2018 Alb China

亚洲法律杂志 - 中国版 CHINA

DECEMBER 2018 CHINA EDITION 中国十五佳公司法务团队

ISSN 2220-2706

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2018 WHAT THE LEGAL INDUSTRY ALB CAN EXPECT IN 2019 THE CHINA COUNTRY’S 法律服务 BEST IP TOP 15 市场2019 LAWYERS 展望中国最佳知识产权律师 DATA PRIVACY COMES INTO IN-HOUSE FOCUS 数据隐私 TEAMS 成为焦点

CONTENTS DECEMBER 2018

12 Investors look at computer screens showing stock information at a brokerage house in Shanghai, China September 7, 2018. REUTERS/Aly Song

37 经历法律服务需求的井喷。 COVER STORY FEATURES EVENTFUL 2018, BRIEFS PROMISING 2019 41 2 0 1 8 事件频发， SAFE AND SECURE 16 25 2019充满希望安全无忧 4 2018 ALB CHINA TOP 2018 ALB CHINA TOP 15 Until quite recently, data NEWS As an eventful 2018 comes 15 IN-HOUSE TEAMS IP LAWYERS privacy was not a priority in to a close, lawyers are 2018中国十五佳公司法 2018中国十五佳知识产 China. But with awareness considering the changes that 6 务团队权律师 growing, the Chinese the industry may undergo DEALS government has been rapidly China’s top in-house teams through 2019 with factors With Chinese companies being passing a series of regulations hail from different industries like rapid globalization in the increasingly recognised on the on personal data. 15 digital era, the burgeoning such as automotive, real world stage for their technology and APPOINTMENTS estate, finance and tech. innovation, IP lawyers are more in Sino-U.S. trade dispute and 直到最近，数据隐私保护才在 What unites them is the demand than ever. And these 15 the development of a few 中国成为当务之急。但事实上， value they provide to their accomplished practitioners have economic zones. China is 随着隐私保护意识的提高，中 companies. shown that they have what it takes to set to experience a boom in 国政府一直在快速地通过一系 deliver the goods. demand for legal services. 列关于个人和 “ 重要 ” 数据保护中国十五佳公司法务团队来的监管规定。自不同领域：汽车、房地产、随着中国企业在全球科技创新随着发生了不少大事件的金融、科技。这些优秀法务领域越来越受瞩目，知识产权 2018年即将结束，律师们正团队走到一起的共性是他们律师们的业务机会也比以往在考虑2019年法律行业可能为公司发展创造的价值。任何时候都多。今年获奖的十经历的种种变化，包括数字时五位知识产权律师用业绩很代飞速的全球化进程，愈演好地证明了他们的专业实力与愈烈的中美贸易争端以及几行业影响力。个自贸特区的发展等。中国将

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 1 THE RISE OF IN-HOUSE Not too long ago, in-house was the “poor cousin” to private practice, seen as a safe route for those who couldn’t quite cut it as external counsel. How times have changed. Today in-house counsel are HEAD OF LEGAL MEDIA BUSINESS, ANA FROM Amantha Chia 谢京庭 doing increasingly significant and interesting [email protected] work, and the benefits, including higher pay, better hours and a chance to rise to the top of a MANAGING EDITOR company means that in-house roles are sought Ranajit Dam 邓文杰 [email protected] THE after like never before. The rise of the in-house side -- in both importance and profile – is one CHINA EDITORS of the most significant developments in China’s Wang Jin 王瑾 legal industry. [email protected] Bian Jie 边洁 EDITOR Keeping this in mind, ALB celebrates China’s [email protected] best in-house teams. These are corporate ANALYST legal departments who are doing cutting-edge Ines Yang 杨超 innovative work, assisting their companies [email protected] navigate an increasingly treacherous regulatory landscape and also being actively involved in the ACCOUNT MANAGERS overall growth and prosperity of the business. To Yvonne Cheung 张裕裕 Account Director (China) them, we offer our congratulations! (852) 2847 2003 [email protected] 公司法务的“崛起” Steven Zhao 赵树群几年前，相比外部律师，公司法务一直被认为 Account Manager (China) 是“落寞的远亲”，仿佛只有不能胜任外部律师工 (86) 10 6627 1360 作的人才会选择这样一条安稳的道路。时代终 [email protected] 究在变，今日的公司法务不同以往，他们的工 Krupa Dalal 作越来越重要和有趣，更好的报酬、工作时间 Sales Manager (India) RANAJIT DAM 以及职业上升空间等福利也都越发吸引人。公 (91) 22 61807087 Managing Editor, 司法务从重要性和受关注度而言都在中国法律 [email protected] 行业有了重大的突破。 Asian Legal Business Amy Sim Thomson Reuters 有鉴于此，ALB评选出中国最佳的公司法务团 Sales Manager (Japan, Singapore, Taiwan) 队。这些公司法务部门在最前沿的法律战场上 (65) 6870 3348 做着创新的工作，他们帮助公司在监管越发严 [email protected] 格的环境上取得商业突破，帮助公司一同进步 Jeremy Lim 与发展。为他们，我们献上祝贺。 Sales Executive (Indonesia) (65) 6870 3789 [email protected]

Sardor Yangibayev Sales Executive (Philippines, Thailand, Vietnam) (65) 6870 3190 [email protected]

DESIGNER Woncherian Wong 黄梓恒

TRAFFIC MANAGER Gloria Ng 吴傲宜

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2 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 欢迎加入ALB China公众微信平台搜索：汤森路透ALB 微信号：ALB_China BRIEFS THE GATES OPEN WIDER PENDING 中国进一步扩大金融业开放 As China accelerates the opening up of its China’s $45 trillion financial sector, global financial players are eyeing a share of the pie. However, lawyers say that while liberalization brings opportunities, it also leads to increased regulatory requirements. 随着中国进一步放开估值达45万亿美元的金融市场，全球金融机构都在拭目以待并开始摩拳擦掌。但同时律师们指出，金融开放带来时代机遇的同时也意味着趋严的监管要求。 BY INES YANG

In November we saw several foreign- percent over the next few years. Bank of China.” funded financial institutions entering China has been undertaking a series Fan Lei, a counsel, with FenXun, China’s finance sector, or increasing the of liberalization efforts in its finance adds: “Since foreign investors are unfa- size of the stakes in their joint ventures sector since early this year. In May, miliar with China’s regulatory environ- in that sector. CBIRC and CSRC issued implementing ment, and the way of work and culture On Nov. 30, the China Securities regulations on the relaxation of foreign of local regulators. They may need to Regulatory Commission (CSRC) investment in banking institutions, secu- spend extra efforts to accustom to the approved UBS’ application to increase rities companies, fund management new trends of regulation.” its shareholding in its securities joint companies, futures companies and The establishment of Allianz (China) venture in China - UBS Securities Co insurance brokerage firms. Insurance Holding Company Ltd can - from the current 24.99 percent to 51 provide of example of the experience percent, becoming the first foreign secu- PRUDENCE JUSTIFIED foreign companies can expect. The rities firm to take majority stake in a JV Since then, China has been following German firm was advised by Dentons in China. through with its promises by accelerating Shanghai, with the team led by senior On Nov. 23, the China Banking and its liberalization efforts to its finance partners Feng Chen, Junming Chen, Bin Insurance Regulatory Commission sector. Given the size of its financial Zhao, and partner Yan Zhao. (CBIRC) approved Allianz’s applica- sector ($45 trillion), even a sliver can be “As this is the very first foreign insurer to tion to begin setting up Allianz (China) lucrative. But many companies are still commence the establishment of a holding Insurance Holding Company Ltd, which taking a wait-and-see approach. company in China, there are no any prece- will become the first foreign-funded The prudence is perhaps justified, dence for our reference,” says Chen. “Our insurance holding company in China. says Jay Ruan, a counsel, with FenXun team did meet some practical obstacles Allianz chief executive Oliver Bate said in Partners in Shanghai. “Foreign financial and thorny issues in the application, for a statement that the move was a “signif- institutions need to be aware that liber- example, China’s current Insurance Group icant milestone” and the group expected alization also means increased regula- Management Regulations don’t apply to the holding company to be established tory requirements,” he says. “There are foreign applicants in China market, while in 2019. several trends worth noting: Firstly, the China’s current Foreign-funded Insurance On Nov. 9, the Chinese central bank regulators have imposed much stricter Management Regulations don’t stipulate approved a joint venture application requirements in terms of corporate relevant policies.” from American Express in China to governance for financial institutions. “Allianz’s move was indeed a milestone commence operational preparations for Secondly, Chinese financial regulators one, which provides a good sample for other a card-clearing institution in the country. have been gradually stepping up the foreign-funded insurers and other foreign Also on Oct. 12, CSRC approved JP requirements on real-name identification financial institutions as well. For those Morgan’s application seeking to set up of financial customers. Thirdly, the asset foreign-funded insurers that have their a new, fully-integrated securities firm, in management businesses of all kinds of presences in China for many years will which it would have a 51-percent stake, financial institutions are subject to more have more competitive advantages over eventually raising its ownership to 100 stringent requirements by the People’s the newcomers,” he adds.

4 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BRIEFS

11月，先后有数家外资金融机构进批筹建对其他外资金融机构具有重要典条例》等又没有涉及外资保险集团公司入中国市场，或通过增持实现合资公司范意义，该里程碑项目由大成（上海）的规定。” 控股。律师事务所提供法律服务。项目团队成 “安联保险集团获批筹建首家外资保险 11月30日，瑞银宣布中国证监会批准员包括高级合伙人陈峰律师、史俊明控股有限公司这个项目是有开创性意义其增持内地合资证券公司——瑞银证券律师、赵斌律师，以及合伙人朱艳律师的，也给其他希望扩大中国保险市场份有限责任公司，持股比例由24.99%增加等。额、为中国消费者和社会提供更好服至51%，瑞银成为首家通过增持控股合 “但正因为没有先例，在申请筹建过程务的外资金融公司提供了很好的示范资证券公司的外资金融机构。中我们也碰到了一些实际障碍和困难，” 效应。中国金融领域的进一步开放对 11月23日，中国银行保险监督管理大成（上海）律师事务所主任、高级合在中国的外资金融机构而言应该是一委员会批准德国安联保险集团筹建安联伙人陈峰律师说道，“比如申请筹建一家个非常大的机遇，这是时代的机遇，但（中国）保险控股有限公司，这是中国外资保险控股公司需要具备哪些条件？机遇也伴随着挑战，在中国布局早、具银保监会批准筹建的首家外资保险控股现行的保险法规，比如《保险集团公司有较强实力、依法合规经营、消费者和公司。安联首席执行官奥利弗·贝特在一管理办法(试行)》等主要针对境内投资社会美誉度高的在华外资金融机构在迎份声明中表示，此举是一个“重要的里程人申请新设或更名保险集团公司。而针接机遇的过程中会具有更高的优势。”陈碑”，预计该控股公司将于2019年在上海对外资保险公司的《外资保险公司管理律师指出。成立。 11月9日，中国人民银行审查通过美国运通在华合资公司银行卡清算机构筹备申请。 10月12日，中国证监会受理了摩根大通申请设立外商投资证券公司的申请材料，寻求建立一家持股比例为51%的证券公司，并计划未来数年内在监管允许的条件下将持股比例增加到100%。今年以来，中国在进一步扩大金融业开放方面推出了一系列新举措。5月，中国银行保险监督管理委员会（银保监会）及中国证券监督管理委员会（证监会）分别就外资银行市场准入、外商投资证券公司、外商投资基金管理公司、外商投资期货公司以及扩大外资保险经纪公司经营范围发布了实施细则。

需持审慎态度中国政府一直以来信守扩大金融领域对外开放的承诺。面对估值达45万亿美元的中国金融市场，对于外资金融机构来说，能分到其中的“一杯羹”都将是可观的利润，但一些外资金融机构仍持观望态度。奋迅上海的顾问阮振宇指出外国金融机构仍需持审慎态度，“对于外国金融机构来说，还是应要了解中国金融市场在进一步开放的同时也意味着监管要求的提升，监管方面呈现以下几方面趋势：首先，对于中资和外资金融机构的公司治理要求更加严格；第二，中国金融监管机构不断强化金融客户的实名制、身份识别和验证要求；第三，无论哪一类金融机构，资管业务都会受到中国人民银行非常严格的监管要求。” 奋迅上海的顾问樊磊补充道，“外资对中国的监管环境不是特别地熟悉，对中国监管做事的方法和监管文化也不是特别地习惯，因此外资机构需要花更大的努力去适应和学习中国新的监管趋势。” 安联（中国）保险控股有限公司获

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 5 BRIEFS DEALS交易 $21 BLN $3.2 BLN $3 BLN Softbank Telecom’s IPO II-VI’s proposed acquisition of Finisar PBOC’s first issuance of bonds through CMU BID 软银电信上市 II-VI拟收购Finisar 中国人民银行首次通过香港金融管理局债务工具中央结算系统债券投标平台发行票据 Deal Type: IPO Firms: Anderson Mori & Tomotsune; Davis Polk & Wardwell; Mori Hamada & Deal Type: M&A Deal Type: Securities Matsumoto; Sullivan & Cromwell Firm: Luthra & Luthra Firm: Linklaters Jurisdictions: Japan, U.S. Jurisdiction: India Jurisdictions: China, Hong Kong

交易类型：上市参与律所：安德森·毛利·友常律师事务所；美交易类型：并购交易类型：证券国达维律师事务所；森・滨田松本法律事务参与律所：Luthra & Luthra律师事务所参与律所：年利达律师事务所所；美国苏利文.克伦威尔律师事务所管辖地：印度管辖地：中国大陆、中国香港管辖地：日本、美国

$1.1 BLN $790 MLN $454 MLN Taiwan Cement’s joint venture with OYAK S.F. Holding’s acquisition of Deutsche CM Seven Star’s acquisition of Kaixin Post’s supply chain operations in Mainland Auto from Renren 台湾水泥与OYAK成立合资公司 China, Hong Kong and Macau 中民七星收购人人公司旗下开心汽车顺丰控股收购德国邮政敦豪集团在中国内地、 Deal Type: M&A 中国香港和中国澳门地区的供应链业务 Firms: Baker McKenzie; Hergüner Bilgen Deal Type: M&A Özeke; Sullivan & Cromwell Deal Type: M&A Firms: Simpson Thacher & Bartlett; Jurisdictions: Taiwan, Turkey Firm: Clifford Chance Skadden, Arps, Slate, Meagher & Flom Jurisdictions: China, Hong Kong, Macau, Jurisdictions: China, Hong Kong Germany 交易类型：并购交易类型：并购参与律所：贝克▪麦坚时律师事务交易类型：并购参与律所：美国盛信律师事务所；世达国际所；Hergüner Bilgen Özeke律师事务所；美国参与律所：高伟绅律师事务所律师事务所苏利文.克伦威尔律师事务所管辖地：中国大陆、中国香港、中国澳门、管辖地：台湾、土耳其管辖地：中国大陆、中国香港德国 $421 MLN $316 MLN Innovent Biologics’ Hong Kong IPO Qingdao Haier’s IPO on CEINEX 信达生物制药香港上市青岛海尔在中欧国际交易所发行D股

Deal Type: IPO Firms: Commerce and Finance Law Offices; Davis Polk & Wardwell; Deal Type: IPO Han Kun Law Offices; Maples and Calder; Skadden, Arps, Slate, Firms: Clifford Chance; Linklaters Meagher & Flom Jurisdictions: China, Germany Jurisdictions: China, Hong Kong 交易类型：并购参与律所：通商律师事务所；美国达维律师事务所；汉坤律交易类型：上市师事务所；迈普达律师事务所；世达国际律师事务所参与律所：高伟绅律师事务所；年利达律师事务所管辖地：中国大陆、中国香港管辖地：中国大陆、德国

6 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BRIEFS

LLINKS ENDS 3-YEAR HK ASSOCIATION WITH

VIVIEN TEU & CO 总部位于上海的通力律师事务所近日宣布终止与香港张慧雯律师事务所的联营关系，并与香港方纬谷律师事务所通力律师事务所结束与香港结为新的联营关系。今年4月以来，张慧雯律师事务所接张慧雯律师事务所的3年联营连人员流失，从14位律师减至2位：创始及管理合伙人张慧雯律师和高级律师孙凯宁。通力律师事务所在2015年4月设立香港办公室，张慧雯律师事务所在同月与通力律 Shanghai law firm Llinks Law “However, we decided to terminate 师事务所达成联营关系。通力律师事务所 Offices has ended its three-year-long the association as we found we no longer 表示，当时两家律所基于同样的愿景走到一 association with boutique Hong Kong shared the same vision,” said David Yu, 起，致力于为中国大陆和香港客户提供关于 law firm Vivien Teu & Co, and entered managing partner of Llinks. 基金、资产管理、上市、并购等业务的“一 into a new tie-up with Dennis Fong & Co. Dennis Fong, the new alliance firm, 站式”专业服务。 Following a string of departures, was formed after a five-lawyer team “我们近期决定结束这段联营关系，因为 Vivien Teu, which had 14 lawyers in April, led by Fong left Viven Teu & Co. Fong 双方在愿景出现分歧。”通力管理合伙人俞 now has just two: Founding partner specializes in IPOs, M&A and general 卫锋律师指出。 Vivien Teu and senior associate Christina corporate finance and commercial 原张慧雯律师事务所合伙人方纬谷及四 Suen. matters, which is in line with Llinks’ main 位律师离开张慧雯律师事务所后创建了方纬 Llinks and Vivien Teu established areas of practice in Hong Kong. 谷律师事务所。合伙人方纬谷的主要业务领域涵盖上市、并购、公司金融、商事等，与 their association in April 2015, shortly The firm now has nine lawyers, 通力在香港的业务定位颇为吻合。 after the Hong Kong firm was launched. including two partners. Managing 新联营所方纬谷律师事务所目前共有 Llinks said that back then the two firms partner David Yu said Dennis Fong was 9人，其中包含两位合伙人。管理合伙人 had the same vision of offering specialist on the lookout for partner and asso- 俞卫锋律师告诉ALB，方纬谷律师事务 and one-stop China and Hong Kong ciate-level hires in four practice areas: 所计划将在公司并购、资本市场、资产 legal services with a focus on funds, Corporate/M&A, capital markets, asset 管理、争议解决四个领域扩招合伙人和 asset management, IPOs and M&A. management and dispute resolution. 律师。

Beijing-headquartered Jingtian & Gongcheng has opened a new office in the city of Nanjing in Jiangsu Province, JINGTIAN & GONGCHENG its seventh office till date. Jingtian, which also has offices in Shanghai, Shenzhen, Chengdu, Tianjin, and Hong Kong, expects the Nanjing OPENS NEW OFFICE IN office to play an important role for work stemming from the Yangtze Delta region. The Nanjing office, which focuses NANJING on capital markets, M&A, cross-border investment, dispute resolution and 竞天公诚律师事务所南京 private equity, will have 40 to 50 fee- earners within three years, according to the firm. 分所正式开业 In December 2016, China opened its

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 7 BRIEFS

third Circuit Court of the Supreme People’s 竞天公诚律师事务所落户南京，南京分所成为竞天公诚在全国的第7家 Court in Nanjing. The court mainly handles 办公室。 major administrative, civil and commercial 继上海、深圳、成都、天津及香港设立办公室后，竞天公诚选择在南京开设 cases that must be heard by the SPC from the 分所是基于该所长期以来在资本市场领域的优势，在南京及江苏省内已经存 provinces of Jiangsu, Zhejiang, Jiangxi and 有较大数量的客户，设立分所有助其以更贴近的方式为本地客户服务。 Fujian, and Shanghai Municipality. “竞天公诚南京分所计划在未来两三年内发展到四十至五十人左右的人员规 Following that, a number of large Chinese 模，我们将依托全所的业务优势，统合全所资源，在资本市场、兼并收购、 firms have opened offices in Nanjing since last 海外投资、争议解决、私募股权投资等诸多专业领域为客户提供高效优质的服务。”竞天公诚告诉ALB。 year, including Tiantong & Partners, King & 2016年12月最高法院在南京设立了第三巡回法庭，处理江苏、浙江、江 Wood Mallesons, Hiways Law Firm, Zhong 西、福建、上海4省1市的重大跨行政区划案件和新型、疑难、复杂案件。 Lun Law Firm, Guantao Law Firm and King 自此，多家京沪律所陆续在南京开设分所，比如：天同、金杜、海华永泰、 & Capital Law Firm. Jincheng Tongda & Neal 中伦、观韬中茂、京都等等。据悉，金诚同达也正在紧密筹备南京办公室的 is expected to open an office soon as well. 开业。

总部位于北京的天同律师事务所东北总部（沈阳分所）正式开业，是天同在全国的第六家分所，亦是天同全国布 TIANTONG LAUNCHES 局的收官之战。沈阳办公室目前一共有3位合伙人、1位顾问、12位律师，主管合伙人为张小健律师。张律师2015年加入天同，历获年 PRESENCE IN NORTHEASTERN 度最佳诉讼律师、年度最佳案例荣誉。成为沈阳分所负责人之前，张律师曾在天同北京、天同深圳就职。另外两名高级合伙人分别是李壮律师和曲德刚律师。 CITY OF SHENYANG 天同成立于2002年，目前共有6家分所：南京、深圳、重庆、郑州、西安、沈阳，其中郑州、西安、沈阳分所均在天同律师事务所沈阳分所正式开业 2018年设立。 2015年1月至2016年12月，最高人民法院相继在深圳、沈阳、南京、郑州、重 Beijing-headquartered litiga- last three were all established this year. 庆、西安设立6个巡回法庭。巡回法庭 tion boutique Tiantong & Partners has The firm’s expansion has mirrored 是最高人民法院派出的常设审判机构， opened its sixth office in the city of the establishment of six circuit courts 代表最高人民法院行使审判权，其作出 Shenyang in the northeastern Liaoning by the Supreme People’s Court (SPC) 的判决、裁定和决定与最高人民法院本 Province. between 2015 and 2016 in the following 部作出的判决、裁定和决定法律效力相 The office has three partners, one cities: Shenzhen, Shenyang, Nanjing, 同。北京因此不再独享地缘优势，诉讼 counsel and twelve lawyers. It is led by Zhengzhou, Chongqing and Xi’an 业务市场的区域性特征凸显，区域性市 litigation expert Xiaojian Zhang, who respectively. These six courts have 场将形成新的竞争与合作格局。天同的 joined Tiantong Beijing in 2015 from served to take the load of the SPC, and 全国布局战略，正是对巡回法庭设置的快速反应。 Tiantong Shenzhen. The other two also boosted regional litigation markets. 除了地处最高人民法院第二巡回法庭所 partners are Zhuang Li and Degang Qu. Additionally, Shenyang offers law 在地，沈阳也是国务院批复确定的中国 Founded in 2002, Tiantong now firms potential for work as a result of 东北地区重要的中心城市、先进装备制 also has offices in Nanjing, Shenzhen, being a manufacturing and high-tech 造业基地和科技创新中心，这些均将给 Chongqing, Zhengzhou, and Xi’an. The innovation centre. . 律所带来更多法律业务。

8 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 作者 BROUGHT TO YOU BY RONLY & TENWEN PARTNERS

李淑娟李淑娟律师，上海融力天闻律师事务所专职律师，知识产权法领域专业律师，上海知识产权专家库成员，上海市律师协会知识产权研究会委马云涛员，中国知识产权研究会会员。马云涛律师毕业于华东政法李淑娟律师是一位成熟稳重、严谨专大学，法律硕士（知识产权）业的律师。在商标非诉讼业务如商标专业，从事知识产权领域法律商标描述性申请、商标转让、商标授权使用、商实务工作。非诉领域擅长商标标异议、商标复审等方面经验丰富。注册、续展、变更、转让、使商标诉讼有多年的工作经验。成功代用许可、商标驳回复审、商标理过众多涉及商标、专利及著作权的异议答辩、商标无效宣告、撤纠纷案件。同时擅长不正当竞争领域三、著作权登记、特许经营备合理使用问题之的法律服务。除知识产权诉讼与非诉案等；在诉讼领域擅长商标侵以外，李淑娟律师还擅长公司法及权诉讼，商标驳回复审行政诉商事相关领域，为上海的多家企业讼、商标无效宣告行政诉讼；法理探析及个人担任常年法律顾问。反不正当竞争诉讼等。近年来，作为商标侵权的抗辩事由，商标合理使用越发地成标专用权人的商标专用权，但不排除其构成不正当竞争或其为当事人摆脱商标侵权的救命稻草。商标合理使用，是指商标他侵权的可能性；而描述性合理使用是完全合法的，是对商权人以外的人在生产经营活动中以描述、指示的方式善意使标第一含义的使用，属于利用公共资源的范畴。用商标权人的商标而不构成侵犯商标专用权的行为。商标合 “普拉达有限公司诉陕西东方源投资发展有限公司侵害商标理使用的法律依据来源于我国《商标法》第59条之规定，其权”一案中，东方源公司在2012年8月29日的《华商报》上刊立法目的在于防止商标权人无限制的扩张商标权利，圈占公登有关东方国际中心房地产项目和推销店铺招租广告中，包共资源。根据商标的显著性理论，仅为商标的通用名称、图含“PRADA”文字和图案商标、企业字号，宣称“全球顶级奢侈形、型号或仅表示商品的质量、主要原料、功能等特点是无品牌进驻，引领国际奢侈生活潮流”等广告标语，普拉达公司法获得商标注册的，但由于商标第二含义的获得，使得这些认为东方源公司使用其注册商标和字号进行广告宣传，侵犯不能获得商标注册的元素成为可能。为平衡商标权人的商标其注册商标专用权，同时认为广告宣告有攀附普拉达公司商权与公共资源之间的关系，商标合理使用制度应运而生。誉的目的，属不正当竞争。而本案最终认为，东方源公司的描述性商标是用来描述商品的用途、大小、提供者、性行为属非商标性使用，不构成商标侵权，但构成不正当竞争质、使用者类别的商标，因为描述商品的商标不具有内在的行为。1显而易见，描述性合理使用与非商标性使用显然不能显著性，一般难以获得商标注册或保护。对特定的商品或服划等号，在描述性合理使用构成要件中，用“第一含义的使用” 务来说，描述性词汇是有限的，如果将有限的词汇注册成为取代“非商标性使用”更为合理。商标，一旦成为垄断资源，这就在无形中增加了竞争者的成善意的、合理的使用与恶意的、企图混淆商品或服务来源本。为保证描述性商标落入少数人手中，国外已经探索出界之间有着千丝万缕的联系，根据商标侵权理论，“混淆可能定描述性商标的判断标准。美国法院认为：“如果一个词汇性”是判断是否构成商标侵权的重要条件，我国司法实践中或词组直接传递了产品或服务的质量、特征、效果、用途或将“混淆可能性”理论作为商标侵权的关键性准则，而在描述者成份，将被认定为描述性词汇，并因此而不得作为排他性性合理使用状态下，消费者对商标“第一含义”与“第二含义” 商标”，从美国的司法实践来看，判断是否构成描述性商标的混淆肯定是存在的，而“可能性”一词显然降低了侵权的门的关键因素在于相关公众心目中该词汇与特定商品之间的关槛，因为“混淆可能”是以通常情形下不特定相关公众的一般系。欧盟也是从相关公众的理解和竞争对手的使用两个方面判断为前提，也就是说，如果个别消费者在个别情形下发生来判断特定词汇是否构成描述必词汇。了混淆，那么描述性的使用他人商标就构成了侵权，这显然我国司法实践中商标描述性使用的构成要件可以从以下几是不符合合理使用的初衷的，所以此处的混淆可能性应当是个方面归纳：（1）非商标性使用；（2）描述自己的产品；一个混淆程度的问题，也就是说描述性合理使用是允许存在（3）善意的、合理的使用。一定程度的混淆的，而这个程度如何把握，则是法官自由裁在商标侵权认定中，判断是否为描述性使用还是非商标性量的范畴了。使用对案件的定性至关重要。非商标性使用与描述性合理使用都是商标侵权的抗辩事由，但在司法实践中容易将两者混淆误用。非商标性使用与描述性合理使用的共同之处在于上海融力天闻律师事务所电话（Tel）：021-68407858 都没有发挥商标区分商品或服务来源的功能，都不具有识别传真(Fax)：021-68407599 性。非商标性使用虽没有指示商品或服务来源，没有侵犯商地址（Add）：上海市浦东新区世纪大道88号金茂大厦17层

1 案号：（2013）西民四初字第0022号 BRIEFS

DHH WATCHDOG CALLS FOR BANKS TO MEET ESTABLISHES PRIVATE SECTOR CREDIT DEMAND BRANCH IN TOKYO 银保监会：尽最大可能满足民企有效北京德和衡律师事务信贷需求

