知识产权交易何以构成经营者集中:控制权标准及其展开  

How Intellectual Property Transactions Constitute Concentrations of Undertakings:The Criterion of Change of Control and its Application

作　　者：吴韬[1] 李陶 

机构地区：[1]中央财经大学

出　　处：《竞争政策研究》2025年第1期79-90,共12页Competition Policy Research

摘　　要：知识产权转让或许可交易在何种条件下构成经营者集中并触发交易相对方的申报义务,是当前经营者集中审查法律实务中的一个难点问题。控制权转移是界定经营者集中的基本标准。根据集中审查制度的立法目的,取得对其他经营者的控制权是指通过持续控制其他经营者在特定相关市场中的业务,取代其在该相关市场的市场地位。对于资产取得交易而言,只有当标的资产构成独立业务和转让方市场地位的基础时,该交易才有可能构成经营者集中。知识产权交易构成经营者集中需满足三个要件:一是作为标的资产的知识产权具有业务性;二是作为标的资产的知识产权具有独立性,为此,知识产权许可交易需在一定领域内具有排他性;三是受让方具有取得相关市场上的市场份额的意图。此外,知识产权许可交易的许可期限还需要符合持续性要求。Determining under what conditions the transfer or licensing of intellectual property constitutes a concentration of undertakings and triggers the obligation of notification by the parties involved is a challenging issue in the current legal practice of merger control.The change of control is the fundamental criterion for defining a concentration of undertakings.According to the goals of the merger control regime,acquiring control over another undertaking refers to the ability to continuously control the business activities of the undertaking in a relevant market,thereby replacing its market position in that relevant market.For transactions involving the acquisition of assets,only when the assets in question constitute an independent business and serve as the foundation of the transferor’s market position,can such a transaction potentially constitute a concentration of undertakings.For intellectual property transactions to be determined asa concentration of undertakings,three requirements must be met:first,the intellectual property as the target asset shall be a business with market presence;second,the intellectual property asset shall have independence,which requires exclusivity in the intellectual property licensing transaction within a certain territory;third,the transferee shall have the intention to acquire market share in the relevant market.Additionally,the duration of the intellectual property licensing transaction shall meet the requirement of continuity.

关 键 词：知识产权转让 知识产权许可 经营者集中 控制权 构成要件 

分 类 号：F27[经济管理—企业管理]