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1、16/03/2023OVERVIEW OF CHALLENGES AND OPPORTUNITIES FOR THE OVERVIEW OF CHALLENGES AND OPPORTUNITIES FOR THE LEGAL AFFAIRS DEPARTMENTS OF MAJOR CHINESE LEGAL AFFAIRS DEPARTMENTS OF MAJOR CHINESE ENTERPRISESENTERPRISES中国大型跨国企业法律事务部中国大型跨国企业法律事务部的挑战和机遇探讨的挑战和机遇探讨Robert D.LewisRobert D.Lewis主讲：吕立山主讲：吕立山Lo
2、vells BeijingLovells Beijing路伟国际律师事务所北京代表处路伟国际律师事务所北京代表处Caveats/Comments 前言：1.This presentation is based only on a general understanding of the current structure and management of the law departments of many major Chinese corporations本讲座根据主讲人对中国跨国企业法务部现有组织机构和管理水平的了解编写。2.In preparing this presentatio
3、n,we have made certain assumptions:在本讲座的编写系以如下假设为基础：2.1Many major Chinese companies will aggressively expand their business globally over the next 3-5 years在未来3-5年间，中国跨国企业将在全球范围内积极扩展业务；2.2Many leading law departments intend to achieve the service performance levels of law departments of leading mult
4、inational companies in the next 3-5 years中国跨国企业法务部(目前在中国公司法务部中名列前茅)有意在未来3-5年间使其服务水平达到国际大型企业法务部的水平；2.3Many major Chinese companies intend to continue to improve its corporate governance policies and practices as they move towards international operational standards中国跨国企业有意在向国际经营标准迈进的过程中继续改进其公司治理制度和规范
5、。Key Questions:主要问题：1.What are the key matrices for evaluation of the structure role and management of the law department?评价中国跨国企业法务部组织机构、作用和管理水平的主要标准是什么？2.What is the role of the law department with respect to:中国跨国企业法务部在以下方面发挥什么样的作用？Global expansion of the companys business?中国跨国企业业务的全球性扩展 Developme
6、nt of the companys corporate governance policies and practices?中国跨国企业公司治理制度和规范的制定 3.How can the law department add the most value to the companys business operations?中国跨国企业法务部如何为中国跨国企业的业务经营创造最大价值？4.What other key challenges will the in-house legal team face in striving to reach service performance l
7、evels of corporate law departments of leading international corporations?中国跨国企业法务部在使其服务水平达到国际大型企业法务部水平的努力中面临哪些其他挑战？1.1Total Legal Spending 法律开支总额 1.2Staffing 人员配备 1.3Structure 组织机构 1.Benchmarking the Chinese Corporate Law Department Against Law Departments of Foreign Multinationals 中国跨国企业法务部与国外跨国公司法
8、务部的比较 1.1Total Legal Spending 法律开支总额US/EUUS/EU美国美国/欧洲欧洲 AsiaAsia亚洲亚洲 Total Legal Spending as a Percentage of Company Revenue 法律开支总额占公司营业收入的百分比 0.25%to 0.50%0.10%Inside Legal Spending vs.Outside Counsel Spending 内部法律开支与外部法律顾问开支的比例40%(internal 内部)60%(external 外部)50%(internal 内部)50%(external 外部)Inside
9、Spending per In-house Lawyer 每名内部法律顾问的开支 US$200,000-US$300,000N/A Outside Counsel Spending per In-house Lawyer 每名内部法律顾问的外部法律顾问开支 US$250,000 US$400,000N/ANote:All number are approximate based on comparison of data from various sources注：所有数据均为约数，以不同来源数据的比较为基础注：所有数据均为约数，以不同来源数据的比较为基础 Sources:ACCA,PWC G
10、lobal Law Department Survey;Global Counsel 2002/3 Benchmarker Survey;Corp.Legal Times In-house Counsel Survey 数据来源：美国公司法律顾问协会数据来源：美国公司法律顾问协会(ACCA)、PWC全球公司法律部调查、全球法律顾问全球公司法律部调查、全球法律顾问2002/3比较比较调查、公司法律时报法律顾问调查调查、公司法律时报法律顾问调查 1.2Corporate Law Department Staffing公司法务部人员配备 US/EU US/EU 美国美国/欧洲欧洲 Asia Asia