所东京代表处成立 China’s banking and insurance regulator is calling for banks to meet credit demand from private firms “to the greatest possible extent”, a well- Beijing DHH Law Firm has estab- known journal has said. lished a new office in Tokyo, to go Chinese banks are wary of a fresh spike in bad loans after years of pressure with the firm’s other overseas offices from regulators to reduce riskier lending and some entrepreneurs have begun in Washington, D.C., Seattle, St. questioning the effectiveness of Beijing’s policies. Petersburg, Toronto, Sydney, Singapore “(Banks) should satisfy the effective credit demand from enterprises to the and Hong Kong. maximum extent,” the party committee of the regulator wrote in the journal DHH, selected by China’s Ministry of Qiushi, or Seeking Truth. Commerce as a “Legal Service Provider Banks should not apply a one-size-fits-all approach to withholding loans, while for International Investments,” said providing financing to private enterprises with low debt ratios and robust risk the opening of the office was due to controls, Qiushi said, adding that lenders should help firms whose liquidity increasing demands from clients looking has been hit by trade tensions with the United States. to invest in Japan. There has been speculation that Beijing is giving less importance to the private “The Tokyo office will serve as a bridge sector, which accounts for 60 percent of China’s gross domestic product and that facilitates the understanding and 80 percent of urban jobs. cooperation between Deheng Law Group Chinese president Xi Jinping said such comments were “wrong” and “one- and local law firms and other institu- sided” and regulators have since pledged more funding support to cash tions, aiming to provide a comprehen- strapped private firms. sive range of services to both Chinese However, corporate credit demand remained subdued as loans tumbled to and Japanese clients,” the firm said in 150.3 billion yuan in October from 677.2 billion yuan a month earlier. a statement. China’s policymakers are expected to further loosen fiscal and monetary conditions in coming months if domestic and external demand deteriorate further, with economists largely expecting conditions to get worse before 北京德和衡律师事务所在东京的代 they get better. 表处正式设立，该代表处的设立是德衡律师集团继在华盛顿DC、西雅图、莫斯科、圣彼得堡、多伦多、悉尼、新加据相关报道显示，中国银保监会指出要尽最大可能满足民企的有效信贷需求。坡、香港等地相继设立海外分支机构之在监管机构多年来对银行施加压力、要求减少风险较高的贷款后，中国的银行对后律师业务国际化的又一重大举措。不良贷款的再度飙升感到担忧，一些企业家已开始质疑主管部门政策的有效性。作为商务部首期“国际投资法律服务” “（银行）应最大限度满足企业有效信贷需求，”银保监会党委在《求是》杂志上入库律师所，北京德和衡律师事务所表写道。示，东京代表处的设立正是基于日益强银行既要避免“一刀切”的惜贷，也要避免“一哄而上”的送贷。《求是》文章指出，烈的境内客户对到日本投资的需求，东银行应帮助那些因美国贸易紧张而陷入流动性困境的企业。京代表处也将有效地为这些客户提供更民营经济目前占到中国国民生产总值的60%，贡献80%的城市就业岗位，但有猜为优质便捷的法律服务。测说，政府对民营经济的重视程度将有所下降。 “东京代表处的设立必将进一步增进德中国国家主席习近平表示，任何这样的论调都是“错误的”、“片面的”，监管机构将衡律师集团与日本律所及相关机构在各确保给资金紧张的民营企业提供更多资金支持。个层面的信息交流和业务合作，更好地此外，企业信贷低迷，10月贷款从一个月前的7772亿元降至1503亿元。为中日客户提供全方位的服务。”北京德经济学家普遍预计，情况在好转之前将会变得更糟。国内外需求如果进一步恶和衡在新闻稿中谈到。化，中国的政策制定者预计将在未来几个月进一步放松财政和货币政策。

10 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BROUGHT TO YOU BY GRANDWAY LAW OFFICES

作者

赵耀（律师） E: [email protected] T: 86 10 8800 4488 F: 86 10 6609 0016

上市公司控制权协议转让的基本要求及交易方案设计

在IPO审核从严和金融去杠杆的大环境下，2018年上市公司控二、标的股份不得存在限制转让的情形制权转让持续升温。本文根据相关规定梳理上市公司控制权协议标的股份不得存在尚未了结的诉讼、仲裁、其他争议或者转让的基本要求，并参考相关案例分析其交易方案，以期为类似被司法冻结等权利受限的情形，该等权利受限的情形或导致项目的交易方案设计提供参考。标的股份权属存在争议，或导致标的股份客观上无法转让，均构成标的股份转让的障碍。一、标的股份原则上应为无限售条件流通股此外，关于标的股份质押问题。标的股份质押并不必然构根据交易所《上市公司股份协议转让业务办理指引》等规成股份转让的障碍，但须取得质权人的同意且股份转让款定，除法律、行政法规、部门规章、规范性文件以及交易所业应向质权人提前清偿债务或提存。实务操作层面，一般约务规则另有规定外（如同一控制下不同主体之间的转让可以申定将首笔股份转让款用作偿还债权人债务，解除质押后再请豁免），标的股份应为无限售条件流通股。行转让。（一）关于锁定期内同一控制下转让的豁免尽管《上市公司收购管理办法》明确规定收购人在被收购公三、控制权转让不得违反增持、减持等承诺司中拥有权益的股份在同一控制下不同主体之间进行转让不控制权转让不得违反转让双方或者任何一方作出的承诺（受12个月锁定期的限制，但是实务层面通过申请豁免并取得如被收购方曾作出的增持、减持承诺），否则交易所将不予交易所合规确认的案例较少，且通常为国资背景、无偿划转受理甚至相关方可能面临被采取监管措施或处罚的风险。如等情形，如中原环保（000544.SZ）。其他类型项目亦存在梦舟股份（600255.SH）控制权转让中，因违反增持承诺被证锁定期内同一控制下转让豁免的案例，如京蓝科技（000711. 监局采取出具警示函的监管措施并记入诚信档案。 SZ）发行股份购买资产、华北制药（600812.SH）非公开发若被收购方曾经作出增持、减持承诺尚未履行完毕，可根行股票后相关股份于锁定期内在同一控制下的主体之间进行据《上市公司监管指引第4号——上市公司实际控制人、股转让。东、关联方、收购人以及上市公司承诺及履行》的规定，由笔者认为在符合豁免相关规定及交易所监管要求的条件下，承诺相关方向上市公司或其他投资者提出用新承诺替代原实务层面上市公司控制权转让中锁定期内同一控制下的转让有承诺或者提出豁免履行承诺义务，如中电电机（603988. 应被允许。该等规定和要求主要包括：确属同一控制下的转 SH）。该等豁免应履行一定的程序，如董事会审议、独立董让，不会导致实际控制人的变更；不得通过持股结构调整损事和监事会发表意见、股东大会审议且需非关联股东表决通害上市公司及投资者利益；转让具备合理性，如非减免税收过等。之目的；符合相关程序性要求，如对于被收购方相关承诺的承继、独立董事及监事会发表合规意见、律师及财务顾问出四、上市公司控制权协议转让的其他要求具法律意见与核查意见等。上市公司控制权协议转让的其他要求主要包括以下方面：（二）控制权与表决权委托单个受让方的受让比例原则上不低于上市公司股份总数的5% 如上所述，标的股份原则上应为无限售条件流通股，但实务；股份转让价格不低于转让协议签署日（上交所）或前一层面经常面临符合转让条件的无限售条件流通股数量无法确交易日（深交所）二级市场收盘价的90%；应当经行政审批保收购方控制权的问题，该等情况下一般通过无限售条件流方可进行的协议转让已获得有关部门的批准，如国资部门审直接转让、限售股对应的表决权委托收购方行使的方式实现批，外国投资者战略投资审批或备案，银行、证券、保险等控制上市公司的目的，如扬子新材（002652.SZ）。为避免特定行业主管部门审批；应当申请豁免要约收购的已经取得触发全面要约收购义务（收购30%以上股份），在前述方案豁免；不构成短线交易；依法合规履行信息披露义务等。仍不能确保收购方控制权的情况下，部分案例亦同时采用被收购方放弃表决权的方式，如开能环保（300272.SZ）。笔总体而言，上市公司控制权转让存在若干要求和限制，各者不鼓励首先采用表决权委托或表决权放弃的方式，但特殊方主体应严格遵守相关规定，同时相关案例亦存在个性化的情形下也不失为一种解决方案。交易方案，值得参考和借鉴。 BRIEFS

Investors look at computer screens showing stock information at a brokerage house in Shanghai, China September 7, 2018. REUTERS/Aly Song

投机者正在中国股市上演强势反弹，随着监管机构放松对交易、融资和借壳上市的规定以支撑陷入困境的股 U-TURN ON MARKET CURBS 市，他们推高了亏损企业的股价。为了阻止中国在2015年至2016年经历的市场崩溃，有关部门正在敦促基金投资现金短缺的公司，并鼓励其他公司 BRINGS BACK THE SPECULATORS 进行并购。这些措施标志着两三年前出台的限制性更强的限制措施出现了逆转，这些限市场调控政策180度大转弯让投制措施旨在防止上一次引发股市大跌的繁荣与萧条周期重演。不过，这些放宽措施已使得针对可能机者卷土重来收购目标的投机性押注和小盘股交易即刻激增。对一些人来说，这些举措只是清除了 Speculators are staging a forceful crackdown on market manipulation and 不必要的监管干预，这些干预抑制了稳 comeback in China’s stock market, insider trading. 健和开放的资本市场。但对另一些人来 bidding up shares in loss-making However, a pledge by China’s top 说，新政策是一种危险的“浮士德交易”， companies as regulators ease rules securities regulator on Oct. 19 to boost 以牺牲可持续估值为代价，换取短期稳 around trading, fundraising and market confidence through a series of 定。 backdoor listings to prop up struggling measures has prompted a rapid return “目前，所有应急措施都是在对付魔 bourses. of the punters. 鬼，”WWAM的合伙人Yuan Yuwei说 In a bid to stop the kind of market An index tracking so-called “Special 到。恳求投机者来拯救市场会带来大麻 meltdown China saw in 2015-16, author- Treatment”, or ST, stocks - loss-making 烦，他补充道。在过去的一年中，由于对市场操纵和 ities are urging funds to invest in cash- companies that involve high risks or are 内幕交易的严厉打击，投机者在很大程 strapped companies and encouraging candidates for possible delisting - has 度上处于低迷状态。 others to do mergers and acquisitions surged over 30 percent since Oct 19. 然后，10月19日中国证券监督管理委 (M&As). That compares with a mere 3 percent 员会承诺将通过一系列措施提振市场信 The measures mark a reversal of the rise in the CSI300 index, whose blue-chip 心，促使投资者迅速回笼。 more restrictive curbs introduced two to constituents were market darlings last 自10月19日以来，追踪所谓“特殊 three years ago, which were designed to year. 待遇”（ST）股票的指数已飙升逾30% prevent a repeat of the boom-and-bust Money is also pouring into companies 。ST指代高风险或者可能退市的亏损公 cycle that triggered the last major rout. that speculators think might become 司。 The relaxations, however, have acquisition targets for backdoor listings, 投机者认为，这些公司可能成为借壳 resulted in an immediate surge in spec- dubbed “shell companies”. 上市公司的收购目标，这些公司被成为“ 空壳公司”。 ulative bets on possible acquisition One company that appears to 恒立实业发展集团股份有限公司似 targets and trading in small-cap shares. have benefited is Hengli Industrial 乎从中受益，其股价在过去三周涨了三 For some, the moves simply clear Development Group Co), whose share 倍，因投资者押注该公司可能被收购。 unnecessary regulatory interference price tripled over the past three weeks as 这家汽车空调制造商多次警告称，价 that inhibits robust and open capital investors bet on a possible acquisition. 格飙升有违基本面，但投机者对此置之 markets. But for others, the new policies Speculators have ignored repeated 不理。 are a dangerous “Faustian Bargain” warnings by the automotive air condi- 根据目前的盈利能力和估值，购买该 that delivers short-term stability at the tioner maker, who said the price surge 公司股票的投资者需要等待2800年才能 expense of sustainable valuations. defied fundamentals. 通过支付股息收回投资。恒立实业的一 “Currently, all the emergency Based on current profitability and 位投资官员拒绝置评，称该公司没有任 measures are deals with the devil,” said valuation, investors buying the stock 何未披露的信息。投机者也纷纷涌入长生生物科技股份 Yuan Yuwei, partner at Water Wisdom would need to wait 2,800 years to 有限公司，该公司正处于一场全国性疫 Asset Management. Imploring specula- recoup investment through dividend 苗安全丑闻的漩涡中，面临退市风险。 tors to rescue the market could set the payments. An investor relations official 作为“特殊待遇”的股票，长生证券周 stage for trouble, he added. at Hengli declined to comment, saying 四连续第六个交易日上涨5%，尽管深圳 Over the past year, speculators have the company had no undisclosed infor- 证券交易所表示投资者面临风险。记者 largely laid low due to a relentless mation. 未能联系到长生置评。

12 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BROUGHT TO YOU BY COMMERCE & FINANCE LAW OFFICES

作者《关于学前教育深化改革张蒙，合伙人电话：13910668700 电子邮件：[email protected] 规范发展的若干意见》张蒙律师简介张蒙律师2006年毕业于南开大学，获国际法学硕士学位。张蒙律师于2006年7月加入北京通商律师事务所，至今已从事律师业务十二年，主要从事境内企业境外上对学前教育行业资本化运市、证券、公司、兼收并购等方面的法律业务。张蒙律师曾参与诸多教育和互联网企业的私募股权融资、兼并作影响评析收购和境外上市项目，并积累了丰富的执业经验。

一、学前教育新政立法程序方能正式生效的《外国投资法》（草案）则显露其相 2018年11月15日晚，新华社授权发布了《中共中央国务对平稳性。院关于学前教育深化改革规范发展的若干意见》（“《若干意见》”）。《若干意见》分为九个部分并分为三十五条重大政三、《若干意见》后续展望策举措来保障“2020年学前三年的毛入园率要达到85%，普惠政策导向性调整势必对行业企业和资本流向产生影响，甚至性幼儿园覆盖率达到80%，并到2035年全面普及学前三年教造成相关行业上市公司的股价和估值波动，影响和转移资本对育，建成覆盖城乡、布局合理的学前教育公共服务体系”的发相关行业的关注度，影响和波动的大小则取决于政策性文件发展目标和中长期目标的实现。作为第一份以中共中央和国务布部门级别、所涉行业影响面、行业主管部门实际操作中的执院名义印发的关于学前教育工作的文件，《若干意见》中关行力度。如2018年11月28日教育部《若干意见》解读新闻发于“民办园一律不准单独或作为一部分资产打包上市。上市公布会上所传递的信息，“教育部和金融监管部门将联合出手完善司不得通过股票市场融资投资营利性幼儿园，不得通过发行有关的制度措施对“过度逐利”行为进行专项治理”，并“针对不同股份或支付现金等方式购买营利性幼儿园资产”的规定引发了的情况按照《若干意见》的要求分类提出一些治理的要求”。为拥有幼儿园资产或涉足幼教产业的境内外上市公司股价的不此，可以合理预期的是，《若干意见》，作为第一份以中共中同程度下挫。结合今年 8月《民办教育促进法实施条例（修订央和国务院名义印发的专门针对学前教育工作的文件，将在近草案）（送审稿）》（“《实施条例送审稿》”）中关于协议控几年内对学前教育领域产生深刻影响，而将来如何执行、政策制(VIE)和集团化办学等相关内容的规定引发的多家港股教育如何变化还需拭目以待。上市公司股价大幅下跌和市值缩水情况，资本市场对未来几然而，营利性幼儿园存在的正当性和合理性并没有被《若干年内学前教育行业资本化的前景持谨慎态度。意见》否定。如教育部《若干意见》解读新闻发布会上上所传递的信息，“办园结构和资源供给既要充分满足人民群众对普惠二、政策性文件对资本市场之影响性学前教育的强烈愿望，又要满足一些家长多样化的选择性需纵观过往的资本市场，类似的政策性文件对资本市场（尤求”，而营利幼儿园的存在能够满足接受不同学前教育的愿望要其是境内企业境外证券市场融资）的影响并不鲜见。例如求。进言之，营利性幼儿园在市场经济体制下来看一定是和资 2009年出台的《关于贯彻落实国务院<三定”规定>和中央编本市场相联系的，资本的注入会带来系统化的管理、先进的教办有关解释，进一步加强网络游戏前置审批和进口网络游戏学理念和设施及满足高净值人群对子女学前教育的个性化教育审批管理的通知》（“《网络游戏审批管理通知》”）中关于禁要求。止外商通过协议控制从事网络游戏运营业务的规定，使境内在此过程中，满足家长选择性需求、内部财务、会计和资产网络游戏企业谋求境外上市的脚步大大放慢，直至2013年下管理制度健全、经营合规、不越红线和底线的营利性幼儿园能半年方有云游控股（HK:00484）和博雅互动（HK:00434）否摆脱“过分逐利化” 的标签和误读，并在资本市场有所作为，等网络游戏企业登陆香港资本市场。在Fintech领域，2017年则取决于《若干意见》规定的学前教育发展目标和中长期目标底出台《关于规范整顿“现金贷”业务的通知》（“141号文”）的具体实现情况及行业主管部门届时对营利性幼儿园发展的监和《关于做好P2P网络借贷风险专项整治整改验收工作的通管态度，并需要包括证券行业人士和专业律师在内的专业机构知》不仅波及当时已境外上市的Fintech企业，而且多数已提具体问题具体分析，做出智慧解读和操作，于看似严苛锁死的交上市申请文件的Fintech企业的上市进程也因相关境内金融规定中找到解释空间。监管部门开展的合规性整治和境外证券监管机构的重点问询不得不延后，141号文后上市的Fintech企业的融资金额和股价表现也不尽如人意。前述政策性文件之所以会引发资本市场波动，在于其字里地址：建国门外大街甲12号新华保险大厦6层中国北京 100022 行间体现出的政策性导向及监管部门后续依据政策性文件确 6F NCI Tower, A12 Jianguomenwai Avenue 定的原则和方向出台的行业合规整改措施，在一定程度上增 Beijing, P.R. China 100022 电话 Tel: (86) 10 6569 3399 加了信息不对称，压缩了资本市场消化和吸收其影响和冲击传真 Fax: (86) 10 6569 3838 的时间和空间。反而，就对资本市场影响而言，需依据整套网址 Web: www.tongshang.com BRIEFS

Speculators have also piled into to issue additional shares more 市场润滑？ Changsheng Bio-technology, the frequently, and for broader use. 2013年至2015年间，宽松的监管环境 company at the center of a nationwide Easier fundraising enables 促成了并购交易和私募配股的繁荣，也导 vaccine safety scandal that faces the risk indebted firms to pay debts and 致了不计后果的扩张、定价过高的交易、 of delisting. expedite M&As. Also fuelling invest- 泡沫汹涌的股价，以及企业账面上堆积如 A “special treatment” stock, ment flows are expectations the 山的膨胀商誉。在2015年至2016年股市崩盘之后，中 Changsheng rose the maximum 5 central bank will loosen the monetary 国证监会加强了对股票发行和并购交易的 percent on Thursday for the sixth consec- spigot by cutting interest rates. 严格审查，以防止投机性头寸迅速积累。 utive session, despite the Shenzhen However, Yuan, of Water Wisdom, 然而，监管机构最近几周的举措逆转了 Stock Exchange flagging risks to said that relaxing rules to prop up 这些限制。10月19日，中国证监会表示已 investors. Changsheng could not be companies that might otherwise fail 经启动了并购交易的快速审批程序。次日 reached for a comment. is a concession to interest groups 表示，将支持那些首次公开募股申请被拒 and a sign the government has been 绝的公司借壳上市。 MARKET LUBRICATION? “kidnapped by populism”. 上周，中国证监会修订了相关规定，允 Between 2013 and 2015, lax regula- Shen Weizhen, a fund manager at 许上市公司更频繁地增发股票并扩大发行 tion contributed to a boom in M&As and LC Securities, said the moves skewed 范围。 private share placements, which led to market behavior. 更便利的融资使得负债公司能偿还债务并加速并购，另一个推动投资流动的因素 reckless expansion, overpriced deals, “If buying garbage companies can 是市场预期中国人民银行将通过降息来增 bubbly stock prices and mountains of make a lot of money ... who would be 加货币供应量。 inflated goodwill sitting on companies’ interested in blue-chips any more?” 然而，WWAM的Yuan谈到，放松对可 books. For now, market authorities appear 能会倒闭的企业的扶持规定是对利益集团 Following the crash of 2015-16, the more worried about falling share prices 的让步，也是政府“被民粹主义绑架”的一 China Securities Regulatory Commission than a new speculative bubble. 个迹象。 tightened scrutiny of share sales and The Shanghai Stock Exchange said on LC证券的基金经理Shen Weizhen认 M&As to prevent the rapid buildup of Nov. 2 that it would seek to avoid inter- 为，此举扭曲了市场行为。 speculative positions. fering with trading, and vowed to largely “如果收购垃圾公司就能盘满钵满，谁 The regulator’s moves in recent refrain from restrictive measures such 还会对蓝筹股感兴趣？” weeks, however, reverse these curbs. On as suspending trading accounts. CSRC 目前，市场当局似乎更担心股价下跌，而不是新的投机泡沫。 Oct. 19, the CSRC said it had initiated said on Oct. 30 it would reduce “unnec- 上海证券交易所11月2日表示将寻求避 fast-track approvals for M&A deals. essary intervention” in the market. Retail 免干预交易，并誓言在很大程度上不采取 The next day, it said it would support investor Wu Beicheng said he welcomed 暂停交易账户等限制性措施。中国证监会 backdoor listings by companies what he saw as “corrective” measures by 10月30日表示，将减少对市场的“不必要 whose applications for initial public the government. 干预”。散户投资者Wu Beicheng表示，他 offerings (IPO) are rejected. “Speculation is the lubricant of the 对政府采取的“纠正”措施表示欢迎。 And last week, the CSRC revised market,” he said. “Without speculation, “投机是市场的润滑剂，”他说。“没有投 regulations to allow listed firms the market would be lifeless.” 机，市场将毫无生气。

China’s coastal province of Zhejiang, home to e-commerce giant Alibaba, has pledged more than $17 billion to drive the ZHEJIANG PROVINCE tech industry and innovation in the coming five years, news agency Xinhua reported. The plan comes at a time when central and local governments around China are taking increasing steps to boost the strug- PLEDGES BILLIONS TO gling private sector and enhance the competitiveness of the country’s home-grown technology firms. Xinhua said Zhejiang’s provincial, municipal and county-level DRIVE TECH, INNOVATION governments would spend 120 billion yuan ($17.5 billion) in the next five years to “boost up high-tech and internet companies 浙江省承诺投入数十亿 as well as medical research and development”. “We will also guide social capital and financial institutions to 美元推动科技创新 invest around 290 billion yuan,” the news agency quoted Gao

14 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BRIEFS

Yingzhong, head of the provincial Science 据新华社报道，电商巨头阿里巴巴所在的浙江省，承诺在未来 and Technology Department, as saying. 五年内投入170多亿美元，推送科技产业和创新。 “The total investment on research and 该规划出台之际，中央政府和地方政府正加大措施力度提振陷入 development (R&D) is expected to reach 困境的民营经济，增强中国本土科技公司的竞争力。 around 900 billion yuan.” 新华社称，浙江省、市、县级政府将在未来五年投入1200亿元（ As part of the plan, the province intro- 约合175亿美元），用来“大力发展高新技术、互联网企业和医药研 duced 50 measures to boost the tech sector, 发”。 “我们还将引导社会资本和金融机构投资2900亿元左右，”新华社 Xinhua said, including increasing the ratio 援引浙江省科学技术厅厅长高鹰忠的话说。 of R&D spending in provincial GDP, culti- “研发总投资预计达到9000亿元左右。” vating leading innovators and increasing 新华社称，作为规划的一部分，该省出台了50项措施来促进科技 patent numbers. 行业的发展，包括提高研发支出在全省国民生产总值中的比重，培养 Private businesses made up nearly two- 创新领军人才，以及增加专利数量。 thirds of the provincial economy in 2017, 新华社援引当地统计数据称，2017年民营经济占全省经济的近三 Xinhua said, citing local statistics. 分之二。

APPOINTMENTS 律师转所信息

LATERAL HIRES 横向招聘

Yanghui Cao Guogang Li Ling Huang Peter Chen 曹阳辉李国刚黄玲陈昭明 Leaving 原就职律所 Leaving 原就职律所 Leaving 原就职律所 Leaving 原就职律所 Wang Jing & Co White & Case Cleary Gottlieb Steen & Hamilton Shearman & Sterling 敬海律师事务所美国伟凯律师事务所美国佳利律师事务所谢尔曼·思特灵律师事务所 Joining 现就职律所 Joining 现就职律所 Joining 现就职律所 Joining 现就职律所 JunHe LLP Tahota Law Firm King & Wood Mallesons Fangda Partners 君合律师事务所泰和泰律师事务所金杜律师事务所方达律师事务所 Practice 业务领域 Practice 业务领域 Practice 业务领域 Practice 业务领域 Dispute Resolution International Trade Cross-border M&A, Corporate, M&A 争议解决国际贸易 Corporate 公司、并购 Location 地点 Location 地点跨境并购，公司 Location 地点 Guangzhou Beijing Location 地点 Hong Kong 广州北京 Beijing 香港北京

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LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 15 COVER STORY

China’s top in-house teams hail 中国十五佳公司法务团队 from different industries such as automotive, real estate, finance and tech. What unites them is the value they provide 2018 to their companies. 中国十五佳公司法务团队来自不 ALB 同领域：汽车、房地产、金融、科技。这些优秀法务团队走到一起的共性是他们为公司发展创造 CHINA 的价值。

TOP 15 BY INES YANG In-house legal and external counsel are often put together for a comparison. There’re many discussions about where to draw the thin line between their roles and responsibilities. The past several years saw a big progress on both sides via their cooperation: external counsel is IN-HOUSE more specialized and in-house legal is doing increasingly significant work too. This year’s ranking table shows that top in-house teams coming from many different industries including auto, finance, real estate, technology, internet, and energy. We also learnt from the ranking table in the past four years that Beijing and Shanghai-based in-house teams TEAMS have been taking the majority, following by Shenzhen-based in-house. One third of winners were from Shenzhen last year. It’s interesting to learn that the top 15 teams share many commons on their priority lists in

METHODOLOGY 评选方法

This September, ALB invited China-based enterprises’ in-house teams to submit 今年9月，ALB邀请了数百家在华企业的法务团队，就过去一年 self-evaluation forms of their work and achievements in the past 12 months. Based on the received responses, the ALB research team then carefully selected the top 15 来本团队的工作和成绩进行自评。根据收到的自评情况，ALB among them basis the following criteria: 研究团队随后按照以下标准从中仔细甄选出十五佳团队： a) Involvement in and completion of significant transactions/projects; being a direct a) 参与及完成的重要交易/项目；直接为公司的发展或利润做 contributor to the company’s growth or profit 出贡献 b) Arbitration/lawsuits won, and thus having saved the company from financial or reputational loss b) 赢得的仲裁/诉讼，从而保护公司免遭财务或声誉损失 c) Innovative and in-depth involvement in the company’s operations and promotion c) 以创新方式深度参与公司运营，促进合规水平提升 of compliance d) 根据团队规模考察工作的多样性和复杂性 d) Efficiency and complexity of work based on the scale of the team e) 其他成绩（如在教育、公益法律服务、慈善事业等方面的 e) Other accomplishments/activities (i.e. educational, pro bono, charitable, etc.) 成绩）

