加加Perin-houselawyer costs in EU/US willbesignificantlyhigher中国跨国国企业在在欧洲/美国每名名公司法法律顾问问的成本本将会显显著增加加- possible tensionbetweenEU/USlegalstaffandChinalegalstaff?可能造成成欧洲/美国法务务部人员员与中国国法务部部人员之之间关系系紧张- willneedtoconsideruseofadditionalnon-lawyer staff in EU/US需要考虑虑在欧洲洲/美国增聘聘非律师师人员Will needmorespec

15、ializedsupport fromoutsidelegalcounsel in EU/US在欧洲/美国将需需更多外外部法律律顾问提提供专业业服务Will needtoincreaseinternalintegrationofthe Companyslawdepartmentandconsiderrestructuringofreportinglines将需加强强中国跨跨国企业业法务部部的内部部整合，考虑重重组责任任制度2.Role of In-house LawDepartment in CompanysGlobalExpansion中国跨国国企业法法务部在在中国跨跨国企业业全球扩扩展过程

16、程中的作作用Corporate:Capitalization requirements,companysecretarial,directorships,securitiescompliance; etc.公司：资资本本要求、公司董董秘、董董事事务务、遵守守证券事事务法规规等Financial:implicationsofbusinessexpansiononnew andexistingloan facilityagreements金融：业业务务扩展对对于新的的和现有有的贷款款协议的的影响IPR:filings,infringements,licensing, alliances,prote

17、ction,value creation,etc.知识产权权：申申报、侵权、许可、联合、保护、增值等等HR:compliancewithunionlaws,employment contract requirements,terminationprocess requirements,anti-discriminationlaws,sexualharassment laws, etc.人力资源源：遵遵守工会会法、劳劳动合同同规定、劳动合合同中止止程序规规定、反反歧视法法、性骚骚扰法等等Operational:compliancewith lawsrelatingtosalesofgoods,

18、appointment anddismissalofagents/distributors,security/collection of A/R,tax aspects, etc.运营：遵遵守守与货物物销售相相关的法法律、代代理商或或分销商商的指定定和撤销销、应收收帐款的的但保/征收收、税务务等等Other:productliability,competitionlaw, environmental, litigation, realestate,etc.其他：产产品品责任、反不正正当竞争争法、环环境、诉诉讼、房房地产等等2.1LegalRisks/IssuesinEU/US在欧洲/美国面临临

19、的法律律风险/问题Formulationofcorporatepolicies制定公司司制度Preparationofcontracttemplates编制合同同范本Strategiccoordination withbusinessmanagers与业务经经理进行行策略协协调Hiringand managementoflocallegalstaffinEU/US委托及管管理欧洲洲/美国当地地法律人人员Coordination/Managementofoutside legal counselinEU/US协调/管理欧洲洲/美国外部部法律顾顾问2.2LawDepartmentRole in M

20、anagementofLegalRisks中国跨国国企业法法务部在在法律风风险管理理方面的的作用2.3CorporatePoliciesand Practices公司制度度和规范范Law Department Prime 法务部 Drafting of Corporate charters起草公司章程 Drafting of approval authority delegation policies 起草审批授权制度 Drafting of code of conduct 起草行为规范 Drafting of policies and practices for “sensitive” an

21、d “important” transactions 起草“敏感”及“重要”交易制度和规范 Leadership of compliance, corporate secretarial and corporate governance functions 领导监管事宜，公司文秘及公司治理职能 Drafting of litigation/crisis management policies 起草诉讼/危机管理制度 Other Department Prime 其他部门 Establishing management reporting lines 建立管理责任制度 Establishing

22、internal reporting requirements 建立内部责任规定 Establishing budgeting/ remuneration controls 建立预算/薪酬控制 Establishing “independent” finance team 建立“独立”财务队伍 Establishing internal audit function 建立内部审计职能ExamplesofPoliciesandPractices for“Sensitive”or“Important”Transactionsfor aHigh-Tech Company有关“敏敏感”或或“重要要”交

23、易易的制度度和规范范实例Appointment/terminationofsalesreps/distributors销售代理理/经销商的的指定/撤销2.IPRlicenses知识产权权的许可可3.Establishment of newentities新机构的的设立4.Vendorfinancing or investments in customers卖方融资资或对客客户投资资5.Unusual contract terms andconditions:不正常合合同条款款- no liabilitycap无赔偿责责任限制制- “most favoredcustomer” price com

24、mitments“最惠客户户”价格格承诺- etc.等等3.LawDepartment“ValueAdd”中国跨国国企业法法务部的的 “增增值”服服务Minimum requirement最低要求求Maximizevalue最高价值值 Draft/negotiate contracts起草/谈判合同 Contribute to overall “process” management to reduce time/costs/risks 参与全“过程”管理，减低时间/成本/风险 Provide legal advice for projects提供项目法律意见 Participate in d

25、evelopment of business strategy参与制定经营策略 Support implementation of corporate policies/practices 协助实施公司制度/规范 Lead development of corporate policies/practices 领导制定公司制度/规范 Solve legal problems 解决法律问题 Prevent legal problems; educate senior management on legal risks 预防法律问题、对高层管理人员进行法律风险教育 Protect IPR 保护知识产权 Create new IPR-based assets and revenues 利用知识产权创造新的资产和收入 Be good lawyers 符合优秀律师标准 Contribute to commercial success of company 对公司的成功经营作出贡献 4.OtherChallenges forLawDepartment中国跨国国企业法法务部面面临的其其他挑战战Challenges挑战 Possible Solutions 可能的解决办法 Build team