11、 亚洲亚洲#of In-house Lawyers per US$B of Revenue 每10亿美元营业收入所对应的内部法律顾问人数 5 9 3-4#of In-house Lawyers per 1,000 employees 每千名员工所对应的内部法律顾问人数 1.4(global median)(全球中位数)N/A不适用 Support Staff per In-house Lawyer 每名内部法律顾问所对应的辅助人员人数 0.80.81.3 Corporate Law Department Structure 公司法务部组织机构 Reporting lines 责任制度责任制度
12、To Whom Does the CLO report?总法律顾问对谁负责？-directly or indirectly to Chairman/CEO 直接或间接对董事长/执行总裁负责 60%-Directly or indirectly to CFO 直接或间接对财务总监负责 15%-directly or indirectly to CLO of parent co.直接或间接对母公司的总法律顾问负责 10%-directly or indirectly to other senior mgr.直接或间接对其他高层管理人员负责 15%Which departments report t
13、o CLO?哪些部门对总法律顾问负责？-tax 税务 10%-IPR management知识产权管理 65%-treasury 财务 5%-regulatory compliance 政府监管 60%-company admin/secretary 公司行政/公司秘书65%-corporate governance 公司治理 60%Benchmarking Issues for Chinese Companies比较之下中国跨国企业面临的问题 Legal Risks and Legal Costs in China are Lower than in EU/US 在中国面临的法律风险和法律开
14、支低于欧洲在中国面临的法律风险和法律开支低于欧洲/美国美国 legal spending as a percentage of total revenue likely will need to increase as the companys business expands globally 随着全球性的业务扩展，中国跨国企业的法律开支占其营业总收入的百分比可能需要增加 Given lower lawyer salaries in China,#of in-house lawyers per US$B revenue can/should be disproportionately hig
15、her in China 由于中国律师的薪酬较低，中国跨国企业每10亿美元营业收入所对应的公司法律顾问人数可能/应该增加 Per in-house lawyer costs in EU/US will be significantly higher 中国跨国企业在欧洲/美国每名公司法律顾问的成本将会显著增加 -possible tension between EU/US legal staff and China legal staff?可能造成欧洲/美国法务部人员与中国法务部人员之间关系紧张 -will need to consider use of additional non-lawye
16、r staff in EU/US 需要考虑在欧洲/美国增聘非律师人员 Will need more specialized support from outside legal counsel in EU/US 在欧洲/美国将需更多外部法律顾问提供专业服务 Will need to increase internal integration of the Companys law department and consider restructuring of reporting lines 将需加强中国跨国企业法务部的内部整合，考虑重组责任制度 2.2.Role of In-house La
17、w Department in Companys Global Expansion Role of In-house Law Department in Companys Global Expansion 中国跨国企业法中国跨国企业法务部在中国跨国企业全球扩展过程中的作用务部在中国跨国企业全球扩展过程中的作用 Corporate:Capitalization requirements,company secretarial,directorships,securities compliance;etc.公司：资本要求、公司董秘、董事事务、遵守证券事务法规等Financial:implicati
18、ons of business expansion on new and existing loan facility agreements金融：业务扩展对于新的和现有的贷款协议的影响IPR:filings,infringements,licensing,alliances,protection,value creation,etc.知识产权：申报、侵权、许可、联合、保护、增值等HR:compliance with union laws,employment contract requirements,termination process requirements,anti-discrimi
19、nation laws,sexual harassment laws,etc.人力资源：遵守工会法、劳动合同规定、劳动合同中止程序规定、反歧视法、性骚扰法等 Operational:compliance with laws relating to sales of goods,appointment and dismissal of agents/distributors,security/collection of A/R,tax aspects,etc.运营：遵守与货物销售相关的法律、代理商或分销商的指定和撤销、应收帐款的但保/征收、税务等等 Other:product liability
20、,competition law,environmental,litigation,real estate,etc.其他：产品责任、反不正当竞争法、环境、诉讼、房地产等 2.1 Legal Risks/Issues in EU/US 在欧洲在欧洲/美国面临的法律风险美国面临的法律风险/问题问题 Formulation of corporate policies 制定公司制度Preparation of contract templates 编制合同范本Strategic coordination with business managers 与业务经理进行策略协调Hiring and mana
21、gement of local legal staff in EU/US 委托及管理欧洲/美国当地法律人员Coordination/Management of outside legal counsel in EU/US 协调/管理欧洲/美国外部法律顾问2.2 Law Department Role in Management of Legal Risks 中国跨国企业法务部在法律风险管理方面的作用中国跨国企业法务部在法律风险管理方面的作用 2.3 2.3 Corporate Policies and PracticesCorporate Policies and Practices公司制度和