16 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 COVER STORY

the past 12 months. They spent more lucky to participate in the whole process 企业法务与外部律师常被放到一 efforts in building and improving their from the setting up of the Joint Venture 块比较，双方关系有时像“欢喜冤家”：互 internal compliance mechanism, they by SCIA Motor and Alibaba Group in 相需要却也互相“审视”——前者是刚需， aim to create value via their legal work 2015 driven by our shared vision for 后者透着对彼此的期待。近些年来，企 for the company, they prioritize intel- internet cars in China, to the intro- 业法务与外部律师在合作中不断磨合也 lectual property management among duction of the other investors, such as 不断共同进步：外部律师专业更精进的同 others, they boost their cross-border Yunfeng Capital, Shangqi Capital etc. 时，企业法务也越来越独当一面。从今年ALB中国十五佳公司法务团队 capabilities by extending their teams in this September, and get to know the overseas, and they employ more on tech- 榜单中可以看出，优秀法务团队深耕在 first-hand knowledge of IoT where every- 多个不同领域：汽车、金融、房地产、科 nology and explore data compliance. thing is connected—your smartphone 技、互联网、能源等。近四年ALB榜单显 We also notice a trend that in-house with your car, your car with your home, 示，北京、上海的企业法务团队仍占多 teams with a scale tend to run more and your home with your phone. This 数，其次是深圳，去年共有5家法务团队 like an “independent law firm”. The rise deal marks SCIA’s first try in internet cars 上榜。 of the in-house side, in both competence and its ambition in leading the change.” 通过采访我们发现，十五佳公司法务 and performance, helps themselves under- Say GC Zhou from SCIA Motor. 团队普遍具备五大共性：一、高度重视内 stand better their roles and responsibilities, Its 11-people team is concise but plays 部合规管理制度的搭建与完善；二、强调 and manage well their expectations from an essential role in SCIA’s strategic devel- 法务工作应为公司创造价值；三、知识产 external counsels. opments. In the past 12 months, Zhou led 权管理被视为重中之重；四、海外法务团 In this article, we approach several the team achieved many big deals and 队的搭建稳步夯实；五、技术的运用以及大数据合规方面持续探索。同时，我们也 winners to ask them to share what deals projects such as the acquisition of Halol 注意到法务团队人员规模越大，架构安排 impressed them most in the past 12 months plant in India as GM exits, the setting 上越趋向企业内部的“独立律所”靠近。法 thus gaining an insight into how legal busi- up of the development centre in Israel, 务团队战斗力大幅提升的同时，他们对自 nesses are active in those industries they the settlement of SAIC’s new passenger 身的职责定位与发展方向、对于与外部律 represent, how amazing they performed in vehicle base in Zhengzhou and Ningde 师的角色分工和合作期待，都更加清晰明 those big deals, and what made them with its own brand, heavy investment 确。 as China’s top in-house teams. into lithium batteries, forming leasing 因篇幅有限，我们深度采访了部分十 joint venture in China and Indonesia with 五佳法务团队，通过了解过去12个月中 GM Financial, etc. 他们最愿分享的重大项目获知他们身处 Internally, the team has set up its 的这个行业法律事务的活跃度，以及作 AUTOMOTIVE compliance management system with 为公司法务他们在这些重大项目中的担 a focus on anti-trust, export control 当和取得成就的高度。 and data protection. It also compiled 汽车 Three winners this year are from the a SCIA typical cases collection by 今年汽车行业获奖的企业法务团队共 automotive industry, including SCIA drawing the experiences of its more 有三家，分别是：上海汽车集团股份有限 Motor, Beijing Automotive Group Co.. than 600 affiliated companies in their 公司、北京汽车集团有限公司、戴姆勒大 Ltd, and Daimler Greater China Ltd. Both encounters with innovation challenges 中华区投资有限公司。上汽和北汽今年首 SCIA and Beijing Auto are on the list for all these years, covering the areas from 次入榜，戴姆勒连续两年位列榜单。 the first time, while Daimler secures its IP, corporate governance, product 上汽2001年组建了法务团队，目前总 place for the consecutive two years. quality, to employment disputes, etc. 人数为11人，发展17年来完成多起大型 Take SCIA Motor as an example. This is highly recognized by Shanghai 复杂的国内外重大交易，仅就过去的12个 Its in-house team was set up in 2001 SASAC. 月来看：上汽法务团队在今年9月主导的 and now develops into 11 people under SCIA, which accounts for more than 上汽与阿里巴巴集团合资的斑马网络完成 the leadership of General Counsel Qi a quarter of China’s auto sales, covers 了超16亿元的首轮融资，使得斑马网络成 Zhou. The team assisted the company all the car-manufacturing industrial 功晋级“独角兽”企业。 “从2015年上汽和阿里巴巴集团看准中 in many large and complicated deals chain. The in-house team assisted SCIA and projects. In the past 12 months, 国智能网联汽车发展机遇从而合资设立 through all these areas in reaching its 斑马网络，到今年9月帮助斑马网络首 the team led Alibaba-backed Banma strategic goals by providing compre- 轮引入国投创新、云锋基金、尚欣资本 Technologies, a China-based Internet hensive legal support for all the innova- 等投资人，作为项目主要负责人之一， car solution provider, to have success- tions amid its rocketing development. 我有幸全程经历了‘汽车+互联网’的跨界 fully raised over RMB 1.6 billion in first Zhou made a metaphor about the 融合创新，这也是上汽集团全力推动自 financing round. role of in-house teams, “if we compare 主创新、促进互联网技术和汽车产业深 “As one of the project leaders, I was the company as a car, in-house teams 度融合的最新成果，标志着上汽集团发

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LIST OF WINNERS 获奖名单 function like the car’s navigator but not simply a break.” According to Zhou, this Winners are listed below by their company names in alphabetical order. lies the biggest challenge for in-house 以下获奖名单按公司名称首字母排序。 teams, that is not just alerting “not to Top In-House Teams Team Members Location do” from the perspective of risk preven- 十五佳公司法务团队法务团队人数法务团队所在地 tion and control, but also guiding the business development people “how Legal Department of Agile Group Holdings Lim- Guangzhou ited Company 69 to do” with the calculated risks, which 广州雅居乐集团控股有限公司法务部 combines risk control, business devel- Hangzhou, Chengdu, opment, and value creation into one. Beijing, Shanghai, Legal & Compliance Department of Ant Financial Hong Kong, Singapore, Services Group 215 London, SVSE. 蚂蚁金服集团法务合规部杭州、成都、北京、上海、香港、新加坡、英国伦敦、美国硅谷 FINANCE Legal and Compliance Department of Beijing Beijing Automotive Group Co.，Ltd．北京汽车集团有限 200余人北京 Four winners this year are from 公司法律与合规部 finance industry, including HSBC Bank Legal & Compliance Department of China Cinda Beijing (China) Company Limited, Taikang Asset Management Co., Ltd. 22 北京 Insurance Group Inc, China Cinda Asset 中国信达资产管理股份有限公司法律合规部 Management Co.,Ltd., and Fosun Group Shenzhen, Beijing, Shanghai, Chengdu, Legal Department. Legal Team of China Resources Land Limited Shenyang, Wuhan, etc. Amid the heightened global capital 117 华润置地有限公司法律团队深圳、北京、上海、成 market volatility in 2018, China Cinda 都、沈阳、武汉等多 continued its robust performance and 个城市 credit ratings to the world as a China- Legal Department of Daimler Greater China Ltd. Beijing 55 funded financial institution. In the past 戴姆勒大中华区投资有限公司法务部北京 Shanghai and other 12 months, under the leadership of Fosun Legal Department 250余人 cities the General Counsel Deqiao Wu, the 复星法务部上海等地 22-lawyers team achieved 9 big deals HSBC China Legal Team Shanghai with excellence. Yuefeng Wang, the 28 汇丰银行中国法律团队上海 general manager of China Cinda told Beijing, Shanghai, iQIYI Legal Department ALB that “the in-house team contributed 51 Chengdu 爱奇艺法律部 a lot to the significant litigations and big 北京、上海、成都 deals of the company with compliance. Legal & Compliance Department of JD Digits Beijing 56 This speaks volumes for the team’s role 京东数字科技法律合规部北京 of creating value, promoting business Beijing, Chengdu, development, ensuring compliance, and Shanghai, Hangzhou, Legal Affairs Center, MIGU.CO, Ltd. risk control.” 28 Nanjing and Xiamen 咪咕文化科技有限公司法律共享中心 Taikang has been leading the industry 北京、成都、上海、杭州、 on IPR by being the first of promoting 南京及厦门 insurance innovations via IPR and has Cooperation and Legal affairs Department of SAIC Shanghai Motor Corporation Limited 11 assisted the company applying 2304 上海上海汽车集团股份有限公司合作和法律事务部 registered trademarks and 458 copy- State Grid International Development Limited, rights. In the past 12 months, the Beijing Legal Department 10 北京 in-house team assisted the company in 国家电网国际发展有限公司法律事务部 all core legal issues including helped Legal & Compliance Department of Taikang Beijing secured 327 patent mining. Insurance Group Inc. 21 北京 Fosun is the sole in-house team that 泰康保险集团股份有限公司法律合规部 Legal Department of Tsinghua Tongfang CO., has been in ALB ranking table for the Beijing LTD 32 four consecutive years. In the past 12 北京同方股份有限公司法务部 months, the team finished three key

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deals including the acquisition of FFT 力智能网联、聚焦出行服务的转型步伐正仅就过去的12个月来看，在总法律顾问 GmbH & Co. KGaA, a leading German 在不断加快。”上海汽车集团股份有限公吴德桥律师的带领下，中国信达22人的 automated and flexible production 司合作和法律事务部总经理周祺律师告诉法务团队出色完成了九项重大交易。中 solution provider, for approximately EUR ALB。国信达资产保全部副总经理王跃峰先生 0.56 billion; Fosun Tourism and Culture 11人的法务团队很精简，在上汽的业务告诉ALB，“法律合规部在积极应对公司 Group reorganization and adoption of 发展中却始终承担着举足轻重的作用。除重大诉讼案件、推动公司重大项目和业 its share option scheme; Yuyuan Garden 了斑马网络项目，在过去的12个月中，周务创新、保障公司业务依法合规稳健发展方面，做出了突出成绩和重要贡献， reorganization by injecting Fosun’s asset 总带领团队协同业务部门完成数项重大交易，如设立了多家国内外制造、研发、金充分展现了法律合规部作为公司价值创 worth of RMB 24.2 billion, increasing 融及销售的合资、独资公司，助力集团产造者、业务创新推动者、合规经营管理 Fosun’s shareholding from 26.45% to 业布局；主导收购通用汽车位于印度Halol 者、风险底线守护者的风采。” 68.52%. 的工厂资产并设立上汽印度全资公司；支在知识产权管理方面，泰康保险法律 Fosun’s in-house team now has 持上汽和宁德时代以超百亿规模投入新能合规部一直走在行业前列，在国内保险 more than 250 people, built up in 1992, 源汽车电池领域；负责了多起海外重大诉业率先提出知识产权保护理念并激励促 equal to a medium-sized law firm. By 讼，并取得良好结果等。进保险业创新，助力泰康申请了2304个 June 30th 2018, the total asset of the 在集团层面，法务团队聚焦反垄断、反注册商标及458件专利，专利公开量稳居 company exceeds RMB 560 billion with 腐败、数据保护等重点领域搭建集团层面中国保险业申请量第二名。仅在过去的 an increase of 12% from last year. We 的合规管理体系，并以建设上海“四大品 12个月里，法务团队帮助公司挖掘专利 are curious to know what makes Fosun 牌”为指导，积极推进上汽商标管理各项 327件，为提升公司价值做出贡献，也通 appear in the ranking table for the 工作，近日“上汽”被成功认定成为驰名商过应对集团各项核心法律事务及其各项外延为泰康集团可持续的大健康产业生 consecutive years. 标，此外还将历年来集团数百家附属企业、特别是创新业务推进中遇到的各类态战略发展保驾护航。 According to ALB research, in the 典型案例汇编为《上汽集团法律案例精复星集团法律事业部是唯一一家连 past 12 months, the team made great 选》，内容涵盖知识产权、公司治理、续四年上榜的法务团队。在过去的12个 strides in three areas: firstly, Fosun 产品质量、劳动纠纷等，在集团以及附月中，在总法郭小舟律师的带领下，复 Legal Department adopted a new 属企业层面进行合规与诚信经营法制培星法务共完成三项重大交易：以5.6亿 management structure, a “partner- 训。欧元收购总部位于德国的、全球领先的 ship” model similar to that used by 上汽目前在中国汽车市场的占有率超柔性自动化生产线解决方案提供商FFT law firms. A number of senior lawyers 过四分之一，业务领域覆盖汽车和零部 GmbH & Co. KGaA，助力复星深耕全球 were admitted as partners and tasked 件制造、研发、销售、服务贸易、金融智能制造领域；助力复星旅文完成重组 with supporting particular industrial 保险等汽车行业全价值链。上汽法务团并于近日香港上市；注资242亿人民币操 sectors. GC Xiaozhou Guo takes the 队为上汽集团的“电动化、智能网联化、刀豫园股份资产重组，重组完成后复星 managing partner role and is respon- 共享化和国际化”战略目标保驾护航，为持股比例升至68.52%。复星法务团队目前共计250多人，不 sible for overall supervision. Secondly, 上汽的高速发展特别是创新项目的开展提供了坚实的法律保障。亚于一个中等规模律所。截至2018年6 the department introduced and custom- 采访过程中，周祺律师就法务工作的月30日，复星总资产超过人民币5600 ized the Comprehensive Risk Control 定位做了一个很形象的比喻，“如果将公亿元，同比增长12%。法务团队自1992 System, aiming to address its specific 司比作成一辆车，那我们不是把法务工作年创建以来，一直高效助力复星集团不 needs in serving the internal clients. 当成刹车系统，而是当做一辆车的导航系断攀登产业巅峰、引领行业发展。表面 CRCS was developed in recognition of 统。”在周律师看来，法务不能只站在守看，法务工作大同小异：为企业搭建风 the fact that artificial intelligence and 门员角度一味强调风险防范；作为与业务险防范体系、制定业务发展战略、主 advances in information technology 部门并肩作战的合作伙伴，法务团队需要导投资并购和上市、管理知识产权、处 will reshape the legal industry and 根据公司战略在合法合规框架内支持业务理争议解决纠纷、设计交易架构、日常 that in-house teams are not immune. 部门推进业务，从而将风险防范、业务合同审核等等，但复星法务连续四年上 Thirdly, support Fosun’s Investments and 助推和价值创造三者有机结合。榜最佳法务团队一定有一些独特经验分 Operations. Fosun Legal Department is 享。 ALB调研显示，仅在过去的一年中， one of the few in-house teams in China 金融复星法务团队在三件事上取得重要进 that are capable of directly managing 今年金融行业获奖的企业法务团队共有四家，分别是：汇丰银行（中国）有展：一、从去年开始“重组”管理架构， and handling complex international 限公司、泰康保险集团股份有限公司、中仿照律所合伙制“晋升”了团队内多位资 investment transactions with lawyers 国信达资产管理股份有限公司、复星集深律师为“合伙人”，每位“合伙人”按照不 all experienced in M&A and PE/VC. 团。同行业领域带领其团队稳步推进，郭总 2018年在全球资本市场波动加剧的的角色则顺理成章变为“管理合伙人”。背景下，中国信达以其稳健的经营业绩二、综合风险管理系统全部到位。复星和优良的资信水平，再度展现中资金融认识到，人工智能与信息技术的快速发 REAL ESTATE 机构专业经营与稳健务实的良好形象。展正在重塑法律服务行业，作为企业法

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contract samples, setting up the tool for 务团队也不能“置身度外”，而是借着这股 investments and M&A, and improving 变革浪潮完成自身的升级更新。三、全 the comprehensive legal risk manage- 方位助力复星在全球层面的投资战略及 ment, etc. According to ALB research, 运营。复星法务团队是中国少有的、能 investment/M&A and dispute resolu- 独立处理大型复杂跨境投资交易的企业 tion are the two key works for in-house 法务团队，其团队律师在并购、私募股 legal. In the past 12 months, Liu led the 权、风险投资等领域具备丰厚经验。 team achieved more than 200 cases on 房地产 investment and M&A, and 330 dispute 从近四年ALB榜单中看到，全国范围 resolutions (including arbitrations). The 内只有三家房地产法务团队上榜，均来 team also finished the Guideline for the 自广深两地：2016年华润置地（深圳） development of REITs. ，2017年万科集团（深圳），2018年华润置地和雅居乐（广州）。经调研发现，今年“新秀”的雅居乐法务团队在2015年7月法总尚东宁律师接管后，为快速适应集团的多元化发展在 TECHNOLOGY 组织架构上进行了重大变革，根据集团 We noticed that only three real estate 业务划分，法务部设立5个组专人对接不 companies had places in the ranking table Three winners this year are from tech- 同产业集团，2018年随着集团业务迅速扩 in the past four years, all from Guangzhou nology industry, including JD Finance, 张又增设3个组。集团层面，逐步成立区域公司法务部，受集团法务部垂直管理， and Shenzhen of Guangdong Province. Ant Small and Micro Financial Services In 2016, Shenzhen-based CR Land; in 俨然变成公司内部的“律师事务所”。截至 Group Co., Ltd and Tsinghua Tongfang. 今年9月，已设立12个区域公司法务部， 2017, Shenzhen-based Vanke; in 2018, Tongfang was founded in 2010. Under Guangzhou-based CR Land and Agile 每年接受集团法务部开展的法律巡查。今 the leadership of GC Yunpeng Zhou, the 年年初，法务部特设了“海外法律事务专项 Group Holding Limited Company. team now has 32 people and assisted the 小组”，对接集团各产业集团境外法律事 Based on ALB research, since company with full legal support. Thanks 务。 Dongning Shang took the GC role in 2015, to the continuous building of the internal 华润置地在总法律顾问刘中律师的带领 the legal department underwent major legal system with an efficient reporting 下，目前团队规模达至117人。自2008年 changes by reorganizing its structure to mechanism, the team provides high- 组建以来，致力于公司法律机构体系化建 adapt to the diversified business of Agile. quality legal services to the business 设、强化制度建设、推行合同范本应用、 The department was divided into 5 teams departments in major M&A, capital 建立投资并购工具库、强化全面法律风险 to serve different industrial groups. This investments, funds setting, IPR, etc. 管理，为法律团队的超强作战能力打下了稳固的根基。据ALB今年对企业法务团队 year, another 3 new teams were added Ant Financial is a technology company in response to Agile’s rapid expansion. 的调查显示，投资并购与争议解决一直是 that brings inclusive financial services to 最占据企业法务精力的两项工作，置地法 Shang also formed regional corporate the world. Its in-house team was set up legal departments as accredited insti- 务团队在过去的12个月里，共办理了200多 in 2015 and has 215 lawyers under the 宗投资并购项目、办结各类诉讼（仲裁） tutions vertically managed by the legal leadership of GC Leiming Chen. “The 案件330宗、撰写完成《REITs发展政策建 department of the Group, making the size of in-house team is responsive to the 议书》等等。 legal department a virtual internal law business expansion. Now we have legal firm providing independent, strict and teams in 8 cities around the globe. As 科技 professional legal opinions and services a technology company, we apply many 今年科技行业获奖的企业法务团队共 to the business departments. As of this advanced technology in the areas of 有三家，分别是：北京京东金融科技控 September, 12 regional corporate legal AML, compliance, etc. to control risks 股有限公司、蚂蚁金服、同方股份有限 departments had been established. Early and assist the strategic development of 公司。 this year, Shang also set up the overseas the company.” Chen tells ALB. 同方股份法务团队于2010年成立，在总法律顾问苏云鹏律师的带领下，人员 legal affairs professional group. According to Chen, the legal depart- 规模达至32人，8年来为清华同方在各个 CR Land now has 117 people under ment is not simply a supporting depart- the leadership of GC Zhong Liu. Since 发展阶段提供全面法律支持。在过去的 ment but also serves as a strategic 12个月中，在重大收购、增资入股、基 its founding in 2008, the team has been department. He never stops asking 金设立、公司债券、知识产权维权等方 solidifying the foundations and rein- himself about the question of “what 面均成绩卓绝，这些离不开同方一直以 forcing the mechanism to support the is the value of setting up the in-house 来重视内部法务体系的建设并设有独特 legal department by standardizing the team” and “why set it up in the first 的法务报告制度，利于规范高效管理。

20 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BROUGHT TO YOU BY ZHONG LUN LAW FIRM 乔文骏，中伦律师事务所合伙人 Anthony QIAO, Partner of Zhong Lun 地址/Add: 北京 • 上海 • 深圳 • 广州 • 武汉 • 成都 • 重庆 • 青岛 • 杭州 • 南京 • 东京 • 香港 • 伦敦 • 纽约 • 洛杉矶 • 旧金山 BEIJING • SHANGHAI • SHENZHEN • GUANGZHOU • WUHAN • CHENGDU • CHONGQING • QINGDAO • HANGZHOU • NANJING • TOKYO • HONG KONG • LONDON • NEW YORK • LOS ANGELES • SAN FRANCISCO 共同进步，保持相同“心灵海拔” 电话/Tel: 86-10-5957-2288 Progress together through knowing each other more 网址/Web: www.zhonglun.com

企业是中国经济发展的重要主体，更是推进中国法治化建设的中坚 Chinese enterprises contributed a lot to China’s economy and to the 力量。多年来，为企业发展保驾护航、助力企业成功实现商业目标 progress of China’s Rule of Law. Over the past many years, in-house teams have played an increasingly significant role to the strategic 的企业法务团队，在这个过程中发挥的作用越来越大。 development of the company. 中伦律师事务所持续关注和支持中国企业法务团队的成长，不仅 Zhong Lun Law Firm always shows big support for the growth 致力于法律职业共同体的打造，也从依法治国的共同愿景下努力为 of in-house teams. According to the firm, this is not only dedicated 企业法务团队的发展做些力所能及的事情。 to network the legal profession community, but also do its part to help the growth of in-house teams by the shared vision of China’s 搭建行业平台促进纵深对话 Rule of Law. 中伦律师事务所执行主任乔文骏律师在2008年至2011年曾担任上海律师协会副会长。在此期间，乔律师也参与组建了浦东新区法 Platforms-building is essential Wenjun Qiao, the executive director of Zhong Lun served as the 律服务业协会并担任首任会长；在这两个协会，乔律师主导设立了外 deputy director of Shanghai Bar Association from 2008 to 2011. 部律师与企业法务之间的交流平台，以及中国律师与外国驻沪律师之 During the tenure, he initiated the Pudong Legal Service Association 间的交流平台。 in Shanghai and served as the first director. He also set up two “中国至今还没有一个能在官方注册登记的外部律师和企业法务之 platforms for external counsel and in-house counsel, and for Chinese 间的独立平台机构，但双方交流分享的需求和必要性与日俱增。我们 lawyers and foreign lawyers in Shanghai, respectively. 在上海律协与浦东法律服务业协会的尝试，收到的反馈和效果都超越 “China doesn’t have an independent platform that is officially 预期。我们呼吁相关政府部门能关注和支持企业内外部律师之间的交 registered for external counsel and in-house counsel but we are 流平台搭建，这样的平台对双方都是越多越好的！”乔律师告诉ALB。 witnessing an increasing demand for more communications from both sides. The efforts of the two platforms turned out to be a big 乔律师同时指出，目前，通过各地律师协会搭建这样的交流平台 success since its set-up. We are willing to see more of these platforms 仍存在一定局限性，因为能参与进来的企业法务须是协会会员，这就 created by the government,” Qiao tells ALB. 限制了那些非会员、但经济活动非常活跃也具备行业影响力的企业法 In the meantime, Qiao points out that the platforms, initiated 务参与进来；同时，外国律师作为特邀会员身份加入，与其他会员参 by lawyers associations, have its inherent limits with only access to 与者在权力与义务上也存在明显差异。 its specific members. Additionally, foreign lawyers join in as special “这方面我们可借鉴美国律师协会ABA的做法，他们的协会成员既 members. Different rights and obligations involved will not lead to 覆盖外部律师、企业法务，也包含法官和检察官，甚至还欢迎各大法 a real open and equal dialogue. “We should learn from the practice of American Bar Association 学院的学生成为其会员和准会员，这样的机构已成为广受业界欢迎 (ABA), whose membership covering all legal professions such as 的、真正意义上的司法共同体。仅从企业法务层面上讲，该协会做到 external counsel, in-house counsel, judge, and prosecutor. They 了全覆盖。将来，如果我们的律协也能做到将企业法务与外部律师视 also accept law school students as their members. ABA is a judicial 为同等会员主体，打通全行业让大家在一个平台上沟通，才是真正做 community in real sense. If our lawyers association could treat 到了对等的交流与充分的互动。”乔律师补充道。 external counsel and in-house counsel with equal importance, and 乔律师告诉ALB，这也是中伦持续关注与鼎力支持外部律师与企业 create a platform open to all industries, that would guarantee a real 法务交流的一个初衷，并愿以此为契机，促进双方的交流朝着专业化 and productive dialogue,” adds Qiao. 与行业化并进的方向发展，“我们应有意识地按照行业不同来组建外 This is one of the reasons why Zhong Lun brings together external counsel and in-house teams today. It is just a beginning and the firm 部律师与企业法务之间的沟通交流与联谊，这样双方天然就能有很 will further promote more talks between the two among different 多共同语言，讨论问题既有深度又不失广度还能直抵关键。” industries. Qiao continues, “They will share many common topics and can lead the discussions into new depth and width when they 长久坚固的信任助我们走得更远 come from same industry or sector.” 中伦在服务客户的25年历程中，已发展出很多彼此信赖的战略盟友，与很多大客户长年相伴、共同成长。在竞争日益激烈的法律服 We can go far from here 务市场，我们想知道中伦律师获得众多重要客户的信任感根基到底 Zhong Lun has maintained long-lasting and strategic partner- 源自什么？ ship with many of its clients in the past 25 years. We would like to figure out what exactly made their key clients so loyal to Zhong Lun. 乔律师举了一个例子：中伦在房地产和建筑工程领域深耕25年， Qiao cited an example. The firm has strong expertise in real estate 至今仍是该领域的市场领先律所。在中伦，房地产部是按行业类 and construction and its leading position in the market continues. Its 别进行设置特殊部门，中伦房地产部的合伙人和律师在跟客户沟通 real estate partners and lawyers are not just providing legal opinions 时，不是仅以律师身份出现，而是更以行业专家的角色为客户提供 but offering clients their comprehensive analysis and deep insights 洞悉行业发展、熟稔行业政策、解读全球成熟经验与做法、分析未 into the industry. They are sensitive to the latest developments in 来行业走势的综合解决方案，因为中伦的房地产律师活跃在国内外 real estate and keep close watch to the trends and key issues. They 房地产行业各个层面的行业协会、投资联盟、企业峰会中，是真正 attend all types of industrial associations, investment alliances, and real estate summits, etc. They are more than just a real estate lawyer. 最懂房地产、最懂商业运行、最懂企业治理与服务需求的律师。 They are real estate experts with legal expertise. “如果仅以一句话概括中伦这么多年来持续搭建双方对话沟通的平 “The most important reason behind the firm’s efforts in the past 台，那就是：我们希望与我们并肩作战的企业法务伙伴不仅在专业 years in building the platform is that we hope external counsel and 知识与技能上保持‘同一个专业海拔高度’，我们还希望彼此实现相同 in-house teams can progress together in terms of expertise and 的‘心灵海拔高度’。”乔律师最后说道。 skills, but also going beyond,” says Qiao. COVER STORY

place”. “Companies like Ant Financial victory of internet movie, China’s first 蚂蚁金服是一家旨在为世界带来普惠 is very unique with unprecedented fast traffic-farming case on video streaming 金融服务的科技企业，其法务合规团队 innovations as a common occurrence. site, etc. 于2014年创建，首席法务合规官是陈磊 Since its birth day, the company is under GC Yan Wang tells ALB that “Many 明律师，目前团队总人数为215名。陈总 the scrutiny of strict supervision. With of our cases created a stir among the 告诉ALB，“法务团队的人数跟业务规模 its business expanding and growing, public, in particular the China’s first 直接相关，业务走到哪里，我们就到哪 challenges from supervision increased traffic-farming case. As one of China’s 里，目前蚂蚁金服的法务团队分布在全 correspondingly. We therefore have to biggest video streaming sites, Iqiyi 球89座城市。因为我们是家技术公司，我们在反洗钱和合规等领域运用很多技 tackle with difficult issues on daily basis denounces illegal behavior such as click 术手段，在风险把控与保证公司战略意 which demands the in-house teams to farming and will definitely say No to such 图实现上为业务保驾护航。” be well immersed in the new technolo- unfair competition. From now on, we will 对于陈总来说，法务部不仅是支持部 gies and innovation trends. I ask my team not show audience how many people 门，也是战略部门，对此法务部从未间 to think out of the box as we’re different have watched a video, farewell to the 断对“法务部为什么要存在”、“法务部设 from other traditional corporate in-house traffic-only era.” 立的初心”这些问题的思考。“蚂蚁金服 legal. Guided by the same vision, we are Iqiyi is composed by engineers and 这样的公司是独一无二的，业务创新与 on the same page, which helps us better artists to present the most innovative 更新迭代的节奏是旁人难以想象的。 align our legal work to better support the contents with advanced technology 从蚂蚁金服诞生的第一天开始，就在 company,” says Chen. for our audience. According to Wang, 严格监管之下，随着业务的加深与拓 Ant Financial is also championing the “the three requisites for Iqiyi in-house 宽，各方面监管挑战也越来越多，每 application of blockchain patent in the legal are: firstly, we must be an expert in 天都会面临很多要攻克的难题。但是我们认为一个有序监管的市场，对业 world and keeps the leading position this online entertainment and keep learning 务发展和客户都是得益的。我们拥抱 year. Powered by the blockchain tech- the ever-changing commercial rules in 监管、配合监管，本着积极的态度来 nology, AlipayHK and GCash launched this industry, which will enable us to find 看监管、来看竞争。这就要求法务合 the first cross-border remittance service the perfect solution that combines tech- 规团队必须对技术的发展、创新的变 in the world. In the past 12 months, the nology, art and legal. Secondly, we must 革有着深入的了解和高度的敏感，跳 team finished many innovative deals know what our businesses really are and 出传统法务合规工作的思考框架，思 including Alibaba’s acquisition of 33% what values we adhere to, which enable 考如何更好地支持科技创新业务。所 equity stake in Ant Financial. Upon us to be better prepared to cope with any 以，无论面对监管的挑战还是业务的 closing, the companies will terminate potential legal challenges. Thirdly, we 挑战，我们都用一种‘共同看见’的方 the current profit-sharing arrangement must aim to realize a better tomorrow 式、与业务部门分享金融普惠大众的 under which Ant Financial pays royalty for this industry by doing our part to 共同理念和愿景来指导当下的法务合 and technology service fees in an amount promote the due respect to IPR.” 规工作。”陈总谈到。 2017年，蚂蚁金服是全球申请区块 equal to 37.5% of its pre-tax profits to Iqiyi in-house legal was founded in 链专利技术最多的公司，今年依然保 Alibaba. 2010 and has coped with millions of IP 持领先势头。也正是基于蚂蚁金服在 infringements thanks to its comprehen- 区块链领域的领先技术，Alipay HK今 sive copyright protection mechanism. 年6月联合菲律宾电子钱包GCash上线全 Patent side, the team keeps patent 球首个区块链跨境汇款服务。在过去的 INTERNET 12个月中，法务团队完成诸多重大创新性项目和交易，其中主导了蚂蚁金服今 Two winners this year are from internet 年早些时候完成的140亿美元的大规模融 industry, including newcomers Iqiyi and 资项目，为蚂蚁金服今后在技术上的持 MIGU. The two internet companies both 续创新，全球化和普惠业务上的进一步 treat IPR, one of their core competitive 发展提供了资金上的保障。 advantages, as their lifeline. Unlike to traditional in-house legal, 互联网北京爱奇艺科技有限公司和咪咕文化 internet in-house legal is constantly 科技有限公司今年首次上榜。有着极强 facing the emergence of new business 互联网标签的两家企业，共性是视知识 models, new technologies, and new 产权保护为企业发展的生命线，同时知 types of legal issues. In the past 12 识产权也是核心竞争力之一。 months, Iqiyi finished many “first” and 与传统行业的企业法务不同，身处 “typical cases” in the industry including 迅猛发展的互联网行业要不断面临新业 Beijing’s first copyright infringement 态、新模式、新项目的层出不穷，以及

22 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 COVER STORY

mining with more than 4800 applica- 应对大量新兴法律问题的涌现。仅就过交易内容等方面均具有相当的复杂性。“ tions in the world, among which more 去的12个月来看，爱奇艺法务团队就创咪咕法务团队通过内容梳理和交易架构 than 2000 are authorized. 造了多个首例案例和经典案例：获得北设计，积极推动项目谈判进展，并为咪 MIGU on the other hand is a company 京首例网络电影著作权侵权案胜诉；获咕争取大量权利和后续工作得以顺利开 features “contents+ technology”, with 得全国首例视频网站刷量案胜诉；历时5 展的前提条件。协同相关监管机构和台 businesses covering music, video, 年的爱奇艺诉风行网侵犯著作权纠纷案方，在世界杯赛事期间创造性地开展维 reading, games, cartoon, etc. This 也获得了罕见的再审胜诉等等。权工作，制止侵权、协同下线恶性侵权 28-people team was founded in 2015 爱奇艺法律副总裁王岩告诉ALB，“我内容、7天时间打造国内针对体育赛事画们的刷量案、网络大电影案、奇葩说面诉中禁令第一案，有效保障了世界杯 but has achieved one of the most 案、短视频案等均受到了业界的高度传播权益。”向阳先生告诉ALB。 outstanding projects in the industry. 关注，特别是刷量一案是全国首例。今年4▪26世界知产日当天，在“2018 MIGU was granted digital and telecoms 爱奇艺对数据造假、数据污染行为坚中国网络版权保护大会”上，咪咕与国家 rights from CCTV for the 2018 World Cup. 决抵制，并持零容忍态度。同时，为版权局版权管理司正式签署《网络版权 The deal is too complex in terms of its 了体现爱奇艺的决心，今年9月爱奇艺保护合作备忘录》，就共同打击网络侵 deal parties, deal volumes, deal articles, 率先宣布关闭显示前台播放量，彻底权盗版、探索网络版权保护新模式达成 etc. “Our team innovated the way to cope 告别‘唯播放量论’，为行业健康及可持共识，国家版权局将咪咕的技术能力纳 with copyright issues during a World Cup 续发展做出了表率。” 入国家版权保护工作整体能力中，配合 game and achieved the first infringe- 作为国内最大的在线娱乐服务平国家‘剑网行动’等开展网络侵权内容打击 ment case within merely 7 days,” says 台，爱奇艺也可以说是由工程师和艺专项工作。 GC Yang Xiang. 术家组成的团队，通过技术产品的不咪咕的业务特性决定了法务团队必须 On the World IP Day this year, MIGU 断创新将各种内容呈现给用户。法律紧密围绕版权、专利、商标等知识产权副总裁王岩认为，“作为爱奇艺法务团开展，甚至要引领一些知识产权工作的 co-launched the memorandum of internet 队，我们需要做到以下三点：一、要创新。据向阳先生介绍，在版权管理方 copyright protection with National 熟悉在线娱乐行业，了解行业的发展面，基于中国移动十几年来厚植“国内最 Copyright Administration of China by 及商业规则，不断学习新的技术理念大正版数字内容平台”的基础，法务团 agreeing upon many issues relating to how 及艺术创作形式，找到技术、艺术创队从版权引入、版权入库、版权运营、 to crack down content infringements on 作和法律的契合点；二、要了解公司版权维权等多环节协同业务团队共同管 the internet and how to explore new ways 的经营理念、价值观及战略规划，有理、运营、保护公司的版权资产；在专 to protect copyrighted work online. 针对性地创建一套完善的版权保护体利管理方面，咪咕法务团队加紧在各个 According to Xiang, MIGU’s businesses 系，对未来可能产生的新兴法律问题产品领域进行专利布局，个别产品上实 make the team’s work centering on IPR 提前预判和防控，以此确保公司的核现“专利申请带动产品创新”：不到两年内 and IP innovations. Therefore, the team 心竞争力；三、要有大局观，通过我提交了超过400项专利申请，获得专利授 keeps investing a lot to build, manage 们的工作促进每一个从业者对知识产权近100项；在商标管理方面，斩获重大 and protect its copyright assets. Patent 权保护的重视，从而促进整个行业的商标维权案的胜利。向阳先生认为，“法健康发展。” 务团队不但通过知识产权保护为咪咕保 side, the team has assisted more than 爱奇艺已建有一套完善的版权保护驾护航，更是通过知识产权管理为咪咕 400 patent applications and nearly 100 机制，法务团队成立8年以来累计处理创造价值。” authorized patents in less than 2 years. 各类盗版数百万个。专利方面，法务 Trademark side, the team assisted 团队秉持“技术创新”理念、不断发掘专能源 the company to win the major win in 利，全球专利数量申请已达4800余件，国网国际公司法律部是今年榜单中唯 trademark infringement cases. Xiang 授权数量达2000余件，极大确保了爱奇一一家国企法务团队，总法律顾问是李 added that the team not only navigates 艺技术创新的驱动力。乐泉先生，团队总人数11人。 the company through treacherous IP 咪咕则是一家“内容+科技”公司，业务 “我们将自身角色定位为专业问题解 landscape, but also helps the company 领域涵盖音乐、视频、阅读、游戏、动决者、企业价值创造者、合规风险控制 to create value via IP management.” 漫等诸多领域。“公司正值业务迅速发展者。法律团队首要是在公司境外资产并阶段，法务团队必须不断成长进步以与购和运营业务过程中提供优质的全流程公司发展相匹配。除为公司合规发展保法律专业解决方案，提供定位于创造企驾护航，我们也探索出很多‘延展’法律能业价值的综合性服务，目标是防范控制力和资源的新模式。”咪咕总法律顾问向法律风险，引领企业合规经营，保障企 ENERGY 阳先生谈到。业可持续性健康发展。”李乐泉先生指咪咕是今年榜单中最年轻的公司法出。 State Grid International Development 务团队，成立仅3年，目前总人数为28 在过去的12个月中，国网国际成功 Limited is the sole SOE in-house team in this 人，但已向业界交出了“现象级案件”成绩收购巴西最大私营电力公司CPFL公司 year’s ranking. The team now has 10 people 单：2018年咪咕与央视就世界杯传播达全部控制权股份，该交易为巴西迄今为 under the leadership of GC Lequn Li. 成协议，成为2018央视世界杯官方合作止最大的境外投资项目。CPFL公司同 “We position ourselves as a professional 伙伴，该交易在交易主体、交易标的、时在巴西和美国两地上市，其下属的

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Meanwhile, the team will further improve CPFL新能源公司也是巴西上市公司。 its compliance mechanism to better 根据巴西证券法，该交易同时触发了对 CPFL公司和CPFL新能源公司的要约收购。 “该项目是国网公司首次对境外上市 WHAT THEY WANT 公司开展要约收购，既没有先例可循，也没有成功经验可以借鉴。我们深入研 FROM EXTERNAL 究巴西证券市场法律法规，透彻掌握要约收购工作流//程，严格落实公司决//策 COUNSEL 部//署，多次向巴西证监会提交要约收购申请材料，高效开展政府审批工作，最终获得审批通过。完成要约收购后， support the company’s global ambitions 公司合计持有CPFL公司94.75%股权， After many years of cooperation, 持有CPFL新能源公司99.94%股权，该 in-house teams all keep enriching and 交易是国家电网公司迄今为止交易规模 managing their law firms pools. The inter- 最大的海外并购项目，也是巴西历史上 viewed GCs all highly recognized the work 最大的现金收购交易。”李乐泉先生告诉 value and support from external counsel ALB。 and they consider the cooperation a good 2019年，李总将带领国网国际法律 opportunity for mutual learning that 团队继续密切跟进主要投资目标国监管 solution provider, value creator, and a leads to a win-win result. 环境变化，分析研判投资形势和潜在风险，为公司投资布局提供参考，同时也 compliance risk controller. The key task is They agreed that the supports from 将进一步完善公司合规体系构建，助力 to provide our comprehensive legal solutions external counsel extend and expand 公司向世界一流能源互联网企业目标迈 to support the businesses developments in their capabilities as external counsel can 进。 cross-border M&A. We also aim to make offer them great expertise in specific area our services that could create value for the of practice and share with them their 角色分工与合作期待 company,” Li says. insights in many new legal issues with 经过多年合作，公司法务部基本都 In the past 12 months, the team assisted practical solutions for references, while 形成了各自较为完备的外部律师库并 the company to acquire the controlling being as In-house legal, they know better 不断丰富和实施动态管理。受访的法 stake of CPFL Energia which is the largest about the business strategy and will 务团队负责人均表示，外部律所对其 private group in Brazil’s electricity sector. consider more than “just a lawyer”. 业务的支持与协助是极具价值且不可 This transaction is the biggest cash When asked what they want most 或缺，双方的合作是个相互学习的过 transaction in amount ever between from external counsel, the inter- 程，相辅相成实现共赢。总法们认为，外部律师是法务团队的有力延伸 Chinese and Brazilian companies. viewed GCs made three sugges- 和必要支撑，因为外部律师在很多专业 “This marks the first case by the tions. Firstly, they hope external 领域里是法律专家，更在很多新的法律 State Grid to offer to buy a majority counsel could study with them on the 问题上研究很深且具备更多实战经验， stake of overseas-listed companies. most recent legal issues that associate 而公司法务相对更熟悉和理解公司的战 Without any precedents, the team closely with their business developments 略意图和业务特点，会在一些法律问题 studied the legal and regulations of the and advance together the standardiza- 上考虑的维度更广，也更多会从公司的 Brazilian securities markets, delivered tion in the industry. Secondly, they hope 实际运营角度出发。 many times the applications materials external counsel could also contribute 如果谈及对与外部律师的合作有哪 for the bid for the tender offer to the more valuable advice from business 些期待？受访的诸位总法表示，希望外 Securities and Exchange Commission development perspective. Thirdly, 部律师能在公司发展的前沿课题上与法 of Brazil etc., and got finally approved. they hope external counsel could 务团队一道研究，从而推动规则和标准 Up to now, the State Grid held 94.75% provide the risk-proof solutions that 的制定；希望外部律师不但提供法律支 shares of CPEL-E, with a total consider- could maximize business value. 撑，也能对法务团队甚至公司业务开展提出更多中肯建议；希望外部律师更多 ation of over 25 billion Brazilian Reais,” In-house team side, they should 熟悉行业知识，提出与公司商业意图 Li tells ALB. “absorb” and “digest” the expertise from 高度契合的风险解决方案。同时总法 In 2019, Li will continue to lead the external counsel and turn it into the practical 们也强调，法务团队本身也要做好“吸 team to closely follow the regulatory and tailor-made solutions. Efforts from 收”和“转化”工作，吸收外部律师的精 changes of target countries for invest- both sides make a real seamless coop- 和专，转化为实用有效的法律建议， ments and provide the business depart- eration between in-house legal and 这才是真正做到外部律师与法务团队 ments with risk opportunity analysis. external counsel. 合作的无缝衔接。

24 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 TOP 15 IP LAWYERS

METHODOLOGY 评选方法

The list of top 15 IP lawyers was chosen based on the following criteria: 2018 1) Major transactions and cases that a candidate has acted for; 2) Significant work of a candidate in the past 12 months; 25 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 3) Key clients of a candidate; 4) Relevant accolades a candidate has ALB CHINA received; and 5) Clients’ review and colleagues’ comments.

评委会主要依据以下方面的成绩进行评审： TOP 15 1）候选人代理过的重大交易和案件； 2）候选人过去12个月的主要工作内容； 3）候选人的主要客户； 4）候选人所获得的相关奖项； IP LAWYERS 5）客户评价和同事评价。 LIST OF WINNERS 获奖名单 2018中国15佳 Winners are listed below by their surnames in alphabetical order. 以下名单按照获奖者姓氏首字母顺序排列。知识产权律师 Top 15 IP Lawyers Firm With Chinese companies being 15佳知识产权律师律所名称 increasingly recognised on the Paul Chen 陈浩 Beijing DHH Law Firm 北京德和衡律师事务所 world stage for their technology and innovation, IP lawyers are Feng(Katie)Zheng 冯真 Hogan Lovells 霍金路伟律师事务所 more in demand than ever. Horace Lam 林俊杰 DLA Piper 欧华律师事务所 And these 15 accomplished Zhongsheng Li 李中圣 King & Wood Mallesons 金杜律师事务所 practitioners have shown that Qiang Ma 马强 JunHe LLP 君合律师事务所 they have what it takes to deliver the goods. Yuanchao Ma 马远超 Zhong Lun Law Firm 中伦律师事务所 Baoxin Qi 齐宝鑫 Allbright Law Offices 锦天城律师事务所随着中国企业在全球科技创新领域越来越受瞩目，知识产权 Sharon Qiao 谯荣德 Lusheng Law Firm路盛律师事务所律师们的业务机会也比以往任 Yixia Si 司义夏 Chang Tsi & Partners 铸成律师事务所何时候都多。今年获奖的十五 Xiaonan Su 粟晓南 Grandall Law Firm 国浩律师事务所位知识产权律师用业绩很好地证明了他们的专业实力与行业 Yan Sun 孙彦 Tian Yuan Law Firm天元律师事务所影响力。 Xiang Wang 王翔 Orrick, Herrington & Sutcliffe 美国奥睿律师事务所 Lili Wu 吴丽丽 Han Kun Law Offices 汉坤律师事务所 Jiali Xu 徐家力 Long An Law Firm 隆安律师事务所

BY INES YANG Ye Zhao 赵烨 Jingtian & Gongcheng 竞天公诚律师事务所

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 25 TOP 15 IP LAWYERS

Asian Legal Business (ALB) has 《亚洲法律杂志》（ALB）持续关者域外当事人所选择。”竞天公诚律师事 continually focused on the IP legal 注知识产权法律市场，不断深入了解务所赵烨律师认为。 market, and continues to be on the 优秀的知识产权律师。ALB通过律所推展望2019年，赵烨律师认为热点可能 look-out for top IP lawyers. Based on law 荐、律师成就、执业特色、新增客户数出现在：第一，二线城市的专利诉讼或 firm recommendations, lawyer accom- 量、客户采访和律师市场口碑，完成了者技术诉讼等的数量上升；第二，国外 plishments, practice specialization, 知识产权律师调研，评选出了2018年中的原告数量也将上升；第三，由于最高国15佳知识产权律师。院审理二审垄断案件，垄断案件的审理 new client wins, client interviews and 他们执业生涯至今取得的成就是助力尺度将会统一，也会进一步促进反垄断 market reputation of lawyers, ALB has 中国一路发展、直至在2018年全球创新诉讼市场的发展。” completed its survey of IP lawyers, and 指数报告中首次跻身最具创新力经济体随着全球贸易摩擦的时而加剧，陈 compiled the list of the top 15 IP lawyers. 20强背后的一支重要力量。浩律师认为涉外知识产权业务也值得关 Their career highlights contrib- 本文将着眼15佳知识产权律师在过注，尤其是信息技术、新材料、生物科 uted significantly to China’s number 17 去12个月中的主要项目（要求保密的除技、文化产业等热门行业领域，并指出 ranking this year in the Global Innovation 外）以此来看：这一年哪类知识产权案国外企业在中国进行商标和专利注册、 Index report, a breakthrough for an 件相对占比较大？哪些代表性案件推动版权登记、知识产权侵权纠纷、商业秘 economy witnessing rapid transforma- 了行业发展？哪些重大问题值得关注？密保护等案件将持续增多。 tion guided by government policy priori- 哪些业务领域仍保持良好势头？当下这在齐宝鑫律师看来，能源、AI、智能 tizing research and development-inten- 个行业哪些挑战亟待攻关？设备、沉浸式体验、数字产业、游戏、作为中国最有影响力的一批知识产权娱乐等领域值得重点关注，自动驾驶、 sive creativity. 律师，我们想知道他们对这个行业的观机器人、无人机、智能化应用的自主设 This article will revisit the Top 15’s 察、实践、体悟和思考是什么？促使他备产业、通信及电子装备制造业、货币 most significant work in the last 12 们优秀的动力，也一定是成就他们优秀金融服务等技术驱动型领域的业务机会 months (exclusive of confidential work) 的原因。预计将保持良好势头。 by learning what types comprises the majority of IP work they take. What 观察实践 milestone cases have they handled that 2018年即将过去，对于知识产权界来 15位知识产权律师的平均从业年限为 promote IP development in China? What 说，发生了两件大事值得回顾。 20年，执业最久的三位业界贤达分别是 major issues should we be aware of? 2017年底修订的《反不正当竞争法》金杜律师事务所合伙人李中圣律师、隆 What are the fields that have sustained 在2018年1月1日开始实施，适用了24 安律师事务所合伙人徐家力律师、铸成 opportunities in 2019? What challenges 年的旧法正式告退。“随着时代的发展，律师事务所合伙人司义夏律师。一些妨碍公平竞争的新现象相继出现，从业年限达35年的李中圣律 or problems need to be resolved without 针对这些问题，新法做出了调整。例如师，2004年加入金杜之前曾任深圳中级 any delay? 新法提到几种利用网络从事生产经营活人民法院知识产权庭庭长职务。回顾过 These respondents represent the 动不得实施的行为；进一步明确了混淆往执业成就，多项案件均在业界产生巨 most influential IP lawyers in China. We 行为的概念，将‘引人误认’作为其重要判大影响力：曾代表高通公司诉魅族通信 were curious to know what their observa- 断标准；明确列举了侵犯企业名称、字标准必要专利侵权纠纷案，在诉讼中使 tions, practices, reflections, and insights 号、姓名包括笔名、译名、艺名等不正用高通9项通信方面的标准必要专利和非 were towards the IP industry in China. 当竞争行为。” 北京德和衡律师事务所陈标准必要专利，对魅族发起系统诉讼， Looking into their personal drive to 浩律师谈到。给魅族施加了巨大诉讼压力，迫使魅族 achieve excellence also allows us insight 2018年10月26日，第十三届全国人接受高通专利许可；也曾代表华为公司 into the causes of their excellence. 大常委会通过了最高人民法院提请审议起诉IDC垄断民事纠纷案件，成为中国法院在全球范围内率先以判决方式确定的《关于专利等案件诉讼程序若干问题的决定》，决定自2019年1月1日起最高标准必要专利的许可费率，被美国和欧 Observations 院统一审理专利侵权案件、行政案件、洲法院仿效。 2018 is a remarkable year in China’s IP 反垄断案件、技术秘密案件以及软件著隆安律师事务所合伙人徐家力律师从 world. The most eye-catching news are: 作权案件等案件的上诉审。业年限达28年之久，创办隆安之前，曾 On 4 November 2017, China authority “该举措有利于统一和规范知识产权案在最高人民检察院供职6年。徐律师代 passed the amendment to the RPC 件的裁判尺度，同时也为知识产权法律理的中粮与嘉裕长城葡萄酒商标案被最 Anti-Unfair Competition Law, the first 行业带来了新的机遇和挑战。”锦天城律高院认定为第一起未注册的驰名商标， amendment since its implementation in 师事务所齐宝鑫律师指出。对防止驰名商标的异化使用具有重要意 1993. The revised Law became effective “这一改革力度前所未见，对于整个改义；代理的珠海炬力与美国西格玛专利 on 1 January 2018, providing new armor 革开放的进程都会有深远影响，对于知纠纷案也被选为当年中国司法保护十大 in battle against unauthorized use of 识产权领域更有天翻地覆的影响。由于案件。最高院直接介入二审，实际的审判层级铸成律师事务所主任、管理合伙人司 trademarks. 有可能会减少，地方保护主义将下降，义夏律师从业已进26个年头，其作为知 “The revisions regulate newly 众多二线甚至三线城市的知识产权法院识产权律师的执业经历与中国知识产权 emerged unfair competition behaviors 或者知识产权法庭将会被外地当事人或的发展历程在很大层面上是重合的。回

26 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 TOP 15 IP LAWYERS

or tribunals,” says Ye Zhao, partner of 顾2018年，司律师代理了两个业内具有 Jingtian & Gongcheng. 典型性的案例：安德玛诉福建省廷飞龙 Zhao spotted three trends in 2019. 侵犯商标权及不正当竞争纠纷，以及汕 Firstly, the volume of patent litigation 头建发诉迈克尔高司侵犯商标权纠纷。 and technology litigation in China’s 安德玛案是典型的中国公司侵犯国际大 second-tier cities will increase signifi- 品牌商标权的纠纷。一审由福建省高级人民法院审判，该案中，司律师团队为 cantly. Secondly, the number of foreign 客户争取到了福建省高院历史上支持的 plaintiff is also rising. Thirdly, the 第二例临时禁令，有效维护了安德玛公 prospect of an anti-trust appeal direct 司的利益。该案受到了国内外各大媒体 to the SPC is likely to boost the market 的高度关注，彰显了中国政府对包括美 for antitrust litigation. 国企业在内的知识产权的高水平保护。 As global trade friction resurfaces, 迈克尔高司（MK）案则刚好与安德玛案 Chen points out that foreign IP business 相反，是中国一个民营企业以侵犯商标 in the marketplace and prohibit a in the areas of information technology, 权为由起诉国际知名轻奢品牌MK公司， business entity from carrying out acts new materials, biotechnology, or 索赔额高达一亿元人民币。本案涉及“反向混淆”以及原告对被告构成商标侵权和 intending to cause confusion, which culture will gain momentum, which means business for China IP lawyers 不正当竞争，因此获评国际法律评级机 would mislead others into thinking that 构 “2018年度最佳交易奖”。 to address foreign IP clients’ increasing its products belong to another party or 在15位顶尖知识产权律师中，具有 that there is an association with another legal needs in trademark registration, 最跨界独特经历的王翔律师来自美国奥 party. The main criterion for an act to patent registration, copyright registra- 睿律师事务所。王律师目前担任律所全 caused confusion is that the act must be tion, IP infringement, trade secret litiga- 球顾问委员会联席主席兼亚洲资深合伙 “misleading”, which is in contrast with tion, etc. in China. 人，是极少数同时拥有电子与计算机工 the current position that the act must Qi adds that IP developments in 程专业博士学位、中国法律进修文凭， be unfair and cause harm to competi- the areas of energy, AI, smart devices, 以及在纽约州、印第安纳州和美国专 tors,” says Paul Chen, senior partner of immersive experience, digital industry, 利与商标局拥有律师资格的知识产权律 Beijing DHH Law Firm. online games, entertaining industry 师。成为律师前，王律师拥有在国际知名医疗和电子设备企业长达十余年的从 On 26 October 2018, China authority deserve a close watch. IP businesses in self-driving cars, robots, UAV, telecom- 业经历。 issued the Decision on Several Issues 王律师告诉ALB：“在担任工程师的那 munications, electric equipment manu- Concerning the Litigation Procedures in 十多年间，我的数项发明以个人名义获 Patent and Other Intellectual Property facturing, etc. will also prosper. 得了美国专利。这独特经验让我真正理 cases and from 1 January 2019 a new 解发明是怎么产生，而在真实工程世界 IP-focused Tribunal within the Supreme Practices 又是如何运作。除了运用‘律师’思维，我 People’s Court will decide patent and The average years of legal career of 还能以‘工程师’的模式思考，更容易、更 other complex technical IP case appeals. the Top 15 IP lawyers is 20 years, the top 迅速地了解发明人和发明本身，从而制 This SPC Tribunal will hear appeals from three are partner Zhongsheng Li at King 定进攻性或防守性的诉讼策略”。 civil (first-instance court) decisions & Wood Mallesons, partner Jiali Xu at 王律师也是奥睿知识产权业务部主 and administrative (CNIPA Patent Longan Law Firm, and partner Yixia Si 管。除了法律学位之外，其团队的许多成员拥有高级科学和工程学位，并经常 Re-examination Board) law cases. at Chang Tsi & Partners. 代表公司处理知识产权诉讼以及所有科 Li, 35-year experiences in IP legal “This will ensure uniformity of legal 技交易。 decisions and improve judicial protection industry, worked as the judge of IP 从业20年来，王律师拥有为客户就 of intellectual property. In the meantime, tribunal at Shenzhen Intermediate 其在美国、中国和亚洲的知识产权事宜 this also means business and new chal- People’s Court prior to joining KWM in 提供全方位法律服务之丰富经验。被问 lenges for IP lawyers,” says Baoxin Qi, 2004. Li is “highly knowledgeable” about 及曾处理的最具代表性案件，王律师指 partner of Allbright Law Offices. domestic litigation, of which he handles 出，“最近代理的几起跨境争议解决案 “The reform is unprecedented and is a great deal with big impacts--repre- 中，由美日企业（日立金属及Metglas） reverberating China’s IP landscape. As sented Qualcomm in a series of Standard 在美国国际贸易委员会指控中国国企安 appeals will be centralized to the SPC Essential Patent infringement cases 泰科技涉及商业秘密盗用的案件具有重 so differences at the lower court levels against a handset manufacturer Meizu. 大意义，特别是在中美贸易摩擦敏感期间，该案既备受瞩目，也较难获胜。” may be less of an issue. The removal of Nine patents including five SEPs in the 从15佳律师过去12个月经手的重要项 telecommunications sector and four a layer of appeal will also help remove 目来看，我们发现商标侵权等各类争议 local protectionism and encourage non-SEPs were asserted by Qualcomm 占比最多，其次是专利侵权和不正当竞 more parties to resort to local IP courts against Meizu. The systematic litigation 争纠纷，此外还包括著作权侵权、知识

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 27 TOP 15 IP LAWYERS

strategy exerted tremendous pressure infringement of its trademark rights and on Meizu, forcing Meizu to enter into requested Michael Kors (Switzerland) a patent license agreement with International GMBH to compensate Qualcomm at an early stage of the liti- economic losses and other reason- gation; represented Huawei in the anti- able expenses of RMB 95 million. The monopoly case against IDC. This case key legal issues involved are whether is the first anti-monopoly case adjudi- the involved trademark and the cited cated by a Chinese court in the telecom trademark constituted confusing simi- industry. The trial court and appellate larity, whether there was reversed court both supported the claims of trademark confusion, counteraction Huawei, and took the lead worldwide in filing, choice of the jurisdictional court, determining the royalty rates of SEPs in and whether the plaintiff’s lawsuit was the judgments, which was later followed carefully planned. This case was recog- by European and US courts. nized as top 10 the most valuable IP case Xu has been in IP legal industry for for research in 2017. 28 years. Before founding Longan, he Among the Top 15 IP lawyers, Xiang 产权战略布局、以及商业秘密侵权等。 had a stint at the Supreme People’s Wang, Co-Chair of Orrick’s Global “近年来，国家越来越重视企业创新， Procuratorate of the PRC for 6 years. Advisory Board and Senior Partner for 大力倡导自主知识产权，商标、专利、 Xu has acted for clients in a great Asia, boasts the most unique and multi- 版权的注册与登记数量也逐年攀升，伴 number of well-known and influential disciplinary experience as one of the 随而来的知识产权侵权案件日益增多。 cases, among which are COFCO’s suit few IP lawyers who has a doctorate in 目前业内比较关注的问题主要有傍名牌 against Dongfang Jiayu for infringe- electrical and computer engineering, 恶意抢注商标、诉讼维权成本高但是赔 ment of exclusive right to use the a Chinese Certificate of Laws and 偿额低、商业秘密维权难度大等问题,” trademark of “Great Wall”, and the admission to practice law in New York, 陈浩律师指出。 patent dispute between SigmaTel and Indiana and before the U.S. Patent and ALB发现，在商标侵权和不正当竞争 a Zhuhai-based company. Trademark Office. Before becoming a 侵权方面，过去12个月中、15佳知识产权律师代理的主要项目有： The director and managing partner lawyer, Wang has more than 10 years 金杜律师事务所合伙人李中圣律师代 of Chang Tsi & Partners, Si’s career of experience at medical and electronic 表高通公司应对上海高通公司提起1亿元 spans 26 years, having many overlap- device businesses before becoming a 商标和不正当竞争侵权诉讼案件。李律 ping with China’s IP developments in lawyer. 师带领团队有效抗辩，促使上海市高级 the past three decades. This year, Si “By having actually worked as an 人民法院一审判决驳回原告的全部诉讼 handled two significant cases. One engineer for more than a decade, and 请求。此案是彰显中国法院平等保护外 is the case of Under Armour v. Fujian also with multiple inventions during 国当事人权益的典型案例。 Tingfeilong on Trademark Rights that period which resulted in multiple 路盛律师事务所高级合伙人谯荣德律 Infringement and Unfair Competition, US patents under my name, such unique 师代表环球标牌公司诉国家工商行政管 where a small company in China experience gave me a real sense of how 理总局商标评审委员会、第三人万金刚 plagiarized a globally well-known inventions are created and how they 商标争议行政纠纷案，成功在再审程序中推翻一、二审法院关于商标近似性并 brand and conducted trademark work in the real engineering world. It 无效客户商标的裁定，维护了客户的注 rights infringement and unfair compe- enables me to think ‘like an engineer’ 册商标使用权。本案的争议焦点是诉争 tition. Si’s team rapidly brought the in addition to ‘think like a lawyer’, which 商标和印证商标是否构成使用在类似商 case of first instance to Fujian Higher in turn helps me understand inventors 品上的近似商标。该案的裁判标准对于 People’s Court and convinced the Court and inventions better and quicker, thus 明确划分不同主体的商标使用界限以及 to issue a preliminary injunction that helping formation of litigation strategy, 维持公平合理的市场竞争秩序具有重要 is the second preliminary injunction in whether offensive or defensive,” Wang 参考意义。 the history of Fujian Higher People’s tells ALB. 君合律师事务所合伙人马强律师代表 Court. This case has been covered by Wang also heads the firm’s China IP 宝马公司在上海知识产权法院对天津宝 The New York Times and The Wall Street Practice. Many members of his team 马、大庆庆炼公司及某自然人的润滑油 Journal. have earned advanced science and 提出商标侵权和不正当竞争诉讼，本案是润滑油领域的典型“傍名牌”案件。 The other case is Shantou Jianfa engineering degrees in addition to 中伦律师事务所合伙人马远超律师代 v. Michael Kors trademark infringe- law degrees. Apart from IP litigation, 理北京爱奇艺科技有限公司诉杭州飞益 ment dispute. In this case, Jianfa they are also experienced in repre- 信息科技有限公司、吕某、胡某不正当 Handcraft Factory sued Michael Kors for senting companies in all technology 竞争纠纷案，该案一审宣判后，被誉为“