22、规范 Law Department Prime Law Department Prime 法务部法务部 Drafting of Corporate charters起草公司章程 Drafting of approval authority delegation policies 起草审批授权制度 Drafting of code of conduct 起草行为规范 Drafting of policies and practices for“sensitive”and“important”transactions 起草“敏感”及“重要”交易制度和规范 Leadership of complia
23、nce,corporate secretarial and corporate governance functions 领导监管事宜，公司文秘及公司治理职能 Drafting of litigation/crisis management policies 起草诉讼/危机管理制度 Other Department Prime Other Department Prime 其他部门其他部门 Establishing management reporting lines 建立管理责任制度 Establishing internal reporting requirements 建立内部责任规定
24、Establishing budgeting/remuneration controls 建立预算/薪酬控制 Establishing“independent”finance team 建立“独立”财务队伍 Establishing internal audit function 建立内部审计职能Examples of Policies and Practices for“Sensitive”or“Important”Transactions for a High-Tech Examples of Policies and Practices for“Sensitive”or“Importan
25、t”Transactions for a High-Tech CompanyCompany有关“敏感”或“重要”交易的制度和规范实例1.Appointment/termination of sales reps/distributors2.销售代理/经销商的指定/撤销3.2.IPR licenses 知识产权的许可4.3.Establishment of new entities 新机构的设立5.4.Vendor financing or investments in customers6.卖方融资或对客户投资7.5.Unusual contract terms and conditions:
26、8.不正常合同条款9.-no liability cap 无赔偿责任限制10.-“most favored customer”price commitments “最惠客户”价格承诺11.-etc.等等3.Law Department“Value Add”中国跨国企业法务部的“增值”服务 Minimum requirement最低要求最低要求 Maximize value最高价值最高价值 Draft/negotiate contracts起草/谈判合同 Contribute to overall“process”management to reduce time/costs/risks 参与全
27、“过程”管理，减低时间/成本/风险 Provide legal advice for projects提供项目法律意见 Participate in development of business strategy参与制定经营策略 Support implementation of corporate policies/practices 协助实施公司制度/规范 Lead development of corporate policies/practices 领导制定公司制度/规范 Solve legal problems 解决法律问题 Prevent legal problems;educa
28、te senior management on legal risks 预防法律问题、对高层管理人员进行法律风险教育 Protect IPR 保护知识产权 Create new IPR-based assets and revenues 利用知识产权创造新的资产和收入 Be good lawyers 符合优秀律师标准 Contribute to commercial success of company 对公司的成功经营作出贡献 4.Other Challenges for Law Department中国跨国企业法务部面临的其他挑战 ChallengesChallenges挑战挑战 Poss
29、ible SolutionsPossible Solutions 可能的解决办法可能的解决办法 Build team of international-quality in-house lawyers 建设国际水平的公司法律顾问队伍 Formal training programs;secondments from international law firm;hire in-house lawyers with strong international experience 正式培训课程、从国际律师事务所调派人员、聘用具有丰富国际经验的公司法律顾问 Reduce turn-over of i
30、n-house legal staff 减少公司法律顾问的流动 Set up career paths;match or exceed outside compensation levels 建立职业发展阶梯、提供等同或超过外部薪酬水平的待遇 Improve quality of work-product改进工作-产品质量 Invest in templates,negotiation guidelines and IT-based solutions 制定文件范本、谈判技巧指导原则，应用信息科技解决问题 Increase integration into management of busi
31、ness 增强与业务管理部门的整合 Restructure reporting lines as appropriate;joint development by management and law department of law department priorities,objectives and performance matrices 根据需要重组责任制度；管理层与法务部共同制定法务部主要工作、目标及考绩标准 Thank you for your kind attention!谢谢!Robert D.LewisRobert D.LewisLovells BeijingLovells BeijingRobert.LRobert.LDirect Tel No.:8518-1725Direct Tel No.:8518-1725