28 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BROUGHT TO YOU BY ALLBRIGHT LAW OFFICES

百舸争流立浪头一如始终求极致 —专访ALB中国十五佳IP律师齐宝鑫 Focus on the Frontiers, 齐宝鑫，锦天城律师事务所高级合伙人 Never Settle for the Second Best Baoxin Qi, Senior Partner at – Interview with ALB Top 15 IP Lawyers Boris Armstrong Qi AllBright Law Offices

齐宝鑫律师是锦天城律师事务所高级合伙人，执业以来先后经 Boris Armstrong Qi (Baoxin Qi) is a senior partner at AllBright 办知识产权各类案件数千件，积累了丰富的理论与实务经验。与 Law Offices in Shanghai. Since his legal practice, he has handled thousands of IP cases and accumulated rich theoretical and practical 优秀的知识产权律师一样，面对案件本身的复杂性和技术难点， experience. Like every excellent IP lawyer, in the face of the complexity 齐律师一定会不断研究攻克直至找到最佳解决方案。齐律师更是 and technical difficulties of the case itself, Qi will certainly keep on 一位敢为人先的探索者，专注行业前沿，不断追求极致。 studying until finds the best solution. Qi is also a pioneer who closely follows frontier trends in industry and pursues the best solutions. 专注行业前沿知识产权领域普遍存在“评估难、处置难、变现难”问题，原因 Focus on Frontier Trends in Industry 是没有形成系统、完整的产学研融合的内在机制。在多年的执业 In the field of IP rights, there are widespread difficulties in valuation, disposition and commercialization of IP assets. The reason is that 生涯中，齐律师一直深入研究中国知识产权市场动向以及知识产 there is no systematic and complete internal mechanism for the 权相关法律法规。在齐律师看来，产业、金融与知识产权融合发 integration of production, education and research. During his many 展势在必行。“尤其在经办吉利汽车‘一带一路’项目和为中国科学 years of practice, Qi has been researching China’s IP market trends 院大连化学物理研究所、上海交大教育（集团）有限公司等提供 and IP laws and regulations in depth. In the view of Qi, the inte- 法律服务中积累的经验，更令我坚信：只有知识产权、产业、资 gration of technology, industry, finance and IP is imperative. “I am even more convinced of it after representing Geely Automobile in its 本三者高度融合才能释放出最大的经济动能。”齐律师谈到。 B&R project and providing legal services for the Dalian Institute of 执业期间，齐律师致力于帮助企业运用市场机制实现知识产权 Chemical Physics of Chinese Academy of Sciences and Shanghai Jiao 与金融资本对接，统筹推进科技成果从研发、策划、孵化一直到 Da Education Group, etc. The high degree of integration of IP, industry 实现产业化的资金供给。围绕创新链部署产业链，产业链完善资 and capital will release the greatest economic momentum.” Qi said. 金链，资金链助力创新链，从而成功建立创新型知识产权法律服 During his practice, Qi is committed to helping enterprises use market mechanisms to achieve the docking of IP and financial capital, 务平台，并在某国家能源战略知识产权项目中获得了中国工程院 and to promote scientific achievements from lab to market. His efforts 某院士的高度认可。 in an IP project for national energy strategy were highly recognized by a member of the Chinese Academy of Engineering. 世博会法国馆案件列为十大案件之首齐律师代理的诸多案件入选为知识产权司法保护十大案例，曾 Milestone Case of the French Pavilion 代理的澳大利亚五合国际企业名称案例也入选了“2010年上海法院 Many cases represented by Qi were selected as the top ten cases 知识产权司法保护十大案件”。 of IP judicial protection. The case of the Woodhead International Pty. Ltd. 齐律师师从知名的知识产权专家陈乃蔚教授，最让齐律师引以 regarding its name dispute was also recognized by the Shanghai High People’s Court as one of the Top Ten IPR Cases in 2010. 为傲的是经办的上海世博会法国馆发明专利案，该案被评为“2010 Qi studied under Professor Naiwei Chen, a well-known IP expert. As 年上海法院知识产权司法保护十大案件”，也被最高人民法院评 to Qi, he is most proud of his outstanding performance in the patent 为“2010年中国法院知识产权司法保护十大案件”之首。 infringement dispute on behalf of the French Pavilion at the Shanghai 该案发生在上海世博会期间，稍微处理不当将造成重大国际影 World Expo, which was also ranked as the Top Ten IPR Cases in 2010 by 响。据齐律师介绍，处理本案时如何迅速解决纠纷，采取何种策 both the Shanghai High People’s Court and the Supreme People’s Court. The case occurred during the Shanghai World Expo, which means 略防止原告专利权不当扩张，既能维护世博会展馆的正常运行， even a slight mishandling would cause a major international impact. 又能维护被告的合法权益及社会公共利益，是当时面临的重大挑 According to Qi, the most challenging issue was to find an effective 战。为此，齐律师组织了大量技术研究分析会议，咨询技术专家 strategy to solve the dispute in a timely manner, which couldn’t afford 意见，对专利权人的专利技术方案和法国馆建筑物的技术特征进 any sloppiness. Qi therefore organized a large number of researches and 行专业分析和比对，从而精准选择了专利侵权应对策略。最高人 analysis meetings, consulted number of experts, and gave a comprehensive comparison and analysis on the patent technology solution of 民法院在发布“2010年中国法院知识产权司法保护十大案件”时评 the patentee and on the architectural technology of the French Pavilion 价世博会法国馆发明专利案是“一起正确运用专利侵权判定方法， before producing the effective strategy to cope with patent infringe- 防止专利权不当扩张、压缩创新空间和损害公共利益的典型案 ment. This case was regarded by the Supreme People’s Court as “a 例。” case properly using patent infringement judgment methods to prevent improper expansion of patent rights, compressing the innovation space 不断追求极致 and harming the public interests.” 得到客户认可、突破客户预期，一直是律师面临的最大挑战。 Never Settle for the Second Best 挑战不同业务领域和方向、不断处理新的前沿法律问题、时刻处 It’s always challenging for lawyers to provide the clients quality legal 于探索状态以及追求极致是齐律师的兴趣所在。齐律师经办的吉 services that exceed their expectations. It’s equally challenging to venture 利、沃尔沃与福特汽车三方知识产权会谈项目、国家磁浮交通中 into new frontiers in the IP industry and to tackle with emerging IP issues. 心沪杭磁悬浮专有技术许可协议项目、国际商会仲裁院ICC涉及 Qi takes the challenges as good opportunities to be further specialized 汽车行业巨头之间标的额高达数亿元人民币纠纷案件等均系具有 in IP areas and he never settles for second best. Qi provided legal service in many cases of significant social influence, 重大社会影响力的案件，均获得了客户的一致好评，取得了良好 which has been well received by clients and achieved good social results. 的社会效果。因在为上海市某政府部门提供法律服务过程中的出 Due to his outstanding performance, Qi received a formal commenda- 色表现，齐律师更是于2018年3月获得上海市司法局通报表扬。 tion from the Shanghai Judicial Bureau in March 2018. TOP 15 IP LAWYERS

transactions. Tong Semiconductor Co., Ltd in which 全国首例视频刷量不正当竞争案”，彰 Being in this trade for 20 years, Wang SHGT claimed damages of 100 million 显了马律师团队对互联网行业、对《不 has extensive experiences in assisting RMB. Li and his team raised effective 正当竞争法》适用的深刻理解与娴熟运 clients with all aspects of their IP rights defenses and Shanghai High People’s 用，本案同时也对遏制破坏网络公平竞争规则的不正当刷量行为，具有重要警 in the U.S., China and Asia. When asked Court rejected all the claims brought by 示作用。目前本案正在二审审理阶段。 SHGT in the first-instance judgment. This to share one case that impressed him 欧华律师事务所合伙人Horace Lam most, Wang tells ALB that “the most case highlights equal protection of the 在西班牙、意大利、德国、英国、奥地 recent series of cross-border disputes rights and interests of foreign entities by 利、波兰、美国、澳大利亚等多个司法 including among other things, misappro- Chinese courts and is widely influential. 辖区就创维的核心标识SKYWORTH代 priation of trade secrets allegations by a Sharon Qiao is a senior partner 理其商标侵权案。 Japanese-US consortium (Hitachi Metal and head of the litigation group at ALB发现，在专利侵权方面，过去12 and Metglas) against Chinese state- the Lusheng Law Firm. She has led 个月中、15佳知识产权律师代理的主要 owned enterprise Advanced Technology hundreds of IP cases, many of which 项目有： & Materials, Co. and several of its related have been selected as noteworthy 金杜律师事务所合伙人李中圣律师代 companies both at US ITC and in China cases of the year by courts at all levels. 表北京四环制药公司起诉齐鲁制药公司药品标准必要专利侵权纠纷案件。被告 likely is among the cases that I believe In the past 12 months, she represented 抗辩药品专利不适用禁令的要求，李律 Worldwide Brands regarding the represents important significance, 师带领团队代表四环认为药品专利属于 because such allegations are high- trademark “camel active” infringement 必须以标准方式实施的专利，不适用专 profile and difficult to win, especially case, which was recognized as Typical 利法司法解释二第24条的调整，得到两 during the sensitive US-China trade IP cases of 2017 by China IP magazine. 审法院的支持，本案在制药跨国公司中 friction period”. According to Qiao, the thorny issue of 产生很大影响。 ”When revisiting the Top 15’s most this case is to identify what constitute 竞天公诚律师事务所赵烨律师代理 significant work in the last 12 months, we the similarity of trademarks on similar 华为诉三星侵害发明专利权纠纷案，为 found that trademark infringement took products. This case serves as a good 华为赢得国内首个标准必要专利的司法 the majority of the cases they handled, example to distinguish different trade- 禁令。此案复杂性在于：违反公平、合 followed by patent infringement and marks in usage and help maintain a fair 理、无歧视承诺的认定，是对司法禁令救济的独创性适用等，此案的创新性在 unfair competition. Others include competition in the market. 于是国内首例无线通信国际标准必要专 Qiang Ma is a partner and co-head of copyright infringement, IP strategic 利侵权案件。 planning, trade secret infringement, etc. the IP practice of JunHe LLP. He has a 北京德和衡律师事务所合伙人陈浩律 DHH’s Chen points out that “IP profound knowledge of trademark law 师代理三井金属爱科特（上海）管理有 infringement cases are on the rise in and a wealth of experience in brand 限公司诉烟台某公司“车门闩锁设备”实 China due to a combination of factors. protection and handling complex 用新型专利权侵权纠纷（一审、二审）。 In recent years, the government encour- trademark matters. Cases handled by 本案难点在于：很难固定侵权证据，且很 ages innovation and makes the protec- Ma have been listed among the top 10 难确定侵权产品的数量，陈律师带领团队 tion of IPR as one of China’s strategic cases and representative cases of the 完成了一审、二审的胜诉。该案提升了外 goals. China is witnessing a steady year by the Chinese Supreme Court 资企业对中国知识产权维权体系的认可， increase in trademark registration, and the Beijing Higher Court. A recent 为外资企业在中国境内进行专利维权树立了典范。 patent registration and copyright regis- trademark case, in which Ma successfully 天元律师事务所合伙人孙彦律师代表厦 represented BMW before the Shanghai tration, which also led to an increase of 门宏发电力电气有限公司处理其诉杭州西 IP infringements in the form of malicious Intellectual Property Court, was recog- 力智能科技股份有限公司专利侵权案件， registration of trademarks, higher liti- nized as a landmark case due to the 该案难度在于侵权产品数量的调查，最终 gation costs but negligible punitive court’s decision to protect BMW’s well- 协助客户通过和解获得满意的赔偿。 damages, or too complicated to win a known trademarks against infringing ALB发现，在著作利侵权、商业秘密 trade-secret misappropriation case, etc.” registered marks. 侵权方面，过去12个月中、15佳知识产 According to our research, the main Partner Yuanchao Ma of Zhong Lun 权律师代理的主要项目有： cases on trademark infringement and Law Firm acted for Iqiyi to sue an informa- 国浩律师事务所粟晓南律师代理中国华 unfair competition handled by the Top tion technology company in Hangzhou. 能集团有限公司著作权侵权案。本案的复 15 IP lawyers in the last 12 months are: In this case, Iqiyi has infringed its legit- 杂性在于当存在相当多不利在先判例的情况下，如何通过深挖对方证据的瑕疵点并在 KWM partner Zhongsheng Li repre- imate rights and interests because of 庭审中影响法官审理心证，同时通过协调沟 the “brush quantity” of this technology sented Qualcomm to defend an accused 通快速积极并且在委托人可接受预期范围之 trademark infringement and unfair company. This is a milestone case, also 内解决问题。本案的影响力是进一步完善了 competition case against Shanghai Gao China’s first case of unfair competition 委托人企业内部，包括下属众多关联公司之

30 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 TOP 15 IP LAWYERS

caused by the “brush region, the US and Australia. The 间的知识产权保护制度。 amount” of the video outcome of the dispute may well 金杜律师事务所合伙人李中圣律师代 website. The court iden- determine the ability of Skyworth, 表浙江新和成公司起诉附件海欣公司和福 tified video brushing one of the largest TV makers in the 抗公司商业秘密侵权纠纷案件。两审法院 behaviors as unfair world, to continue using its core brand 在判决被告停止侵权的条件下，使用举证 competition, which is “SKYWORTH” in Europe and other 妨碍制度，判决被告承担惩罚性赔偿责任 of great significance to parts of the world. 3.5千万元，此案是中国法院审理商业秘密案件中，判决赔偿数额较高的案例之 clean up the competi- According to our research, the 一。同时，通过民事诉讼和刑事诉讼并行 tive environment of the main cases on patent infringement 的策略，法院还判决附件海欣公司、福 network video industry handled by the Top 15 IP lawyers in 抗公司构成法人犯罪，处罚罚金3.1千万 and maintain the normal the last 12 months are: 元，主要责任人7人被判处6年半不等的有 operation of the video KWM’s partner Zhongsheng Li 期徒刑。 industry. represented Beijing Sihuan Pharma Horace Lam is the Managing in a drug-related SEP infringement 体悟 Partner of DLA Piper’s Beijing office, case against Qilu Pharma. Qilu 作为知识产权律师，接触的案件案情 and Co-head of the Intellectual Pharma defended that an injunc- 繁杂种类多、也没有固定的代理思路， Property and Technology (IPT) group tion shall not be granted in a drug- 每个案件都有不同的技术难点与诉讼难 in Asia. He has advised Skyworth on related SEP dispute. However, Li and 点，我们想知道他们迎难而上的动力所在，便采访了几位十五佳律师，得到的 a global trademark dispute with SKY his team represented Sihuan Pharma 普遍回答是：最大的挑战的反面，正是 International regarding its core brand to argue that the asserted drug-related 作为知识产权律师获得的最大乐趣。 “SKYWORTH” across multiple jurisdic- patent is a patent that must be imple- 赵烨律师说，身为一名知识产权律 tions, including the entire European mented in accordance with standards, 师，他感受到的最大乐趣是庭审中能够

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司义夏事务所主任 | 管理合伙人 E-mail: [email protected] 电话: +86 10 88369999

司义夏律师是铸成律师事务所主任、管理合伙人。有着丰富发诉MK侵害商标权案”被Asialaw & Benchmark Litigation评选的人生阅历和专业经验，曾经在高等院校、司法机关、国家部为“2018年度最佳交易”，并获评上海知识产权研究所“2017中国委、大型国有公司任职，对其运行管理体制十分熟悉，积累了十大最具研究价值知识产权裁判案例”；“安德阿镆诉福建廷飞丰富的经验并具备良好的与这些机构沟通协调的能力。龙商标权及不正当竞争诉讼案”被中华商标协会评选为“2017- 司律师在为客户提供法律服务的过程中，始终站在客户的角 2018优秀商标代理案例”；“斯凯杰美国公司诉斯哌纹奇体育度，把客户的合法权益最大化作为从事各项工作的宗旨，能够用品有限公司等商标侵权及不正当竞争二审”，受到各大媒体根据客户的实际情况和需要，为客户提供量身定制、切实有效的广泛报道。的解决方案。他为众多500强公司提供知识产权保护战略、知作为在市场和服务两方面均已长期、深入地融入国际社会法律识产权交易、品牌许可与品牌增值、知识产权尽职调查、知识服务机构的管理合伙人，司义夏律师对国际律师行业的服务规范产权侵权救济等法律服务，也因对客户的忠诚及专业获得所有和标准谙熟于心，能够把本土律师的优势和国际上最优秀的法律客户的信赖和尊重。一位客户曾评价他:“司义夏律师是一位仍服务机构的经验和标准有机结合起来，发挥本土律师和国际化视然奋斗在第一线的高水平律师。他带领的团队的业务水平令人野有机结合的优势，为国内外客户提供专业的法律服务。佩服，为我们制定知识产权保护战略布局，综合考虑我们的法律问题及商业需求。他的策略总能将我们的风险降到最低，并联系人：程路 E-mail: [email protected] 不拘泥于频繁起诉，而是经常配合执法机关，协调有关部门进地址：北京市西城区北展北街华远企业号A座6/7/8层行积极改正或者和解。” 邮编：100044 www.changtsi.com 司义夏律师代理的案件在2018年成绩斐然，其中，“汕头建电话: +86 10 88369999

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 31 BROUGHT TO YOU BY DHH LAW FIRM 陈浩高级合伙人、知识产权团队主任 Paul Chen Senior Partner, Director of IP Team

联系方式 / Contact info: 地址：北京市朝阳区建国门外大街2号银泰中心 C座12层 Add: 12/F, Tower C, Beijing Yintai Centre, No.2 Jianguomenwai Avenue, Chaoyang District, Beijing, P.R.China 电话/Tel： +86-10-85407765 专业度与执行力并存 +86-13910886858 邮件/E-mail：[email protected] —专访ALB中国十五佳IP律师陈浩

老字号“瑞蚨祥”保卫战告捷依帕超高压电器有限公司侵害“开闭器用操训，进行案例及理论研讨，提升团队成员百年老字号“瑞蚨祥”（权利人为山东天业作器”发明专利权，要求停止使用涉案专利的专业度，”陈浩律师说。恒基股份有限公司）的商标行政上诉案是并提出高额赔偿。陈浩律师首先向当事另外，他认为，团队内工作要有明确分陈浩律师的代表案例之一。人详细了解案情，积极准备案件资料，工，专利、商标、版权等案件，不同专业 2012年，北京某公司对天业恒基公司名在庭审前就发现原告专利文件权利要求的人处理不同类型的案件，每个案件都下“瑞蚨祥及图”商标提起“连续三年停止使中的缺陷。中日专利法对于授予专利权实行双人办案制，A角侧重于案件实体处用”撤销申请，经商标局审查予以撤销。天标准的规定不同，但是原告公司在申请理，B角侧重于案件程序处理，AB角可以业恒基公司向商评委提出复审后，商评委中国专利时未依据中国专利法作调整而互相补位，既能够为客户提供专业服务，做出维持商标注册的决定。对此，北京某造成这缺陷。在庭审中，陈浩律师对原也能够很好应对意外状况发生。公司在法定期限内向北京知识产权法院提告的专利文件、原告的取证方式，以及在加强执行力方面，陈浩律师要求团队起行政诉讼，北京知识产权法院撤销商评原告证据是否形成证据链提出质疑，并在规定的时间内完成规定的工作要求，并委做出的被诉决定，责令商评委重新做出通过大量证据证实原告提供产品并非被且要高质量完成。“这就要靠团队制度来决定。至此，如天业恒基公司二审上诉不告使用，而且被告产品也不落入原告专保证，做事情没有章法、流程或者期限管能改判,“瑞蚨祥”商标将被撤销，则这家百年利的保护范围。最终，一审法院判决驳理，执行力再高的人，也无法施展自己的老字号将永远失去这一商标。回了原告的全部诉讼请求，原告不再上才能，体现团队的执行力。” 接受天业恒基公司的委托后，陈浩律师多诉。这场发明专利侵权诉讼案，在陈浩次奔赴泉城，与天业恒基公司负责人及员工律师及团队的不懈努力下，被告公司完商业秘密维权激增得益于法治环境优化反复沟通。他意识到二审时如果不能提供新胜。纵观近年来知识产权领域的案件，陈浩证据，则此案几乎没有改判的可能性。律师认为涉及商业秘密案件数量增长迅为此，天业恒基公司及德和衡投入大量专业不止于专业速。人力，走访国家图书馆、山东图书馆、济由于客户遍布全球，在与国际客户沟通 “一直以来，商业秘密维权难度比较大，南图书馆及全国各地电视台，调取原始档时，陈浩律师积累了丰富的客户管理经主要原因在于两点，一点是原告需要证明案，逐一翻阅、搜寻、筛选“瑞蚨祥”商标使验。自己拥有商业秘密，另一点是同时需要证用的有利证据。这个过程中，最大的困难 “与外国客户沟通，要使用外国客户容明被告侵犯商业秘密“，他介绍道。具体而在于如何在海量的媒体报道中，有效选取易理解的方式。”陈浩律师告诉ALB杂志，言，与知识产权局授权的专利证书不同，出能直接体现“瑞蚨祥”商标使用的特定证他用工作中经常碰到的电子邮件问题举例商业秘密不需要国家机关的授权，所以权据。由于早年大部分媒体报道没有电子文说，“外国客户抱怨看不懂中国律师发过来利人要证明拥有商业秘密权利时需要提供档化，陈浩律师带领团队历经多日连续作的邮件，原因就在于大家撰写邮件的习惯较多的证据，而证明拥有专利权仅需提供战，逐页核查，才将证据收集完毕。不同。” 专利证书即可。通过直接证据与间接证据相结合，陈浩陈浩律师解释道，中国律师常常先用大另外，此类侵权极具隐蔽性。商业秘密侵律师和团队成员终于有效地证明了济南瑞篇幅介绍案情情况，然后再告诉客户结权主要发生在公司员工和合作伙伴两类人群蚨祥绸布店持续经营及商标使用情况。北论；而外国客户更习惯将最重要的结论放中，所以窃取商业秘密、使用商业秘密的行京市高级人民法院为此作出判决，撤销一在邮件最前面，再交代细节。为很难被发现。即使被发现，权利人也很难审判决，天业恒基公司二审获胜。“瑞蚨祥另外，外国客户比较关注律师回复邮件提供证据予以证明。及图”商标得以维持，存在百余年的济南瑞的速度。陈浩律师要求团队必须在24小时 “近期商业秘密维权案件的增加，一方面蚨祥老字号终将维继。内回复全部邮件，如果24小时内确实不能是因为企业对商业秘密越来越重视，从制完成，也会在24小时内告知客户具体完成度及软硬件等方面预防侵权行为——这些发明专利侵权案对垒完胜时间。措施虽然不能完全避免商业秘密侵权的发除了熟悉我国知识产权领域的工作外，为了培养一支强大而高效的专业队伍，陈生，但是在侵权发生后，令收集证据、启陈浩律师也深谙各国知识产权法规与中国浩律师对于团队的要求是专业度与执行力。动维权的过程变得更容易。” 陈浩律师说国内相关要求的不同之处，并凭借这一优 “对于知识产权团队律师，要保持足够道，另一方面的原因是企业对法治环境越来势成功处理了很多涉外案件。的专业度。首先要有培训机制，我会选择越有信心——各级法院为权利人维权提供完某日资公司起诉特变电工（上海）中发团队内外的专业人士，为团队成员定期培善的司法环境，提升了权利人的维权信心。 In addition, foreign clients request timely response to emails. Mr. Chen has asked his Combination of team to respond to any emails within 24 hours with an answer or a notice on when the answer will be provided. Professionalism and Execution In order to build a strong and efficient professional team, Mr. Chen puts great - An interview with Paul Chen, an“ALB China 2018 Top 15 IP Lawyer” emphasis on professionalism and execution. “For IP lawyers, a training mechanism Paul Chen, a senior partner of Beijing proved the continuous operation and use of to maintain sufficient professionalism is DHH Law Firm, has been named as one of the trademark by Jinan Ruifuxiang Silk Cloth essential. We organize regular trainings for ALB China 2018 Top 15 IP Lawyers. Mr. Chen Store through the combination of direct all team members, and conduct case studies has thorough knowledge of Chinese and evidence and indirect evidence. Eventually, and theoretical discussions, to enhance the foreign intellectual property laws and regu- the Beijing Higher People’s Court ruled in professionalism of our team members,” said lations, and is sharing with us his valuable favor of Tyan Home and revoked the judgment Mr. Chen. insights and experience accumulated during of the first instance. In the end, the trademark Mr. Chen also believes that there must be his practice. of“Rui Fu Xiang and the image”was sustained a clear division of specific practice focuses and the Jinan Ruifuxiang Silk Store, which has within the team. Different lawyers focus on Success in Protecting the Time-honored existed for more than a century, can continue different types of cases, such as patents, Brand of “Rui Fu Xiang” to flourish. trademarks, copyrights, etc. Each case is The trademark administrative appeal handled by a team of two lawyers with one of the century-old brand of “Rui Fu Xiang” Victory in an Invention Patent Infringement focusing on the merits of the case while the owned by Shandong Tyan Home Co., Ltd. Case other the procedural matters. The two lawyers (“Tyan Home”) is one of Mr. Chen’s repre- Mr. Chen has a deep understanding of the can support each other, providing profes- sentative cases. differences between IP laws in various juris- sional services to clients as well as dealing In 2012, a Beijing company filed an dictions and China, and thus has successfully with unexpected situations. application to cancel the trademark of“Rui handled many foreign-related cases. In terms of achieving better execution, Mr. Fu Xiang and the image” registered under A Japanese company sued TBEA Zhongfa Chen asks the team to complete the assigned the name of Tyan Home on the grounds of (Shanghai) Super High Voltage Electric Co., work within the required time and with high “non-use for 3 consecutive years”, and the Ltd. for infringing the patent of the“operator quality. “The teamwork system is essential to trademark was cancelled by the trademark for the shutter”, demanding to stop using effective execution. Without rules, processes office after examination. After Tyan Home the patent in question and claiming for high or deadlines, we can’t guarantee the result of submitted a review application to the compensation. Mr. Chen first communi- our execution,” he said. Trademark Review and Adjudication Board cated with client thoroughly and prepared (the TRAB), the TRAB decided to maintain case materials and identified the defects The Surge of the Trade Secrets Protection the trademark registration. In response, the in the plaintiff’s patent files. The standards Cases due to the Improvement of the Legal Beijing company initiated an administrative of granting patents are different under the Environment proceeding in Beijing Intellectual Property patent laws of China and Japan. However, “It has always been difficult to protect Court within the statutory time limit. The court the plaintiff did not make any adjustment trade secrets. The main reason is that the revoked the decision made by the TRAB and in accordance with the Chinese patent law, plaintiff needs to prove that he owns the ordered the TRAB to make a new decision. which resulted in these defects. Mr. Chen chal- trade secrets, and the defendant has infringed At this point, if this case cannot be overruled lenged the patent documents of the plaintiff those trade secrets,” said Mr. Chen. In this during Tyan Home’s appeal, the trademark and the method of obtaining evidence by the regard, different from the patent certificate of “Rui Fu Xiang” will be removed and Tyan plaintiff, including whether the evidence of issued by the IP authority, trade secrets do Home will lose the century-old brand forever. the plaintiff could form the evidence chain in not require any authorization from any regu- After being engaged by Tyan Home, the trial. He also provided a large amount of lators. Therefore, the right holder in a trade Mr. Chen communicated with the client evidence to prove that the product provided by secrets case must provide more evidence than and its employees during his multiple trips the plaintiff is not used by the defendant, and in a patent infringement case. to Quancheng. He realized that if no new the products of the defendant is not within the In addition, the infringement of trade evidence could be provided during the appeal, scope of the plaintiff’s patent. In the end, the secrets is extremely difficult to discover. Trade the possibility of overruling the case would court of first instance dismissed all the claims secret infringement mainly occurs among the be slim. of the plaintiff and the plaintiff did not file an company’s employees and partners, and it For the purposes of gathering new appeal. Mr. Chen and his team successfully is difficult to detect any stealing or misuse evidence, Tyan Home and DHH devoted signif- achieved the goal of the client in this lawsuit. of trade secrets., or it is difficult for the right icant amount of time and resources to visiting holder to prove such stealing or misuse. national, provisional and municipal libraries Professionalism Is More than Practice “The recent increase in the trade secrets and TV stations across the country, retrieving “To communicate with foreign clients, protection cases is due to the fact that enter- original archives, and reviewing, searching you need to use a way that foreign clients prises are paying more and more attention to and selecting any evidence of proving the use can easily understand”Mr. Chen used work trade secrets, and preventing infringements of the trademark of“Rui Fu Xiang”. The most emails as an example, “Foreign clients used by utilizing systems, software and hardware. difficult part of this process is the selection to complain that they could not understand These measures cannot completely prevent of specific evidence that directly reflects the the emails sent by Chinese lawyers because infringement of trade secrets, but they make use of the trademark among a huge amount of the differences in the style of writing.” it easier to collect evidence and initiate the of media reports. Since most of the media He explained that Chinese lawyers often procedures of safeguarding rights,” said Mr. reports in the early years were not electroni- begin with an extensive introduction of the Chen. “Another reason is that enterprises cally documented, Mr. Chen and his team had case before offering any conclusion, while are increasingly confident in the legal envi- to review the files page by page for several foreign clients are more accustomed to ronment - the courts at all levels are now days and nights to successfully obtain the putting the most important conclusions at providing a friendly judicial environment for evidence required. the beginning of the email before elaborating right holders, which boots their confidence Mr. Chen and his team members effectively the details. in safeguarding their rights.” TOP 15 IP LAWYERS

and therefore, shall not be subject to 棋逢对手、酣畅淋漓地庭辩，并且庭辩 Article 24 of Judicial Interpretation 能对结果产生实质影响，“诉讼就是当事 II. The trial court and the appellate 人的博弈，服务附加值就是除了案件事 court supported Li’s argument. This 实本身，由律师的能力差异所带给当事 case draws high attention from multi- 人博弈中的优势。” 从业11年、虽然是今年15佳知识产权 national pharmaceutical companies. 律师中从业年限最“年轻”的一位，赵律 Partner Ye Zhao of Jingtian & 师代理的华为起诉InterDigital案件被评 Gongcheng is well-experienced in 为改革开放40周年40个重大司法案例。 patent litigation field and has repre- 赵律师很看好中国知识产权法律人在全 sented Huawei against Samsung in about 球案件中日益担任重要决策者的趋势， ten patent infringement cases, concerning 认为以规则为基础的世界经济主流不会 both SEP and non-SEP patents, and won 发生变化，知识产权法或者竞争法也仍 most of the cases, including which an injunc- that the defendants misappropriated 将是各个企业甚至国家之间竞争中不可 tion was awarded to a SEP holder in China the trade secrets of Zhejiang NHU, and 或缺的部分。 for the first time. awarded damages of 35 million RMB by 陈浩律师的执业领域涵盖专利诉讼、商标诉讼与版权纠纷。在陈律师看来， Senior partner Paul Chen of DHH reasonably shifting the burden of proof 知识产权律师的底色一定是技术很过硬 processed the “door latch equipment” to the defendants to produce evidence 的，“比如专利案件要理解不同专利的 patent infringement dispute case of Mitsui about damages. This is one of the top 技术原理，商标案件可能需要从客户公 Kinzoku ACT (Shanghai) Management Co., trade secret misappropriation cases in 司、市场、媒体、图书馆等多地收集证 Ltd. According to Chen, the thorny issue which the court awards damages in a high 据，商业秘密案件首先需要证明技术的 of the case is hard to keep the evidence of account. Aside from the relief acquired 秘密性等。”而最大的犒赏，则来自攻 the infringement and hard to quantify the through civil actions, the court also ruled in 克每一个疑难案件带来的喜悦。近期陈 number of the infringement products. Chen’s a parallel criminal case that Fujian Haixin 律师正在处理“瑞蚨祥”商标行政诉讼二 team won the first and second trial. This case Pharma and Fukang Pharma committed 审，“因涉及老字号商标该案意义重大， boosted the confidence in foreign entities for a corporate crime with a fine of 31 million 但在收集证据方面确实存在困难，好在 China’s IPR. RMB, and that 7 persons who were mainly 案件成功、结果喜人。”陈律师跟ALB分享。 Partner Yan Sun of Tian Yuan represented responsible were sentenced to imprison- 从业16年来，除了对客户提供专业法 Xiamen Hongfa EPC to sue Hangzhou Xili ment of six and a half years. 律服务、最大限度维护客户合法利益之 Intelligent Technology Co.Ltd. on a patent 外，陈律师认为与客户的及时沟通、与 infringement dispute. The thorny issue of Reflections 客户建立充分信任尤为重要：一方面可 the case is hard to do the due diligence on Unlike every other type of lawyer, IP 随时知道客户想法，在沟通中更深入地 the number of infringed products. lawyer are expected to have a technolog- 了解案情、寻找更多突破口；另一方面 According to our research, the main ical background. Most of the cases they 也能让客户了解案件进展以及律师的工 cases on copyright infringement and are handling are technologically chal- 作内容。 trade secret infringement handled by the lenging. There is no fixed approach to 司义夏律师秉承将律师与客户的关 Top 15 IP lawyers in the last 12 months each case as the complexities of tech- 系拓展成价值共同体或利益共同体的理 are: nology in different industries demand a 念。“除为客户提供专业法律服务外，我们还提供战略规划、课题调研、专题培 Partner Xiaonan Su of Grandall Law tailor-made approach. We were curious 训、内外交流、年度白皮书及其他客户 Firm acted for China Huaneng Group to know their motivation behind each 需要的支持帮助，在各种合作的过程中 Co., Ltd on its copyright infringement. complicated case. Based on our survey, 与客户建立起深度信赖的战略合作伙伴 According to Su, the thorny issue of the they enjoy being an IP lawyers when chal- 关系。” case is how to convince the judge when lenges turned into achievements, which 通过长期的执业生涯，司律师深刻地 there were abundant precedents that is the biggest pleasure that could be well 体会到，“服务客户最大的挑战在于如何 were unfavorable to this case. This worth all their efforts. 最大限度地了解不同行业客户的特定需 case helps the Group and its affili- Ye Zhao told ALB that he got fascinated 求，出具量身定制的法律意见，在解决 ated companies to improve their IP by the art of litigation, “Litigation is not just 具体法律问题的同时帮助客户实现整体 management. about a zero sum game with a winner and 战略、实现客户利益最大化；而乐趣也 KWM’s Zhongsheng Li represented a loser. Litigation should be viewed as the 正是在服务全球顶尖企业的过程中，和客户相互沟通、相互学习，随客户风雨 Zhejiang NHU in the trade secret misap- continuation of negotiations. Litigation 同舟、共成长带来的满足。” propriation case against Fujian Haixin lawyers are trained to attack and coun- Pharma and Fukang Pharma. Both the terattack. It is intellectually stimulating 思考 trial court and the appellate court ruled to use all the weapons in the arsenal of 被问及当下有哪些问题亟待解决时，

34 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 BROUGHT TO YOU BY JINGTIAN & GONGCHENG

赵烨，竞天公诚律师事务所合伙人 Zhao Ye, Partner of 以创新的方式来解决创新带来的问题 Jingtian & Gongcheng

专访2018年ALB China十五佳知识产权律师竞天地址/Add: 中国北京市朝阳区建国路77号华贸中心3号写字公诚律师事务所合伙人赵烨律师楼34层 34th Floor, Tower 3, China Central Place, 77 Jianguo Road, Chaoyang District, Beijing 100025, China. An interview with 2018 ALB China Top 15 IP Lawyers – 电话/Tel: +86 134 8886 6483 Zhao Ye, Partner of Jingtian & Gongcheng 邮箱/E-mail: [email protected]

竞天公诚律师事务所合伙人赵烨律师荣登2018年ALB Zhao Ye, partner of Jingtian & Gongcheng, spoke to Asian Legal China十五佳知识产权律师榜单。就中国知识产权法律实践 Business (ALB) about the practice and development of IP protection in 与发展，ALB与赵律师展开对话。 China after being named one of the 2018 ALB China Top 15 IP Lawyers. ALB: Could you give us a brief introduction to the cases you handed ALB：作为ALB十五佳IP律师之一，赵律师在知识产权与反 on IP and anti-monopoly? 垄断领域颇有着闪亮的成就，可否简单介绍一些您的代表案 Zhao: My expertise is in IP and anti-monopoly law, especially when 例？ these two areas overlap. For example, the case where Qihoo 360 赵律师：我执业的主要领域为知识产权和反垄断，尤其是这 sued Tencent for abusing its dominant market position is the first anti-monopoly case in the Internet space. The second significant case 两个领域交叉的部分。典型案例包括：第一，奇虎360诉腾 is Huawei suing InterDigital for abusing its dominant market position. 讯滥用市场支配地位一案，该案是中国互联网领域反垄断案 It marked the first anti-monopoly case concerning essential patents in 件的首例。第二，华为诉InterDigital滥用市场支配地位纠纷 China, and it is also one of the top 40 judicial cases for the 40th anni- 案，该案是中国首例涉及标准必要专利的反垄断案件，也被 versary of China’s economic reform and opening up. The third case 评为了改革开放四十周年40个重大司法案例。第三，新浪 was Sina Weibo suing Maimai for unfair competition, which is China’s 微博诉脉脉不正当竞争纠纷案，这是中国首例商业数据维权 first case involving commercial data. It was named by Beijing’s Supreme 案件，被北京高院评为年度十大案例。第四个案例是华为诉 Court as one of the top 10 cases of the year. The fourth case is Huawei suing 三星标准必要专利纠纷案，该案是中国首例法院发布禁令的 Samsung, which is the first essential patent infringement case that saw the Court hand down a permenant injunction in China’s wireless commu- 无线通信国际标准必要专利侵权案。这些案件都在行业内有 nication sector. They are landmark cases that have far-reaching influence 一定的影响。 in the industry. ALB: 您代理了多个国内首例的案件，面对这样多的极具挑 ALB: How did you solve the challenging legal issues centering on the 战性的前沿性知识产权法律问题，您是如何成功解决的？ first-its-kind cases in China you handled? How do these cases improve 这些典型案件如何推动中国知识产权法律实践的完善发展？ the development of China’s IP law practice? Zhao: When the industry develops to a certain level, companies in the 赵律师：当产业发展到某阶段，市场中的企业便有需求利用 market will have a demand for legal services to solve problems arising 法律的工具，尤其是竞争法中的工具来解决竞争中所产生的 from competition, especially by using the Competition Law. China’s 问题。中国的互联网发展已走到世界前列，国内市场竞争激 Internet development has come to the forefront, and the competition in 烈，所以企业对于法律创新有着较高的需求，我们同样通过 China is fierce. Innovation in legal services is much needed to meet 提供创新性的服务来解决创新所带来的问题。产业在创新， the companies’ demand, so we solved problems created by innovation 法律亦如此。 innovatively. The industry is evolving, so is law. 提供创新性的法律服务也需要有着广泛的知识基础，我们的 A comprehensive knowledge base is essential to provide innovative 团队人员不仅有技术背景、法律背景，也还有经济学背景。 legal services. Our team members have different areas of expertise: technical, legal and economic. We come up with solutions by integrating 在此情况下，可以通过知识融合、观点碰撞产生优秀的解决 different knowledge and perspectives. Furthermore, we don’t just look 方案。进一步，我们提供的方案并非简单着眼于法律本身， at law itself but the nature of the business and the industry to provide a 而是从商业实质与产业本质提供一套符合案件与客户自身情 solution that works for the case and the client. For example, the case in 况的解决方案。例如，微博诉脉脉的案件本身是产业发展到 which Weibo sued Maimai was an inevitable outcome of the development 一定阶段的必然结果。数据越来越重要了，平台商家迫切需 of the industry. As data has become more important, businesses urgently 要针对数据有产权性质的保护。有了产权保护，新型的资 need the IP rights of their data to be protected. Only when data 产才能发挥最大的效用价值。最终，通过这个案件，新浪微 is protected by IP rights can we maximize the value of the novel types of assets. Through this case, the data on Weibo is recognized as property 博的数据被确认权利人享有的财产，这样的判决对于客户而 owned by the holder. For the client, this ruling is more valuable than the 言，其价值远大于个案的赔偿。 compensation itself. ALB: 随着互联网、大数据的进一步发展与应用，您觉得专 ALB: Given the development of Internet and big data, what are the 利相关案件发展的主要趋势是什么？律师们应如何应对这些 major trends of patent-related cases and how should lawyers respond 变化带来的挑战？ to the related challenges? Zhao: The first trend is that China will see a surge in these cases. The 赵律师：第一个趋势是中国的案件数量会大幅上升；第二个 second trend is that these cases will be more complicated, and the require- 趋势是案件越发复杂，需要律师有更强的能力来看穿商业本 ments for the lawyers’ capability and dispute resolution skills will be 质，洞察商业的能力；第三个趋势是案件会越来越全球化。 higher. The third trend is that these cases will go global. As there is 技术没有边界，竞争也往往没有国界，所以此后的案件可能 no border for technology or competition, these cases might be found 会在全球各地同时进行，对于律师的语言能力、沟通能力要 elsewhere in the world. Requirements for the lawyers’ language profi- 求也会越来越高。 ciency and communication skills will be higher. TOP 15 IP LAWYERS

litigator to counterattack and to convince into a long-term strategic partnership,” the judge.” Si told ALB. Zhao is the “youngest” among the Top According to Si, the biggest challenge 15 IP lawyers this year with only 11 years of for an IP lawyer is to really understand legal career but he has a shining career. clients’ businesses in different industries He acted for one of China’s most influ- thus producing the tailor-made solution ential cases of Huawei vs. InterDigital for them. This in turn do lawyers benefit which was recognized as one of the 40 as lawyers can also gain many business significant judicial cases in the past insights from their clients. 40 years since China’s opening and reform. Zhao saw the great potential in Insights 齐宝鑫律师指出，“当下中国核心技术领 Chinese IP lawyers’ leading role in the When asked about what challenges 域里的知识产权仍存在一定短板，影响 world arena and trust that IP law and or problems need to be resolved without 了知识产权国际竞争力的提高。”在担 competition law continue to be the key any delay? Baoxin Qi provided his insight, 任吉利汽车首席法律顾问期间，齐律师 theme among competitors. “China still needs to boost its IPR in 参与了众多“一带一路”项目，对企业在国际竞争中面临的海外知识产权壁垒与 To Paul Chen, his biggest pleasure core technologies, which would hinder 诉讼风险、技术引进或出口中涉及的知 of being an IP lawyer comes from China’s innovation capabilities in today’s 识产权问题、不同地区国家的知识产权 conquering each technological thorny IP world.” Qi felt this urgency when he 环境差异带来的巨大挑战等问题进行了 issue in different cases. Chen says that served as the legal counsel o Geely Auto 深入思考，认为知识产权法律服务必须 “IP lawyer must have a hard-science back- in its B&R projects. According to Qi’s 适应新兴技术的发展和企业国际竞争需 ground that will enable patent lawyer to observations, China’s ‘going global’ is 求。 understand how it really works behind bound to face plenty of IP risks due to 面对新兴行业的跨国知识产权保护， each patent, to figure out how to prove vastly different IP landscape in different 特别是中国企业如何走向国际，突破不 the secret for a trade secret. Chen told jurisdiction, especially rising from tech- 同法律体系、司法程序的障碍，如何在 ALB that he was handing the second nology import or export. Qi pointed out that 非本土领域内寻求一席之位，齐律师也 hearing of the trademark administrative IP legal service must include the latest devel- 进行了不断探索。据齐律师介绍，其参与的“三国杀”案是桌游领域知识产权诉 litigation case for the time-honored brand opments of new technology. 讼中最具影响力的里程碑案件之一，中 “REFOSIAN”, “it posed many challenges The most recent case Qi is handling, 国企业在美国应诉过程中获得了全面胜 to collect sufficient proofs but we are so San Guo Sha, turned out to be one of the 利，为这个风靡全国的桌游开拓海外 happy to have a very successful ending,” most influential IP litigation cases in table 市场解决了知识产权涉诉的后顾之忧。 Chen concluded. games. Qi helped San Guo Sha achieve 作为熟稔中美两国法律制度的知 Chen also leads DHH’s IP practice and a big win in US market by resolving its IP 识产权专家，王翔律师认为，“无容 puts risk control and innovation to equal problems. 置疑，中国知识产权的法律制度和服 importance. According to Chen, besides As an IP expert in both the US and 务发展日趋完善。如果中国的法律体 providing high quality service to clients to China legal systems, Wang says that “the 制能够进一步对外开放，那么中国的 protect their rights and interests, respond Chinese IP legal system and service are both 知识产权系统也会变得更好；另一方 promptly to client inquiry plays a key role improving over the years, without a doubt. 面，缺乏有效的证据开示制度将会继续对在中国知识产权法制下进行执法 in building and maintaining client rela- If China further opens the legal system to 的效率造成一定障碍。” tionships. Chen says that “It is actually the rest of the world, China’s IP system will 在现今知识产权业务越来越趋于多 a mutual benefit for lawyers and clients. become better. Among other things, a 元的背景下，对知识产权律师的要 Lawyers can better learn the case, and lack of effective fact discovery mechanism 求是不仅具有非凡的理论功底与丰 clients are kept in the loop and better continues to hinder the effectiveness of IP 富的实务经验，还要具有良好的国 understand lawyers’ work. ” enforcement in the Chinese IP system.” 际化视野和前瞻性战略眼光。“不 Yixia Si would like to have the idea As today’s IP business becomes more 仅要帮客户构建‘事前论证、事中 of “community of shared values” diverse and complicated, IP lawyers must 处置、事后预防’的风险控制体系， or “community of shared interests” adapt, evolve and thrive. Baoxin Qi empha- 更要将客户的知识产权、资本和市 between lawyers and clients. “On top of sized that “we should redefine the role of 场等结合起来，为企业创造更多价 providing best legal service, we also help an IP lawyer. It is more about a role 值。致力于成为法律和商业跨界整合的战略型知识产权律师：让企业 our clients to map out the development to provide strategic guidance that 和企业家更懂知识产权，让知识产 strategy and help with research work and combines legal advice and business 权律师更懂企业和企业家，从而为优秀 trainings, etc. The trust is strengthened insights to help them create more value 的中国企业走向国际提供优质法律服务 and our relationship with clients grows and benefit from their IP assets.”. 支持。”齐宝鑫律师最后强调。

36 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 FORECAST EVENTFUL 2018, PROMISING 2019

As the world’s second largest Foreign Investment in the United States 2018事件频发, economy witnessed its growth drop to (CFIUS), will be more stringent towards the slowest pace since the first quarter China, especially in areas concerning 2019充满希望 of 2009, lawyers are not all optimistic critical technologies and emerging and about how China can maintain the 6.7 foundational technologies. As an eventful 2018 comes to a percent growth every quarter. Despite “These challenges will require close, lawyers are consider the that, the potential shift in China’s internal legal counsel and external changes that the industry may business model is predicted to bring lawyers to pay heed to the changes undergo through 2019 with factors more businesses to the legal industry. in law and regulations, with a view to like rapid globalization in the digital prepare to tackle risks. For lawyers, era, the burgeoning Sino-U.S. trade Beijing: International trade in focus cross-industry knowledge and experi- The U.S.-China trade war triggered ence will become more important next dispute and the development of a a number of uncertainties for interna- year. We will also see a larger demand few economic zones. China is set to tional companies. in risk management,” says Tang. experience a boom in demand for “The growth of China mainly depends Hua Xiaojun, also a partner of Junhe, legal services. on whether the Sino-U.S. trade war can points out that the trade war is critical be resolved soon. The tariffs on each to determine China’s growth trajectory. 随着发生了不少大事件的2018 other are detrimental to international “Be it Beijing or Shanghai, the 年即将结束，律师们正在考虑 trade. The longer the tariffs remain, the nation’s economic development has bigger harm for China will be,” says Tang a positive relationship with that in the 2019年法律行业可能经历的种 Weiyang, a partner at Junhe Law Firm legal industry. Amidst the trade tension, 种变化，包括数字时代飞速的全 specializing in international trade. some industries might look for more 球化进程，愈演愈烈的中美贸 “We have seen many foreign legal services regarding M&A, arbitra- 易争端以及几个自贸特区的发展 companies import from other countries tion and bankruptcy reorganization,” 等。中国将经历法律服务需求的 and quite some foreign companies shut Hua says. 井喷。 down their factories in China.” Among the increasing demand for Tang expects that the U.S. foreign the legal services, the services most BY ASIAN LEGAL BUSINESS investment watchdog, the Committee on sought in Beijing are from government

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“There will be more oppor- the One Belt, One Road initiative, clients 中国作为全球第二大经济体，今年 tunities for companies in will look for legal services that cater to 的经济增长率下降至了2009年一季度以 many jurisdictions. This would require 来的最慢水平，律师们对中国要如何保 Shanghai as the science and more agility from lawyers to help them 持每季度6.7%的增长率并不乐观。尽管 technology innovation board avoid risks in investment. 如此，中国商业模式的潜在转型料将为 will start soon. The demand “Information technology and artificial 法律行业创造更多的业务机会。 intelligence are on the rise. If lawyers for IPO legal services will rise, neglect how these two affect the legal 北京：聚焦国际贸易 industry, they will lose their competitive- 中美贸易战给跨国公司造成了诸多不 as well as those regarding 确定因素。 ness,” he says. domestic M&A deals and “中国经济继续增长主要取决于中美贸易战能否尽快得到解决。中美互相加征 bankruptcy reorganization. Shanghai: A new trading platform 关税对国际贸易极其不利。加征关税的 Outbound M&A is also on Chinese President Xi Jinping 时间越长，对中国经济的危害就越大，” the rise.” announced this month that the Shanghai 君合律师事务所合伙人汤伟洋说。汤律 Stock Exchange will launch a science 师专门从事国际贸易业务。 —Guo Zhongqing, and technology innovation board with “我们看到很多外国公司从其他国家进 Allbright Law Offices. a registration-based system. This is 口，还有很多外国公司关闭了在中国的 “随着科创板启动在即，上海的 Beijing’s efforts to bolster Shanghai’s 工厂。” 汤律师预计，美国外国投资委员会公司将会有更多机会。对IPO、 position as an international financial center and technological innovation hub, （CFIUS）将对中国更加严格，特别是在涉及关键技术和新兴及基础技术的国内并购交易和破产重组的法 reported by China’s state-owned media 领域。CFIUS是美国的外商投资监管机律需求将会增加。对外并购业 China Daily. 构。务也在增加。” “There will be more opportunities for “这些挑战将要求企业法律顾问和外 companies in Shanghai as the science 部律师都要注意法律法规的变化，以便 -郭重清，锦天城律师事务所 and technology innovation board will 为应对风险作好准备。对律师来说，跨 start soon. The demand for IPO legal 行业的知识和经验将在明年变得更加重 services will rise, as well as those 要。风险管理方面也将有更大的需求，” regarding domestic M&A deals and 汤律师说。 institutions, state-owned enterprises bankruptcy reorganization. Outbound 另一位君合的合伙人华晓军指出，贸 and other large-scale corporations, M&A is also on the rise,” says Guo 易战对中国的经济增长轨迹具有决定性 according to Albert Zhang Jian, senior Zhongqing, senior partner of Allbright 的影响。 “无论是北京还是上海，国家的经济发 partner at Dentons. Law Offices. 展与法律行业的发展都是正相关的。考 The China Initiative, proposed by the With more companies seeking to go 虑到贸易紧张局势，一些行业可能会寻 U.S., aims to “counter Chinese national public, Guo says some enterprises could 求更多有关并购、仲裁和破产重组的法 security threats,” a statement from the also look for reorganization or even filing 律服务，”华律师说。 Department of Justice showed. It will for bankruptcy as the Chinese economy 根据大成律师事务所高级合伙人张 “increase efforts to protect our critical is in a period of adjustment. 健的说法，在日益增长的法律服务需求 infrastructure against external threats “Many manufacturers find it hard to 中，北京服务需求量最大的客户是政府 including foreign direct investment, survive as green policies are tightening 机构、国有企业和其他大型企业。 supply chain threats.” and the salary level is going up, driving 美国司法部的一份声明显示，该国提 “The demand for legal services up the production costs. Without suffi- 出的中国行动计划旨在“反击中国造成的 concerning international trade disputes cient capital, these companies have to 国家安全威胁”。该计划将“加大力度保护我们的关键基础设施免受外部威胁， is expected to rise. The China Initiative go through reorganization,” says Guo. 包括外商直接投资和供应链威胁等。” involves review, arbitration and coun- The E-Commerce Law that is set to “预计有关国际贸易争端的法律服务需 tering China’s businesses. It could help take effect on Jan. 1 will also bring new 求将会增加。美国的中国行动计划涉及 boost the legal business in Beijing,” says businesses to law firms. Online business 审查、仲裁和打击中国的企业。它可能 Zhang. operators will have to protect consumers’ 会拉动北京的法律业务，”张律师说。 The demand for legal services related rights and their personal information, 他也补充说，由于美国和欧盟施加更 to China’s outbound investment might intellectual property rights, cyberse- 多的投资限制以及人民币汇率的变化， fall due to more investment limitations curity, among others. Data protection 有关中国对外投资的法律服务需求可能 in the U.S. and the EU as well as the will become a key highlight in the legal 会下降。但是，在“一带一路”倡议下， changes in yuan, Zhang says. Yet, under industry next year. 客户将需要跨司法管辖区的法律服务。这需要律师更加灵活，以便帮助客户规

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“The growth of China mainly As arguably the most international 避投资风险。 city in the country, Shanghai has more “信息技术和人工智能正在崛起。如果 depends on whether the foreign-related businesses, which 律师忽视这两者对法律行业的影响，他 Sino-U.S. trade war can be generates legal services. 们就会失去自身的竞争力，”他说。 resolved soon. The tariffs on According to Chinese media, there are currently over 220 law firms in Shanghai 上海：一个全新的交易平台国家主席习近平本月宣布，上海证券 each other are detrimental providing foreign-related legal services. 交易所将推出一个注册制的科创板。据 to international trade. The One-fourth of them have branches in 官媒《中国日报》报道，这是中央政府 longer the tariffs remain, the Hong Kong, Macau and Taiwan, while 为进一步巩固上海作为国际金融中心和 one-fifth provide services in North 科技创新中心地位所推出的举措。 bigger harm for China will be.” American countries. “随着科创板启动在即，上海的公司将 —Tang Weiyang, Junhe Law Firm The development will likely attract 会有更多机会。对IPO、国内并购交易 lawyers with qualifications in over one 和破产重组的法律需求将会增加。对外 “中国经济继续增长主要取决 jurisdiction. Under the One Belt One 并购业务也在增加。”锦天城律师事务所于中美贸易战能否尽快得到解 Road initiative, more projects will need 高级合伙人郭重清表示。决。中美互相加征关税对国际 the help of Chinese lawyers and their 随着越来越多的公司寻求上市，郭律 cooperation with other countries. 师说，考虑到中国经济处于调整期，一贸易极其不利。加征关税的时些企业也可能寻求重组甚至申请破产。间越长，对中国经济的危害就 “许多制造商感到如今生存艰难，因为 Greater Bay Area: Innovation and 环保政策正在收紧，工资水平也在上涨，越大。” technology 推高了生产成本。如果没有足够的资金， -汤伟洋，君合律师事务所 The Greater Bay Area (GBA) 这些公司就必须进行重组，”郭律师说。 comprises Hong Kong, Macau and nine 将于1月1日生效的《电子商务法》也 other cities in Guangdong province. The 将为律所带来新的业务机会。网络业务运 country is boosting innovation develop- 营商必须保护消费者的权利和个人信息， “Companies will ask for our advice on ment through regional integration and 尊重知识产权并维护网络安全等。数据保 compliance to this new law,” says Guo. economic development. 护将成为明年法律行业的一大亮点。 Another highlight in 2019 will lie in The GBA creates legal challenges in “预计公司将就该新法的合规问题向律 the legal services revolving around the three tax regions with three law systems 师咨询，”郭律师说。 2019年的另一个亮点是围绕上海自贸 Shanghai Free-Trade Zone. and three types of currencies. 区的法律服务。 “The regulations of the zone will be “The cross-border legal issues “有关自贸区的规定料将很快更新。我 updated soon. I believe the early and pilot become the concern of the professionals 相信许多新的金融政策将在自贸区先试先 implementation of many new financial and companies in the area… The cross- 行，”上海国浩律师事务所的管理合伙人 measures will occur in this area,” says border flow of capital and services will 黄宁宁说。 Henry Huang, managing partner of generate demand for legal advice on 独特的仲裁规则是上海的一大特色， Grandall Law Firm in Shanghai. compliance in three systems,” says Quan 可以帮助该市成为国际仲裁中心。 The city features distinctive arbitra- Zhaohui, senior partner of ETR Law Firm. “上海的仲裁服务将充满活力，”黄律 tion rules, which could help it emerge as Since September, Hong Kong and 师说 an international arbitration hub. Macau residents can apply for a 今年8月，中国首家金融法院在上海成立，预计将吸引更多金融法律案件进 “The arbitration services in Shanghai residence permit to live and work will be vibrant,” says Huang. 入该市。该法院负责处理包括证券、期 in mainland China. It grants them 货、保险、破产等纠纷在内的案件。 In August this year, Shanghai also the rights to benefit from the social “金融法院的设立是上海金融法律发展 saw the establishment of the country’s security scheme and the use of a 的一个里程碑。我预计该法院将会让金 first financial court, which is expected to housing fund, if they work for a 融案件聚集到上海，”黄律师补充说。 attract more financial legal cases to the mainland employer. 上海可能是中国国际化程度最高的城 city. The court is responsible for tackling The successful applicants for the 市，拥有更多涉外业务，这也带动了法 cases including disputes in securities, permit can also enjoy free education, 律服务。 futures, insurance, bankruptcies, among public employment services, public 据中国媒体报道，目前上海有220多 others. hygiene services, public cultural and 家律所提供涉外法律服务。其中四分之 “The court’s launch is a landmark in sports services, and especially legal 一在香港、澳门和台湾地区设有分支机构，五分之一在北美国家提供服务。 the city’s financial legal development. I assistance. expect the court to gather the financial 这一发展会吸引具有一个以上司法管辖 Quan says external participation will 区执业资格的律师。在“一带一路”倡议 cases to Shanghai,” adds Huang. also bolster the competition in the GBA. 的背景下，更多项目需要中国律师提供

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 39 FORECAST

协助以及他们与其他国家律师的合作。

粤港澳大湾区：创新和科技是关键词粤港澳大湾区包括香港、澳门和广东省的九个城市。中国正通过区域一体化和经济发展促进创新发展。粤港澳大湾区面临的法律挑战是该区域包含了三个不同的税收区，三种法律体系和三种货币。 “跨境法律问题成为该地区专业人士和公司关注的焦点……资本和服务的跨境流动将拉动对这三个体系合规法律建议的需求，”广信君达律师事务所高级合伙人全朝晖说。 9月起，香港和澳门居民可以申请居留许可，在中国大陆生活和工作。如果他们为大陆雇主工作，拥有居留许可的港澳居民可以享受社保并使用住房公积金。成功申请居留许可的港澳居民亦可享受免费教育、公共就业服务、公共卫生服务、公共文化和体育服务等，特别是法律援助服务。全律师表示，外部参与也将加剧粤港澳大湾区法律行业的竞争。 “来自新加坡、马来西亚、日本和韩国 Buses drive on the Hong Kong-Zhuhai-Macau Bridge during its first day of operation, offshore in Macau, China, October 24, 2018. 的律所和金融机构将从粤港澳大湾区的业 REUTERS/Bobby Yip 务中分一杯羹。《新加坡调解公约》将于明年签署。香港证券交易所将改革其H股发行制度，而上证所将启动科创板……所有这些变化都将对粤港澳大湾区的法律行 “The legal and financial firms from As innovation and technology are 业产生影响，”全律师补充道。 Singapore, Malaysia, Japan and Korea the emphasis of the GBA, high-tech 据广东敬海律师事务所的管理合伙人赵 will participate in the GBA’s business. production is expected to involve new 淑洲介绍，粤港澳大湾区的地域流动性和 The Singapore Mediation Convention legal needs. 航运政策将会使得商业模式发生变化，这 will be signed next year. The Hong Kong Zhao also mentions that there will 可能会拉动对法律咨询服务的需求。 bourse will change its H-share issuance be more international cases for Chinese “在粤港澳大湾区内，律所之间将有更 system, while Shanghai will launch the lawyers as many local enterprises are 多合作。香港律师可以前来大陆同大陆律 science and technology innovation looking to do businesses outside of 师一起工作。整合后，律师也会有更多机 board…All these changes will influence China. 会在国内的其他城市工作。但由于不同省份有不同的制度和规定，这对律师来说将 the GBA’s legal industry,” Quan adds. “Be it for the GBA or the One Belt One 是一大挑战，”赵律师说。 Policies for the geographical mobility Road initiative, Chinese enterprises are 由于创新和科技是粤港澳大湾区的重 and shipping in the GBA will generate going global so it provides businesses for 点，高科技生产预计将涉及新的法律需求。 changes in the business model, which legal services that tackle these issues. 赵律师还提到，中国律师会接触更多的 might require legal advice, according In the beginning, these companies are 国际业务，因为许多本土企业都希望走出 to Zhao Shuzhou, managing partner of not yet familiar with the laws in other 去。 Wang Jing & Co. countries, so they have to rely on Chinese “无论是粤港澳大湾区还是‘一带一路’， “There will be more cooperation lawyers,” says Zhao. 中国企业都在走向全球，这为解决相关 between the law firms within the GBA. Viewing the national development as 问题的法律服务带来了商机。一开始， Hong Kong’s lawyers can come to the a whole, Quan echoes Tang’s comments 这些公司尚不熟悉其他国家的法律，所 mainland to work together. Lawyers will on how the Sino-U.S. trade war will be 以它们必须依赖中国律师，”赵律师说。从整体上考虑全国的发展情况，全律 also have more chances to work in other critical to China’s growth. 师同意汤律师关于中美贸易战对中国经 cities in the country after the integration. “If the trade war escalates, any serious 济增长有重大影响的看法。 But as different provinces have different harm from the jitters can be seen next “如果贸易战升级，贸易局势紧张造成 systems and regulations, this will be a year. Many types of international trade 的任何严重伤害将在明年显现。各种类型 challenge for them,” Zhao says. disputes will increase,” Quan says. 的国际贸易争端都会增加，”全律师说。

40 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 DATA PROTECTION

安全 SAFE AND SECURE 无忧 Until quite recently, data privacy A traditionally collective country, 作为一个传统的集体主义国家，中 was not a priority in China. China seldom prioritizes personal infor- 国并不太重视个人隐私和数据的保护。 But with awareness growing, mation privacy and data protection, 但在2016年，18岁的大一新生徐玉玉遭 but after 18-year-old student, Xu Yuyu, 遇电信诈骗，被骗走全部学费，因而导 the Chinese government has died from a heart attack after losing all 致心脏骤停，不幸离世。这一事件引起 been rapidly passing a series of her money in a telecom fraud in 2016, 了政府的高度重视，开始关注数据和隐 regulations on personal data. authorities started to pay attention to 私保护方面的问题。 “中国的立法工作围绕着解决问题开 data privacy. 展。由于非法收集数据以及非法使用个直到最近，数据隐私保护才在 “China’s legislation revolves around 人信息的活动十分猖獗，中国一直很重中国成为当务之急。但事实 problem-solving. Since illegal data 视打击这类活动，”通力律师事务所合上，随着隐私保护意识的提 collection and use of personal informa- 伙人潘永建说。 tion is rampant, China has laid emphasis 北京安理律师事务所执行合伙人高，中国政府一直在快速地通 on combating against it,” says David 王新锐表示，徐玉玉案引起媒体关过一系列关于个人和“重要”数 Pan, a partner of Llinks Law Firm. 注后，唤醒了中国民众的信息保护意据保护的监管规定。中国政府 After Xu’s case caught the attention of 识，并在短时间内迅速提高。陆续颁布一系列关于个人数据 the media, awareness of data protection “我在2015年参与过一项相关研究，但我那时认为（推动网络安全立法）保护的监管条例。 surged in China, says Raymond Wang, managing partner of Anli Law Firm in 将是一项长期的工作，因为当时公众的（信息保护）意识不高。但在徐玉 Beijing. BY ASIAN LEGAL BUSINESS 玉事件发生后，高层官员开始越来越 “In 2015, I was involved in a relevant 关注网络安全方面的问题了，”王律师 study, but I thought it would be long-term 说。 work [to push the legislation of cyber- 中国消费者协会今年8月份发布的 security] as public awareness was not 一项调查报告显示，80％以上的中国 high at the time. But after Xu’s death, 人遭遇过信息泄露；其中，86.5％的 high-ranking officials paid more heed 人接到过促销电话，75％的人接到过 to internet safety,” Wang says. 诈骗电话，63.4％的人收到过垃圾邮 Over 80 percent of the Chinese 件，甚至有人报告称他们的个人账户

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“Implementation rules and the General Rules of the Civil Law took 密码被盗了。 effect to protect personal data and forbid guidance of the Cybersecurity residents from collecting, using, trans- 发展迅速 Law should be issued to ferring, buying or selling personal data 中国的《网络安全法》于2017年6月 provide clear and actionable or make it public. 开始实施，旨在保护个人信息和维护合 The evolution has been swift. In July 法的网络活动。《民法总则》于同年10 月份生效，该法律规定保护个人信息， guidance for corporations. this year, authorities announced regu- 禁止组织和个人非法收集、使用、传 In the absence of clear and lations on health care data concerning 输、买卖或公布个人信息。 specific implementation and different types of management systems. 发展的速度非常快。今年7月，有关 actual enforcement of general Then, in October, the State 主管部门颁布了关于在不同类型管理系 Administration for Market Regulation 统中的医疗保健信息服务管理的法规。 data privacy requirements by and the Standardization Administration 10月份，国家市场监督管理总局和国 various authorities, especially released six new national standards on 家标准化管理委员会发布了六项新的信 information security technology. They 息安全技术国家标准，旨在加强网络产 the public security bureaus seek to strengthen the security of online 品及服务供应链的安全性，提高数字身 at local levels, have not been products and services supply chains, 份认证的安全性。 enhancing the security of digital identity 公安部颁布的《公安机关互联网安全 consistent and in many cases, 监督检查规定》于今年11月生效。《规 authentication. discretionary.” 定》表明，任何互联网服务提供者或互 The Rules on Supervision and 联网使用单位涉嫌窃取或非法获取或提 —Zhenyu Ruan, FenXun Partners Inspection of Internet Security by Public 供个人信息，公安机关有权对其进行检 “应该出台《网络安全法》的 Security Bureaus, issued by the Ministry 查和调查。 of Public Security, came into effect in 另外一项重要法律是《电子商务法》实施细则和指南，为企业提供 November this year. The rules indicate 。该法律将于2019年1月1日生效。明确、可操作的指导。由于没 that public security authorities can 该项法律要求电子商务公司保护其网有关于各级主管部门（尤其是 inspect and investigate internet service 络用户的信息，并且包含了相关规则限制网络运营商使用用户信息进行分析或地方公安机关）应该如何实际 providers or units utilizing network, in cases of suspected stealing or illegal 根据用户偏好向其推送产品。操作一般数据隐私保护的具体 obtaining or provision of personal 奋迅律师事务所律师阮振宇说：“企业对《网络安全法》实施细则和指南翘首要求，一般数据隐私保护在实 information. 以盼，主要关注三个方面的问题：如何际操作中所执行的标准并不一 Another highlight is the E-commerce 确定关键信息基础设施；跨境传输个人致，在许多情况下是主管部门 Law that is set to come into effect on 信息及重要数据的安全评估；以及多层 Jan. 1, 2019. 次的网络安全保护计划。”实施细则和指酌情处理或自由裁量的。” The law will require e-commerce 南预计将在“未来几个月”内正式颁布， -阮振宇，奋迅律师事务所 companies to protect the data of their 他补充道。 online users and includes rules that 但仍需要一项专门针对个人信息保护 restrict operators to employing users’ 的单独的法律。王律师说，目前虽然已 data to conduct profiling or offer 经有一些相关的法规，但那些更像是指 population has experienced data products based on their preferences. 导原则。 “我认为针对个人信息保护的单独立法 leakage, according to a survey by the “Companies are still waiting for the 计划可能将在五年内完成，”王律师说。 China Consumers Association released implementation of the regulations and in August. Of those, 86.5 percent guidelines of the China Cybersecurity 付诸实施 received promotional calls, 75 percent Law in three aspects: the determina- 随着新的法律法规的出台，企业纷纷 got calls from scammers and 63.4 tion of critical information infrastructure; 向律师寻求法律意见，如何将法律法规 percent received junk e-mail. Some security assessments for cross-border 的规条付诸实施。 even reported that the passwords of their transfers of personal information and “跨国企业、金融机构和医疗保健机构 personal accounts were stolen. important data; and a multi-level cyber- 非常重视个人信息及隐私，因此对有关 security protection scheme,” says Zhenyu 新法律法规合规方面的法律服务需求很 Swift development Ruan, counsel at FenXun Partners. He 高，”王律师说。 In June last year, the China adds that the finalized law is expected 企业存在一些疑虑。其中一个关键的问题是，如何定义“用 Cybersecurity Law took effect, aiming to be issued “in the coming months.” 户”是谁或者是什么；还有就是如何与用 Still, there is a need for an indepen- to protect personal information and 户进行沟通以征得他们的同意，以及如 secure online activities. In October 2017, dent law to protect personal data. Wang 何定义“同意”。

42 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 作者 BROUGHT TO YOU BY ANLI PARTNERS

王新锐罗为安理律师事务所高级合伙人安理律师事务所高级合伙人新经济形势下数据合邮箱： [email protected] 邮箱： [email protected] 地址：北京市朝阳区东三环北路38号安联大厦9层规工作的变革与挑战电话：010-85879199 随着互联网、电子商务、大数据、人工智能的不断发展，息保护规定》、《信息安全技术个人信息安全规范》（GB/ 传统行业与互联网行业逐渐融合，形成了新的经济形态。 T35273-2017）、《最高人民法院、最高人民检察院关于办新经济形态下，数据的价值不断得到体现并引起广泛关注，理侵犯公民个人信息刑事案件适用法律若干问题的解释》等甚至成为一种重要的商业资源，各国也越来越重视有关数据规定，此外，关于个人信息保护的问题也在不同行业的法律合规的立法和监管工作。近期，网信办、工信部等相关监管法规中有所涉及。由于目前数据方面的立法较为分散，尚没部门也在加大对违法违规行为的查处力度，公安部门也在调有一个跨行业的有关数据合规的统一监管机构，这就要求数查相关违法犯罪行为，因此，不管是传统行业还是互联网行据合规从业人员必须对数据合规方面的法律法规有全面和清业，企业在数据合规方面所需要承担的的义务和责任都会变晰的认知。得更重。这种变化，也给我们的数据合规工作带来新的机遇此外，遵循“隐私保护设计”的原则是数据合规工作的一大重与挑战。点，这就要求在产品的设计、研发、推广和使用等环节都要考虑用户隐私保护的要求，为消费者提供数据的全生命周期传统行业与互联网的逐渐融合保护。这在涉及互联网的产品中体现的尤为明显，例如，企在新经济出现之前，传统企业主要经营线下业务，数据（业运营的APP均会涉及到收集、使用用户个人信息的功能，尤其是个人信息）的获取渠道和使用场景都较为有限，合规为满足数据合规要求，企业合规从业人员需要了解：相关规工作主要注重数据的安全和保密；而互联网企业在数据获取定的具体要求，实现产品功能所需收集的数据类型、收集目方面具有更大优势，且有利用数据获取流量、开展营销的巨的、收集方式，收集之后如何使用，数据安全保障措施，通大需求，因此更关注数据的采集和利用。现在，传统行业与过何种技术手段保证数据处理行为的合规性等等。任何一个互联网的逐渐融合已经成为一种发展趋势。一方面，越来越环节出现问题，都有可能构成违规行为进而需承担相应的法多传统企业将业务从线下拓展到线上，通过线上开展产品营律责任。因此，技术的发展和业务场景的变化，对数据合规销和销售等；另一方面，随着互联网流量红利的消退，部分从业人员在技术领域的相关知识方面也提出了新的要求。线上企业也在拓展线下业务，建立线下门店、实体店。在线上、线下业务融合过程中，数据收集、使用场景也在全球一体化的视角变得多样化和复杂化，企业也面临如何充分利用数据以及将基于全球一体化的发展和互联网的无国界性，企业也需要线上、线下收集的数据打通并实现互用的问题。以广告营销考虑因此产生的境外法律适用、数据跨境传输等问题。一般为例，为降低流量获取成本，精准营销成为越来越多企业的而言，企业开展业务主要应当遵循国内法的要求，但很多情现实需求，而要达到精准营销的目的，企业需要通过数据分况下企业会以在海外设立实体的方式从事跨境业务，或者在析挖掘用户的行为模式、特征和偏好并形成用户画像，从而国内通过互联网为国外主体提供产品或服务。因此，企业可有针对性地进行广告投放。而随着消费升级，采取“线上+线能涉及收集、使用外国主体的数据，或者进行数据跨境传输下+物流”模式的新零售业得到快速发展，且众多场景都涉及的问题，进而可能会受到域外法律的管辖。例如，欧盟颁布到收集、使用用户数据的情况。此外，“物联网”技术的发展的《通用数据保护条例》（GDPR）规定，条例不仅适用于也离不开对海量信息的存储和处理。万物互联所产生的海量设立在欧盟内的企业，如果欧盟境外的企业在提供商品或服务过数据经过智能化的处理、整合、挖掘和分析，最终透过数据程中（不论是否收费）处理了欧盟境内数据主体的个人数据，也产生有价值的产品或服务。同样受到条例的管辖；而企业违反条例规定的，可能面临巨额罚在广泛采集线上、线下数据后，企业通过大数据、人工智款。能等技术手段，对数据进行整合、分析，从而更精确地了解为避免跨境业务产生的数据合规风险，企业需要根据可能出现用户需求，并可根据数据分析结果对产品、服务进行相应的的不同业务场景，综合考虑产品的销售目标区域、目标人群，是改进，最终实现良性循环，但是这也给数据合规工作带来新否涉及在境外开展业务以及当地关于数据合规方面的要求，数据的挑战。数据合规工作者必须针对新的业态加强学习，打破跨境传输规则等因素，进行产品功能设计，并制定不同的政策或已有的惯性思维，才能更好的开展数据合规工作。合同文本。综上，各种新技术、新业务的发展正在改变着数据收集、使用数据合规要求技术与法律的综合知识的方式，相应的法律规则也在不断制定和完善中，企业面临的合为规范数据收集、使用行为，近年来国家出台了《网络规压力也在不断增大。企业只有积极面对变革、迎接挑战，才能安全法》、《电子商务法》、《电信和互联网用户个人信适应规则的变化和发展，争取更大的发展空间和话语权。 DATA PROTECTION

“Multinational enterprises, they possess millions of data so using “另一个问题涉及收集和使用个人信 that legitimately is what they care 息。企业应该如何以合法的方式使用数 financial institutions and about,” Wang adds. 据？对于大型企业来说，他们拥有数以 healthcare organizations put Under the Cybersecurity Law, anyone 百万计的数据和信息，因此怎样合法地 personal data and privacy in who illegally obtains, sells or provides 使用这些数据和信息是他们所关心的问 more than 50 pieces of information or 题，”王律师补充道。根据《网络安全法》，任何人以非法 high priority, driving high derives illegal income of more than $750 方式获取、非法出售或非法向他人提供 demand for legal services on from the data is guilty and can be subject 50条以上个人信息或利用数据非法获利 compliance with new laws to three years of imprisonment. 超过750美元的，构成犯罪的可能被判 In what Wang referred to as a “dark 处三年有期徒刑。 and regulations.” era of data”, companies are also safe- 在王律师所说的“数据黑暗时代”中， — Raymond Wang, Anli Law Firm guarding data from internal leakage. 企业还要确保避免数据从内部泄漏出 “Not only companies, but government 去。 “跨国企业、金融机构和医疗保 institutes are also concerned about data “不仅是企业，政府机构也担心其信息健机构非常重视个人信息及隐 staff using it illegally or getting involved 工作人员非法使用信息或涉及任何信息私，因此对有关新法律法规合 in any data crime,” he says. 犯罪，”王律师说。 Chinese companies with operations 阮律师表示，欧盟数据法《通用数据规方面的法律服务需求很高。保护条例》实施后，在欧盟运营或向欧 in the European Union or providing 盟企业提供服务的中国企业对数据隐私 -王新锐，安理律师事务所 services to EU-based corporations also 保护要求有了更高的意识。 have higher awareness of data privacy 《通用数据保护条例》通常被认为是 requirements following the implemen- 最严格的数据保护法。 tation of EU’s data law – General Data Protection Regulation (GDPR), according 律所可以提供哪些帮助 says there are currently rules in place, to Ruan. 律师事务所和律师可以针对不同的客 but they are more like guidelines. The GDPR is generally considered 户以不同的方式为客户提供服务。 “I think the plan for independent to be the most stringent piece of data 中伦律师事务所合伙人陈际红表示，“ 律师可以帮助企业起草产品或服务的隐 legislation for personal data protection protection legislation. 私政策，设计客户隐私保护方案，并就 can be completed in five years,” says 个人信息保护给出建议。” How law firms can help Wang. “如果企业在海外设有分支机构，律师 Law firms and lawyers can cater to 可以帮助设计数据本地化管理、跨境数 Putting them on the ground their clients in different ways. 据传输、安全评估等方案。在数据管理 With new laws and regulations in Chen Jihong, a partner at Zhong 方面，律师还可以帮助进行分类和流程 place, companies are increasingly Lun Law Firm, says that “lawyers can 管理，并进行个人信息管理评估。” turning to lawyers for advice on how to help companies draft privacy policies 陈律师补充道，数据保护法规合规已 turn the literal meaning of the rules and of products or services, design privacy 经成为一项“综合性很强”的业务，因为 regulations into practices. schemes and offer suggestions on 律师必须熟悉相关法规并将之与行业趋 “Multinational enterprises, financial personal data protection.” 势相结合。律师事务所可以帮助进行数据映射、 institutions and healthcare organiza- “When companies have overseas 数据隐私保护合规性差距分析等，还可 branches, lawyers can help design tions put personal data and privacy in 以帮助企业设计综合考虑数据隐私保护 high priority, driving high demand for data localization and cross-border data 法规的产品。 legal services on compliance with new transfers as well as safety assessment. “在一些并购交易中，数据隐私保护合 laws and regulations,” Wang says. In terms of data management, lawyers 规尽职调查也已成为法律尽职调查的一 Companies have a few concerns. can also help in the categorization and 部分。我们所一直在协助客户进行这些 A key one is the issue of consent – process management and conduct a 类型的活动，”阮律师说。 how to define who or what a “user” is personal information assessment (PIA).” 王律师表示，企业也越来越多地就许 and how to communicate to users on Chen added that compliance to data 多实务问题向律所寻求建议，特别是针 getting their consent and how to define protection regulations has become a 对许多缺少具体实施细则的法规。 “consent.” “highly comprehensive” business as “我们的工作主要是帮助我们的客户处理他们的数据周期，这意味着我们在过 “The other concern are the collec- lawyers have to be familiar with the 程中识别风险并对其进行管理。我们还 relevant regulations and combined that tion and use of personal data. How 帮助客户起草隐私政策，”王律师说。 should companies use the data in a legal with the industry trend. 所面临的一项挑战是，不仅法律法 manner? For large-scale companies, Law firms can also help with data 规在变，这些法律法规所适用的行业也

44 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 DATA PROTECTION

mapping, data privacy compliance Lawyers can offer legal advice to 在不断地发生变化。这就出现了一种先 gap analysis and designing a product operators on all these matters, says 有蛋还是先有鸡的情况，行业在飞速地 offering with considerations of data Wang. 变化，而监管机构则在努力应对这些变 privacy regulations. “Clients also talk about anti- 化。 “In some M&A transactions, data monopoly issues concerning data, but 新产品的出现正在挑战监管环境。例 privacy compliance due diligence has it is still a new topic,” he says. 如，自动驾驶汽车所依靠的是捕捉不同地区的图像的高清地图，而这些图像可 also become part of the legal due 能牵扯到大量的法律问题；在中国发展 diligence review. Our firm has been What lies ahead 迅速的无人商店中，摄像头通常用于监 assisting out clients with these types of China is still in the early stages in data 控消费者，而通过这些摄像头拍摄的视 exercises,” Ruan says. protection and lawyers generally agree 频资料却可能会直接受到一些有争议的 Corporations are also increasingly that there is still room for improvement 法律问题的影响。 seeking advice on many practical in the current law and regulations. 王律师说，律师可以就所有这些问 matters, particularly in regard to the “Although China has released many 题为经营者提供法律建议。 many regulations for which the details regulations concerning personal infor- “客户还谈到有关数据垄断的问题， are lacking, according to Wang. mation and data security in these two 但这是另外一个新的课题，”他说。 “Our job is mainly helping our clients years, we still don’t have a comprehen- to work on their data cycles, which means sive law in that aspect like a data protec- 前面的道路中国目前仍然处于数据保护的早期 we identify the risks and manage them tion law,” says Pan. 阶段，律师们普遍认为现行法律法规 in the process. We also help draft their “Catering to specific issues might 仍有完善的空间。 privacy policies,” says Wang. boost efficiency in problem solving, but “尽管中国近两年已经出台了许多有 A challenge is that not only are the it could still miss some aspects.” 关个人信息和数据安全的法规，但目 laws and regulations changing but so He suggested the government should 前仍然没有像数据保护法这样的综合 are the industries to which these laws define “important data” so companies 性法律，”潘律师说。 and regulations apply. It is something know what to do regarding the safety “虽然针对具体问题（进行立法）可 of a chicken and an egg situation, with assessment of cross-border data transfer. 能会提高解决问题的效率，但却可能 industries changing at lighting speed Ruan echoed Pan’s comments on the 在某些方面有遗漏。” and regulators working to catch up. law’s lack of clarity. 他建议政府应该对“重要数据”进行定 The emergence of new products is “Implementation rules and guidance 义，使企业能够明白如何进行跨境数据传输的安全评估。 challenging the regulatory environ- of the Cybersecurity Law should be 阮律师在这一点上与潘律师持同样 ment. For example, self-driving cars issued to provide clear and action- 的看法，认为目前的法律缺乏明确性。 rely on high definition maps that capture able guidance for corporations. In the “应该出台《网络安全法》的实施 images in different regions and those absence of clear and specific implemen- 细则和指南，为企业提供明确、可操 images could be affected by myriad legal tation and actual enforcement of general 作的指导。由于没有关于各级主管部 issues. In staff-free stores that are on the data privacy requirements by various 门（尤其是地方公安机关）应该如何 rise in China, cameras are often used to authorities, especially the public security 实际操作一般数据隐私保护的具体要 monitor customers. The videos might bureaus at local levels, have not been 求，一般数据隐私保护在实际操作中 be directly affected by some legally consistent and in many cases, discre- 所执行的标准并不一致，在许多情况 debatable issues. tionary,” says Ruan. 下是主管部门酌情处理或自由裁量的，”阮律师说。

需要一定的灵活性除了法律缺乏明确性之外，官僚主义作风也可能会降低执法效率。 “2017年底中国有关部门在一次会议上指出，尽管各部门的权力在不断扩大，但却缺少问责制，这成为了提高执法效率的绊脚石，”陈律师说。他还提到，个人信息保护法（或隐私权法）非常强调“同意”，除此之外几乎没有任何数据使用的空间。 “企业仅能够在取得用户同意之后才能收集和使用个人信息。这无法跟上数字化发展的步伐。在欧盟的《通用数据保护条例》中，个人信息管理遵循六

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Flexibility needed uncertainties in cooperation. 个基础原则，包括履行法律义务，”陈律 Beyond a lack of clarity in the legal Issues of data protection and intel- 师说。 aside, bureaucracy may also dampen lectual property protection have been 《通用数据保护条例》于今年5月开始实施。该条例规定，如果数据管理者 the efficiency of enforcement. in the spotlight for some time, partic- 为了履行符合公共利益的法律义务而使 ularly in light of the ongoing trade “The meeting of Chinese authorities 用数据，则不必通知或取得用户对数据 in late 2017 pointed out the dearth of dispute between the U.S. and China. 使用的批准。 accountability of different departments The topic was likely to come up when as their power was dilated, posing a U.S. President Donald Trump and 国际一致性？ stumbling block in ensuring efficiency,” China’s President Xi Jinping met during 由于数字世界较少涉及地域界限，律 says Chen. the G20 summit in Argentina on Nov. 30 师们一致认为在数据保护法规中的国际 He also mentioned the privacy law and Dec. 1. 一致性是非常重要的。但最近的地缘政 lays much emphasis on consent, leaving “Political factors inevitably affected 治紧张局势引发了合作的不确定性。 little room for any data use outside of it. the legislation of data protection laws. 一段时间以来，数据保护和知识产 “Corporations can only collect and The Sino-U.S. relations bring uncertain- 权保护问题一直备受关注，尤其是考虑到目前中美两国之间的贸易战。中 use personal data after the users give ties, so we expect more discreet regula- 国国家主席习近平和美国总统特朗普 tions concerning export of data,” says consent. This fails to catch up with 于11月30日和12月1日在阿根廷举行 the digital development. In the GDPR Pan. 的G20峰会期间会晤，这个话题很有 in the EU, there are six foundations in In September 2017, the U.S. urged 可能会被谈及。 managing personal data, including China not to enforce the Cybersecurity “政治因素不可避免地影响了数据保 fulfilling legal obligations,” says Chen. Law as it requires local and overseas 护法的立法。中美关系带来了不确定 GDPR was enforced in May this year. It firms to submit to security checks 性，因此我们预计将会有关于数据出 states that data managers don’t have to and store user data in the country, 口的更加谨慎的规定，”潘律师说。 notify or gain approval from the users for according to a Reuters’ report. 据路透社报道，2017年9月，美国 the use of data if it is for public interest Amidst all the hype in online and 敦促中国不要执行《网络安全法》， for legal obligations. digital data, Ruan also says it is 因为该法要求境内和境外企业接受安 important to protect offline data. 全审查并在中国保存用户数据。现在关于网络和数字数据保护的宣 “It remains to be clarified how and International alignment? 传铺天盖地，阮律师则指出保护离线 As the digital world has less geograph- if corporations can collect and process 数据也同样非常重要。 ical boundaries, the lawyers agree that personal information in offline or non- “还有待明确的是，企业该如何以及 international alignment in data protec- digital scenarios and business processes 是否能够以合法合规且实用的方式在 tion regulations is important. But the in a legally compliant and yet practical 离线或非数字场景和业务流程中收集 recent geopolitical tensions generated manner,” he says. 和处理个人信息，”他说。

46 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT

2018年11月22日，2018 ALB北京企业法律顾问峰会在北京国贸大酒店圆满举办。本次峰会吸引了超过200名来 2018 ALB BEIJING IN-HOUSE 自央企、外企和民企的总法律顾问、法务代表和律师参与。数十位演讲人针对跨境并购、网络安全合规、一带一路、国企改革、房地产、美国经济制裁制度的影响、金融监管、中国金融机构不良资产、 LEGAL SUMMIT BROUGHT TO A 资管新规、人工智能等诸多热点问题进行了分享与讨论。会议内容融合当下热点，结合客观实际，为参会者搭建了良好的学习与交流平台。 SUCCESSFUL CLOSE 本次峰会依旧分为A、B两个会场同时进行，与会者可根据感兴趣的话题选择会场。两个会场均呈现了精彩的内容，受到 2018 ALB北京企业与会者热捧，座无虚席。 22日早晨9点，峰会正式开始，A会场由中央民族大学法学院教授、博士生导法律顾问峰会圆满落幕师、副院长段威先生担任大会主席，B会场由汤森路透ALB China Analyst Ines Yang担任大会主席。 On November 22, 2018, the 2018 new regulations on asset manage- A会场由安杰律师事务所的顾正平律 ALB Beijing In-house Legal Summit was ment, artificial intelligence (“AI”) and 师开场，他就“新时代的反垄断挑战和合 successfully held at China Ballroom, many other hot topics. Integrating both 规战略”这一主题进行了分享。顾正平律 China World Summit Wing, Beijing, current trends and ground reality, the 师围绕“反垄断执法十周年总体成就”、“ attracting more than 200 general Summit was a preferred platform for 构建合规制度的常见误区”、“企业的攻防策略”等内容进行了论述。其后，安杰律 counsels (“GC”), legal directors and attendees to learn from and commu- 师事务所的杨洪泉律师围绕“建立完善的数 lawyers from central enterprises, foreign nicate with each other. 据保护和网络安全合规体系”进行了细致阐 companies and private businesses. As usual, the Summit was divided 述，主要内容涵盖：新法律框架、企业合 Dozens of speakers shared their insights into two simultaneous streams, Stream 规实践、企业合规常见问题和案例分享。 on cross-border merger and acquisition A and Stream B, allowing participants 两位律师针对当下相关法律的分析解读， (“M&A”), cybersecurity compliance, the to choose the venue based on the 以及生动的案例讲解，十分精彩。 “Belt and Road Initiative”, State-owned topics of their interest. Both streams B会场议程同样精彩。B会场开场演讲来 enterprise (“SOE”) reform, real estate, presented exciting contents and 自君合律师事务所合伙人钟洁律师和顾问赵 impact of US economic sanctions, enjoyed a full house. 婷婷律师。钟洁律师和赵婷婷律师以“企业 financial regulation, non-performing Both Stream A and Stream B kicked 并购重组方案中法律和税务的综合考量”为 assets of Chinese financial institutions, off at 9 am on November 22, with 主题，与到场嘉宾进行了分享。两位律师围绕这一主题，从不同维度展开，就交易律师和税务律师在优化并购/重组架构中的冲突与妥协；交易律师和税务律师如何合作，以使尽职调查更具价值；交易文件的起草；以及中国的税务律师承担更大的责任等内容进行了解析。两位律师通过植根于自身积累与经验分享，博得阵阵掌声。短暂的茶歇过后，上午的后半场峰会延续了之前的热烈氛围。 A会场迎来了美国GT国际律师事务所合伙人Joel H. Rothstein。他以“房地产：内部法务顾问指南——你需要了解什么” 为主题与到场嘉宾进行分享，内容分别涵盖：工作场所；工作场所之外的运营及支持设施；公司扩张——并购交易中的房地产尽职调查；公司作为开发商/业主；寻找外部房地产法律顾问及与其合作的实用建议等五个角度。Rothstein律

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Doctoral Tutor, Vice Dean and Professor Duan Wei of Law School of Minzu University of China acting the conference chair for Stream A, and Ines Yang, Thomson Reuters ALB China Analyst, as the conference chair for Stream B. Michael Gu, Partner of AnJie Law Firm, started the presentation in Stream A by talking about “Antitrust Challenges and Compliance Strategies in the New Era”, Duan Wei, Professor, PhD Michael Gu, Partner, AnJie Samuel Yang, Partner, focusing on the “overall achievements of Supervisor and Deputy Law Firm AnJie Law Firm a decade of anti-monopoly law enforce- Dean of School of Law, 顾正平，合伙人，安杰律杨洪泉，合伙人，安杰律 ment”, “common misunderstandings in Minzu University of China 师事务所师事务所 (MUC) compliance system building” and “attack 段威, 中央民族大学法学院 and defense strategies of businesses”. He 教授、博士生导师，副院长 was followed by Yang Hongquan, another partner of Anjie Law Firm, who elaborated on the topic of “Establishing a Sound Data Protection and Network Security Compliance System”, mainly covering the new legal framework, corporate compliance practices, usual corporate compliance issues and case studies. The analyses and interpretations by the two partners of the current state of the law, as well as their vivid illustration of cases, were enthusiastically received. Stream B had an equally exciting agenda, Zhong Jie, Partner, JunHe Zhao Tingting, Counsel, Joel H. Rothstein, opened by Zhong Jie, Partner of JunHe LLP LLP JunHe LLP Shareholder, Greenberg and Zhao Tingting, Counsel of JunHe LLP, 钟洁，合伙人，君合律师赵婷婷，顾问，君合律师 Traurig LLP 事务所事务所 Joel H. Rothstein, 合伙人, on the topic of “Thinking Both Legal and 美国GT国际律师事务所 Tax in Corporate M&A and Restructuring”. The two lawyers shared their insights with the attendees from different perspectives, including the interaction between transaction lawyers and tax lawyers to optimize the transaction structure, the cooperation between transaction lawyers and tax lawyers for a value-added due diligence, whether the drafting of transaction documents is transaction lawyers’ one-man show and a bigger role for tax lawyers in China. The speakers won warm applause from the attendees by sharing experience rooted in their own practices. Eric Huang, Partner, V&T Xue Lian, Partner, V&T Jinnan Li, Senior Partner, After a short refreshment break, excite- Law Firm Law Firm Tahota Law Firm ment continued during the second half of 黄颢，合伙人，万商天勤律薛莲，合伙人，万商天勤律李锦南，高级合伙人，泰和 the morning session. 师事务所师事务所泰律师事务所 Joel H. Rothstein, Shareholder of Greenberg Traurig LLP, presented on the topic of “Real Estate: A Guide for In-House Legal Counsel - What You Need to Know” in Stream A, walking the audience through

48 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT

师精彩的演讲、详实的分析，引起在场嘉宾热烈反响。 B会场则由万商天勤律师事务所合伙人黄颢律师的分享开始。黄律师的演讲主题为“国有企业并购重组——“一带一路”情境下境外投资并购的机遇和挑战” ，主要内容涉及：国有企业产权转让，国有企业收购兼并，国有企业重组和清算关闭，国有企业境外投资，以及划转国有资本充实社保基金的新规趋势。其后，同来自万商天勤律师事务所的合伙 Tao Xiuming, Partner, Li Yunbo, Partner, Liu Yan, Managing JunZeJun Law Offices JunZeJun Law Offices Partner and Head of 人薛莲律师则就“国有企业法人治理结陶修明，合伙人，君泽君律李云波，合伙人，君泽君律 Capital Market/Securities 构——打造灵活机制与僵局预防”进行了师事务所师事务所 Department, Tian Yuan Law Firm 精彩论述，并基于《中国公司法》语境刘艳，管理合伙人及资本下讨论了：完善国有企业法人治理结构市场业务负责人，天元律是国内改革的内在要求和重要任务；大师事务所趋势下混改对国有企业法人治理机制的影响和要求；国有企业法人治理机制的特点以及在法律层面出现的实务难点；以中国公司法为基础，以企业僵局局面的实际案例分析危害性，针对国有企业讨论预防措施的提前介入（前瞻与现实的平衡）；国有企业、国有创投和国有上市公司面临的不同难点分析。两位律师的精彩演讲获得现场的一致好评。交流午餐过后，下半场峰会在下午1 点30分拉开帷幕。 A会场由泰和泰律师事务所高级合伙人李锦南律师开场，围绕“美国经济制裁制度的影响——中国企业如何防控出口 Li Han, Partner, Tian Yuan Song Juanjuan, Partner, Xu Wei, Partner, Tian Yuan Law Firm Tian Yuan Law Firm Law Firm 管制合规风险”进行了精彩地分析和阐李晗，合伙人，天元律师宋娟娟，合伙人，天元律徐伟，合伙人，天元律师述，主要内容涵盖：美国经济制裁制度事务所师事务所事务所和出口管制制度概述及最新动态，对中国企业的影响，以及中国企业如何防控经济制裁和出口管制合规风险。九十分钟的分享令在场听众意犹未尽。 B会场由君泽君律师事务所合伙人陶修明律师就“金融纠纷及裁判的最新发展” 为主题的演讲开始了下午的讨论。陶律师根据自己的整理和分析，细致论述了近几年投融资市场违约纠纷状况，如何更好地处理金融投资纠纷案件，最新金融监管政策及最高院裁判指导思路，并给出翔实生动的案例分析。其后，君泽君律师事务所合伙人李云波律师则就“中国金融机构不良资产业务的‘前世今生’”进行了精彩分享。李律师分别从中国金融机构不良资产业务的起步阶段：“三打”模式；金融机构不良资产业务的发展阶段：“二重”模式； Jacky Yu, Partner, Tian Carl Li, Senior Partner, James Miao, Senior Yuan Law Firm AllBright Law Offices Partner, AllBright Law 金融机构不良资产业务的新时代：“收购+ 郁岩，合伙人，天元律师李雄，高级合伙人，锦天城 Offices 融资”模式几个方面来论述，最后给出监事务所律师事务所缪剑文，高级合伙人，锦天管政策建议。两位律师专业生动的分析讲城律师事务所解，引人入胜，丰富扎实的经验分享也使得与会嘉宾受益颇多。短暂的茶歇过后，A会场迎来了天元律师事务所的“2018投资热点回顾：教育▪

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 49 2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT

the main areas of “The Workplace”, luncheon. 医疗▪金融▪香港资本市场”圆桌讨论环节。 “Operations and Support Facilities Stream A was opened by Li Jinnan, 天元律师事务所高级合伙人及资本市场业务 Beyond the Workplace”, “The Company Senior Partner of Tahota Law Firm, 负责人刘艳律师担任讨论的主持人，四位参 as a Developer/Owner” and “Practical who gave an engrossing presentation 与讨论的嘉宾：天元律师事务所合伙人李晗 Advice on Finding and Working with on “Impact of US Sanctions - Chinese 律师、天元律师事务所合伙人宋娟娟律师、 Outside Real Estate Counsel”, drawing Companies to Prevent Export-control 天元律师事务所合伙人徐伟律师、天元律师 enthusiastic responses from the audience Compliance Risks”. The 90-minute 事务所合伙人郁岩律师，首先分别就新民 with his wonderful speech and detailed presentation, which was divided into 促法时代的民办教育产业、2018医疗投资 analyses. three sections of “US Sanction Regime 热点与法律难点、投资金融机构中的法律问题、以及中国境内企业赴香港资本市场上市 Eric Huang, Partner of V&T Law Firm, - Introduction and Latest Updates”, 相关政策的新发展逐一进行了详实地论述， started the session at Stream B after “Impact on Chinese Companies” and 随后，刘艳律师与四位律师共同就2018年教 the refreshment break by talking about “Chinese Companies to Prevent Export- 育、医疗、金融和香港资本市场的投资热点 “Merger and Reorganization of State- control Compliance Risks”, left the 问题展开了精彩对话和热烈讨论。五位律师 owned Enterprises - Opportunities and audience wanting more. 的讨论内容丰富详实，令与会者耳目一新， Challenges of Overseas Investment in Tao Xiuming, Partner of JunZeJun Law 将会场气氛推向高潮。 the Context of the Belt and Road”, with Offices, began the afternoon session of B会场则由锦天城律师事务所高级合伙 the presentation focusing on the transfer Stream B with a speech on “The Latest 人李雄律师带来“资管新规下的跨境并购交 of the property rights of SOEs, SOE Development on Financial Disputes 易结构设计”的精彩演讲。李律师就跨境并 M&As, restructuring, liquidation and Resolution”. Based on his own research 购中的常见交易架构和交易流程，资管新 closure of SOEs, outbound investment by and analysis, Tao analyzed in detail the 规与并购基金，境外投资监管新规和重点 SOEs and trends in the new regulations defaults in investment and financial 变化，以及跨境并购融资监管与途径等几 governing the transfer of State-owned markets in recent years, discussed how 个方面进行了抽丝剥茧的论述。其后，同来自锦天城律师事务所高级合伙人缪剑文 capital to beef up social security funds. to deal with investment and financial 律师的演讲题目是“与中国有关的跨境并购 Xue Lian, another partner of the same disputes appropriately, and cited 交易中的支付监管问题”，主要内容涵盖： firm, followed by an intriguing presen- vivid case studies. Another partner of 外汇监管，跨境人民币监管，保证金和共 tation on “Promoting Flexible Operation JunZeJun Law Offices, Li Yunbo, followed 管账户、价格调整、延迟支付与分期付款， on State-owned Enterprises Corporate with a presentation on “The Past and 以及违约金等特殊问题。在热烈的讨论氛围 Governance – The Prevention for Present of NPL Business of Chinese 中，B会场的讲演暂告一段落。 Corporate Deadlock”, which discussed, Financial AMCs”, talking about “the A会场的精彩仍在继续，与会者迎来了 in the context of China’s Company Law, Initial Phase of NPL Business of Financial 备受期待的与总法直接进行对话的圆桌讨 that perfecting the corporate governance AMCs”, “the Development Phase of NPL 论环节。ALB China Analyst Ines Yang作 structure of SOEs is the inherent require- Business of Financial AMCs”, “the New 为本次讨论环节的主持，与创新工场总法 ment and important task of domestic Era of NPL Business of Financial AMCs: 务官林莺女士和同方股份有限公司总裁助 reform, the influence and require- Purchase + Additional Financing” and 理、法务部总经理苏云鹏先生，共同就“ 人工智能时代：我们对彼此有着怎样的期 ments of mixed-ownership reform on “Regulatory Policies Improvement”. The 待？”进行了热烈而充分的讨论。两位总法 the corporate governance mechanism professional and vivid sharing of their 跟大家分享，在人工智能时代，现有外部 of SOEs in general; the characteristics rich and solid experience by both lawyers 律师与公司法务在角色分工、工作流程、 of the corporate governance mecha- fascinated the audience. 工作交付模式以及标准等方面会发生哪些 nisms of SOEs and practical legal diffi- After a short refreshment break, 改变，并具体从三个维度进行深入探讨： culties, the harmfulness of actual cases Stream A resumed with panel discus- 当一切都在“变”的时候，相对“不变”的是 of corporate deadlock based on China’s sion sponsored by Tian Yuan Law 什么？作为为企业运营保驾护航的公司法 Company Law and the early interven- Firm on “Review of 2018 Investment 务，我们对自己、对外部律师、对这个 tion of preventive measures in the case Hot Topics: Education, Healthcare, 行业会有怎样的认知调整与期待？面对 of SOEs (striking a balance between Finance and HK Capital Market”, 法律科技汹涌来袭，我们如何最大程度 being forward-looking and realistic), and moderated by Liu Yan, Managing 利用技术优势、为我们的工作“如虎添翼” the different sets of difficulties faced by Partner and Head of Capital Market/ ？两位总法的精彩分享，为在场的嘉宾带来耳目一新的资讯和见解。 SOEs, State-owned venture capital firms Securities Department of Tian Yuan 2018 ALB北京企业法律顾问峰会在热 and State-owned listed companies. The Law Firm. The four panelists, Li Han, 烈的氛围中获得圆满成功，受到与会嘉宾 wonderful speeches of both lawyers were Song Juanjuan, Xu Wei and Jacky Yu, all 们的广泛好评。ALB作为峰会组织者，真 highly acclaimed by all the guests. partners of the same firm, each gave a 诚感谢每一位到来的嘉宾，我们将在未来 The afternoon session of the Summit detailed presentation on “The Private 奉献更多精彩活动，十分期待与各位下一 kicked off at 1:30 pm after the networking Education Industry in the Era of the New 次的见面。

50 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT GCs Panel (from left to right): Ines Yang, ALB China Analyst, Thomson Reuters 杨超, ALB China Analyst, 汤森路透 Revision of Private Education Promotion Peter Su, President Assistant, General Counsel, Tsinghua Law”, “Hot Topics and Difficulties in Tongfang Co., Ltd. Legal Practice of Healthcare Investment 苏云鹏，总裁助理，法务部总经理，同方股份有限公司 2018”, “The Legal Issues in Investing Lin Ying, General Legal Counsel, Sinovation Ventures Financial Institutions” and “New 林莺，总法务官，创新工场 Development of the Policies, Rules and Regulations regarding Domestic senior partner of the same firm, followed of external lawyers and in-house Enterprises Listing at Hong Kong Capital up with a presentation on “Regulatory counsels in the era of AI, and focused Market”. Subsequently, Liu Yan and the Issues on Payments in Cross-border M&A their discussions on the following three four lawyers had a passionate discussion Transactions involving China”, mainly aspects: what will remain relatively on the investment hotspots of education, covering foreign exchange regula- stable when “change” is all around? healthcare, finance and the Hong Kong tion, cross-border RMB regulation, How should in-house counsels who capital market in 2018. Their rich and and several notable issues regarding are guardians of business operations detailed discussions were a breath of deposit, escrow account, price adjust- adjust their thinking and expectations fresh air and brought the atmosphere ment, holdback, installment, set-off of themselves, external lawyers and to a climax. and liquidated damages. The session the industry as a whole? And how can Over at Stream B, Carl Li, Senior at Stream B concluded in an atmo- in-house counsels make the most of Partner of AllBright Law Offices, sphere of avid discussion. technology to assist them in the face delivered a wonderful speech on “Cross- Stream A continued with the highly- of the surge of legal technology? The border M&A Trading Structure Design anticipated GC panel discussion fascinating discussions of the two GCs under the New Guiding Opinions on moderated by Ines Yang, ALB China brought refreshing perspectives and Regulating the Asset Management Analyst, who chaired a lively discussion insights to the guests present. Business of Financial Institutions”, on “What do We Expect from Each Other The 2018 ALB Beijing In-house during which he discussed in detail the in the AI Era?” with Lin Ying, General Legal Summit successfully concluded normal deal structure and process of Legal Counsel, Sinovation Ventures in a warm atmosphere and was widely cross-border M&As, buyout funds and and Peter Su, President Assistant and acclaimed by all the guests present. the new Guiding Opinions on Regulating General Counsel, Tsinghua Tongfang As the organizer of the Summit, ALB the Asset Management Business of Co., Ltd. The two GCs shared with the sincerely thank everyone who took time Financial Institutions, key points of the audience the changes that are likely to to attend. We will have more exciting new ODI rules and supervision on cross- occur in the existing roles, workflows, activities in store going forward and we border financing. James Miao, another service delivery models and standards look forward to seeing you next time.

Workshop Sponsors

AllBright Law Offices AnJie Law Firm We are one of the leading full-service Chinese law firms in the People’s Re- With offices in Beijing, Shanghai, Shenzhen and Hong Kong, AnJie is an emerging power in China legal public of China (“PRC”). As a national law firm headquartered in Shang- service sector founded by a group of senior lawyers committed to providing a high quality of service to in- hai, we provide a comprehensive range of high quality legal services to ternational and domestic clients. Our attorneys are highly-regarded advisors with years of legal experience both domestic and international clients from our twenty offices, respec- in a wide variety of fields. Clients consistently give high marks to our services, acknowledging our attorneys’ tively in Shanghai, Beijing, Changchun, Chengdu, Chongqing, Fuzhou, effectiveness, reliability, and creativity. Hangzhou, Hefei, Jinan, Nanchang, Nanjing, Qingdao, Shenzhen, Suzhou, Tianjin, Taiyuan, Xi’an, Xiamen, Wuhan, Zhengzhou and Hong Kong. Beijing Office Shenzhen Office While size is only one of many indicators of the success and resourceful- 19/F, Tower D1, Liangmaqiao Diplomatic Office 38/F, Tower 3, Kerry Plaza, No. 1-1 Zhongxinsi Road, ness of a law firm, we certainly lead in this respect among our peers in Building, No. 19 Dongfangdonglu, Chaoyang Futian District, Shenzhen 518048 Shanghai. We are the largest law firm based in Shanghai (and in the whole District, Beijing 100600 Tel: +86 755 8285 0609 Eastern China region). Tel: +86 10 8567 5988 Fax: +86 755 8285 0605 Address: 11, 12/F, Shanghai Tower, No.501, Yincheng Middle Road, Pudong Fax: +86 10 8567 5999 Hong Kong Office (Joint Venture with Hwang Hauzen New Area, Shanghai 200120, P.R.China Shanghai Office LLP) 28/F, K.Wah Center, No. 1010 Huaihai Road Suite 3708, 37/F, Tower Two Lippo Centre, No. 89 Tel: +86 21 2051 1000 (M), Xuhui District, Shanghai 200031 Queensway, Hong Kong Fax: +86 21 2051 1999 Tel: +86 21 2422 4888 Tel: +852 3798 3298 Website: www. allbrightlaw.com Fax: +86 21 2422 4800 Fax: +852 3798 3201

LEGALBUSINESSONLINE.COM/CHINA ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 51 2018 ALB BEIJING IN-HOUSE LEGAL SUMMIT

Greenberg Traurig LLP JunHe LLP Greenberg Traurig is an international law firm, multi-practice law firm with approximately JunHe, founded in Beijing in 1989, was one of the first private partnership law firms in China. 2000 attorneys serving clients from 38 offices in the United States, Latin America, Europe, Since its establishment, JunHe has grown to be one of the largest and most recognized Chi- Asia and the Middle East. Greenberg Traurig provides integrated, business-focused legal nese law firms. The firm has twelve offices around the world and a team comprised of more services for clients worldwide and we help clients bridge markets and cultures by providing than 730 professionals, including over 220 partners and legal counsel, as well as over 510 innovative strategic advice and efficient legal services. associates and legal translators. Greenberg Traurig’s China Practice regularly advises international clients entering the Chi- Address: nese market, as well as those with established business interests in the region. In addition, China Resources Building, 20th Floor, 8 Jianguomenbei Avenue we represent Chinese companies in their transactions and other business dealings in the Beijing 100005, China United States and abroad. T: +86 10 8519 1300 Website: www.gtlaw.com F: +86 10 8519 1350 E-mail: [email protected] www.junhe.com

JunZeJun Law Offices Tahota Law Firm JunZeJun Law Offices (“JunZeJun”) was founded in 1995 with its headquarters in Beijing. Established on May. 25th 2000, Tahota Law Firm has become a leading large and comprehen- It is one of the earliest partnership law firms in China, as well as one of the largest, well- sive law firm in China. The firm began its businesses in western China. Nowadays, it has set recognized law firms in China. up branch offices in cities such as Chengdu, Beijing, Chongqing, Shenzhen, Shanghai, Jinan, JunZeJun has so far established ten offices in Shanghai, Shenzhen, Guangzhou, Tianjin, Kunming, Guiyang, Lhasa, Hong Kong, Washington D.C., Seoul and Busan. Nanjing, Chengdu, Changsha, Changchun, Zhuhai and Hong Kong (which is in association Talent lawyers with profound theoretical foundation and extensive practice experiences are with Nixon Peabody CWL). JunZeJun has a team comprised of about 90 partners and 600 the basis of Tahota’s development. Tahota pays great attention to career development plan- professionals in total, who graduated from top law schools and have excellent professional ning of its lawyers and it has established scientific talent mechanism. So far, the firm has skills and rich working experience. above 140 partners, over 600 practicing lawyers and nearly 1,000 employees. Most lawyers JunZeJun’s lawyers are proud of their expertise and competitive edges in the fields of fi- are graduated from domestic and abroad famous schools of laws and dozens of lawyers has nance, capital markets, equity investment, dispute resolution, infrastructure and utilities, doctor’s degrees and overseas education background, who have professional qualification foreign trade and WTO, enterprise liquidation and bankruptcy, real estate and construction, in securities, delimitation of state-owned property, certified public accountant, certified tax and intellectual property rights. agency, patent agency, etc.. Tel: +86-10-6652 3388 Address: Fax: +86-10-6652 3399 16-17/F, Palm Springs International Center, No.199, Tianfu Avenue (M), Postal Code: 100005 High-Tech District, Chengdu 610041, China Address: 11F, Jinbao Tower, 89 Jinbao Street, Tel: +86 28 86625656 Fax: +86 28 86748148 Dongcheng District, Beijing 100005, P.R.C Email@ Website: www.tahota.com [email protected]

Tian Yuan Law Firm V&T Law Firm Tian Yuan Law Firm (‘Tian Yuan’) is a general-service Chinese law firm. Founded in 1992, it V&T is a comprehensive law firm committed to providing a multi-field legal services for cli- is one of the earliest partnership law firms in China. Tian Yuan is headquartered in Beijing ents. We have offices in Beijing, Shenzhen, Shanghai, Chengdu, Wuhan, Xi’an, Changsha, with branch offices in Shanghai, Shenzhen, Chengdu and Hong Kong. Over the past 25 Madrid(Spain) and Manchester(UK). years, through steady growth and development, Tian Yuan has grown into a top-tier law V&T brings together leading lawyers, specializing in corporate & capital markets, banking & firm with high rankings in multiple fields of practice. The practice areas of Tian Yuan covers finance, private equity funds, mergers & acquisitions, intellectual property, international prac- a wide range of domestic and overseas capital markets, investment/ M&A, finance & as- tice, real estate, construction & infrastructure, dispute resolution, criminal risk prevention & sets management, antitrust and competition, dispute resolution, etc., especially taking the defense, and governmental legal affairs. Our lawyers graduated from top-ranked domestic and lead in industries such as education, healthcare, TMT, new economy, the Belt and Road, international universities, with strong professional backgrounds in law and securities, finance, etc., providing comprehensive legal services to numerous clients both at home and abroad. insurance, construction, real estate management, environmental protection, business adminis- www.tylaw.com.cn tration, intellectual property, etc. Our partners have been appointed as legislative consultants T: +86 10 5776 3888 of the Standing Committees of the NPC, legal counsels for a E: [email protected] number of government departments and bureaus, arbitra- tors and legal counsels for various other legal organizations.

SPONSORS ASSOCIATE SPONSOR

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52 ASIAN LEGAL BUSINESS CHINA • 亚洲法律杂志-中国版 DECEMBER 2018 亚洲法律杂志 - 中国版 CHINA

As 2018 comes to a close, Asian Legal Business (ALB) would like to thank all our sponsors, speakers and delegates for their support. We will strive to continue to bring you high quality programme and events in 2019 to address the top concerns in the legal Industry. 随着2018年接近尾声，亚洲法律杂志(ALB)在此感谢所有的赞助人、演讲人和代表的支持。我们将继续努力，在2019年继续为您举办高质量的项目和活动，以解决法律业界最重要的问题。 2019 CHINA EVENTS CALENDAR 中国活动日期 Please save the dates below! Look forward seeing you at our 2019 events! 请记下日期！2019年期待您的光临！

DATE*日期* DAY* 星期* EVENT NAME 活动名称 CITY 城市

21 March ASIA CROSS-BORDER FORUM Thursday 星期四 Shanghai 上海 3月21日亚洲跨境论坛

18 April CHINA LAW AWARDS Thursday 星期四 Beijing 北京 4月18日中国法律大奖

22 May CHINA M&A FORUM Wednesday 星期三 Beijing 北京 5月22日中国并购论坛

20 June SHANGHAI IN-HOUSE LEGAL SUMMIT Thursday 星期四 Shanghai 上海 6月20日上海企业法律顾问峰会

5 September SHENZHEN IN-HOUSE LEGAL SUMMIT Thursday 星期四 Shenzhen 深圳 9月5日深圳企业法律顾问峰会

21 November BEIJING IN-HOUSE LEGAL SUMMIT Thursday 星期四 Beijing 北京 11月21日北京企业法律顾问峰会

* Please note that this schedule is subject to change. * 请注意，本计划之后或有变更。

For further information about Asian Legal Business, please visit www.legalbusinessonline.com or contact your sales representative below: 如需了解亚洲法律杂志的更多信息，欢迎访问www.legalbusinessonline.com或联系您的业务顾问：

Amantha Chia 谢京庭 Sardor Yangibayev Head of Legal Media Business, ASEAN and North Asia Senior Sales Executive T: (65) 6870 3917 M: (65) 9642 9895 E: [email protected] T: (65) 6870 3190 M: (65) 9176 8850 E: [email protected]

Amy Sim Steven Zhao 赵树群 Senior Sales Manager Account Manager T: (65) 6870 3348 M: (65) 9825 7951 E: [email protected] T: (86) 10 6627 1360 M: (86) 186 1004 8891 E: [email protected] Jeremy Lim Yvonne Cheung 张裕裕 Sales Executive Account Director T: (65) 6870 3789 M: (65) 9151 2654 E: [email protected] T: (852) 2847 2003 M: (86) 131 4394 3617 E: [email protected] One Global Service Platform. Endless Integrated Solutions. We Know Collaboration.

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