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研究生:曾享文
研究生(外文):Steven Tseng
論文名稱:跨國企業訴訟案之研究
論文名稱(外文):A Study of Legality Aspect of Multi-National Corporations
指導教授:吳怡融吳怡融引用關係
指導教授(外文):Yi Jung Wu
學位類別:碩士
校院名稱:世新大學
系所名稱:國際經營管理碩士學位學程碩士班
學門:商業及管理學門
學類:企業管理學類
論文種類:學術論文
論文出版年:2013
畢業學年度:101
語文別:英文
論文頁數:129
中文關鍵詞:跨國企業國際訴訟
外文關鍵詞:Competition LawCartelsPatentWhistleblowerInsider Trade
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近來五年,從2009至2013年間,國際經營環境和國際法律日益複雜,更因為國際司法管轄權不同,以及法律系統不同的關係,更難以了解,跨國企業可能都會面對這些難題,本論文希望對於國際商業法的實務面和特質能夠更深入的探討,藉此對業界與學界皆有所幫助。
  研究構想來自於,對日常商業活動的觀察,與由國際知名媒體,對著名的國際商業法律事件之專業報導的關注。
  研究架構為並行採用case study專案研討,和content analysis內容分析之質性研究,而且對工商產業與政府這兩方面(更同時對兩者的結合-綜效環境因素)做特質分析。在事件的細節上面我們也並行採用質性研究和統計方法,同時研究。對於國際跨國企業的研究條件,criteria setting資料蒐集方法與標準,個別資料的條件在本文中都有明確的規定。
  文獻探討的研究與文獻理論架構,是針對於國際商業法律,國際關係和國際經營管理理論等等,做交叉研究。再加上論文重點為針對實務面,因此對政府公部門法規規定,和特殊法條以及特殊法務行動等一併做為探討,主要還是希望研究之結論,對於台灣的國際經營管理工商業界,能提出有效建議,與提出有效的法律資源。
The international business environment in the recent years (2009~2013) has become increasingly more complicated. The multinational corporations (MNCs) may encounter lawsuits with complex cross national jurisdictions and different legal problems. The main drive of this research is to help the Taiwan MNCs firms to discover and understand the natures and pragmatic aspects of International Business Law. We also hope that the research can enhance the IMBA courses academically.
The literature review is a joint review of the International Law (IL) and International Business (IB) theories. For the pragmatic concerns, this thesis is also review the numerous governmental regulations, special law order or designated task and take reference from the available scholar studies. The main audience of this study is for the Taiwan MNCs companies, and the conclusion to provide some useful legal resources and suggestion for the reader as a reference on business law.
The study idea is coming from the daily observations of business activities, and noticeable incidents or phenomena that have been reported from world recognized media. The study structure is jointly using the case study approach and content analysis to examine the private sector (industry-and-business) and government sector the legal matters. Also is reviewing the combination of these two from the system aspects. We have utilized both quantitative and qualitative methods in combination to categorize and analyze the events’ details. The data sampling and collection criteria setting has been defined to fit the MNCs’ international operation and is specified in the methodology chapter clearly.
The research finding concluded with analysis of the MNCs lawsuits by the Pareto distribution to comprehend the essence of the lawsuits. The research is also looking into government policy and performance aspects to identify the legal factor and the correlation with the economic trend. The research has given the MNCs a visionary management looks as far as the environment factor concerns and then converted into to pragmatic base suggestions for the reader to apply all these perspectives into the legal management as a reference or reminder.
TABLE OF CONTENTS
Cover Page ………………………………………………………………………………1
Thesis Committee approval sheet……………………………………………..………...2
Authorized for online publication.……………………………………………………...3
Acknowledgement……………..…………………....………………………..…........... 4
Abstract………………………………………………………………………..….…..5-6
Table of contents ……..................................................................................................7~9
List of Figures and Tables…………………………………………………….……......10
Chapter 1 Introduction…………………………………………………………….…11
1.1 Research Background………………………………………………..……..….…11
1.1.1 Background …………………..………….............................................................11
1.1.2 Political Sector Concerns…..………………………..……………………...……12
1.1.3 Geo-Political Benefits…..………………………………………….……….……12
1.1.4 Ethical Trend……………………………………………………….…………….14
1.1.5 Lawsuit Frequency………………….……………………………………………15
1.1.6 Research Idea………………………………………………………….……..…..15
1.2 Research Motivation ………………………………………………….…………16
1.2.1 Pragmatic Aspect..…………………………………………………….…………16
1.2.2 Academic Aspect…………………………………..…………………………….17
1.3 Research Purpose…………….…………………………………………………..18
1.4 Scope of Study……………….…………………………………………………..18
1.5 Thesis Structure..…………….…………………………………………………..19
1.6 Research Question……………………………………………………………….20
1.6.1 Generalization…………………………………………………………………….20
1.6.2 Research Questions……………………………………………………………….20
Chapter 2 Literature Review………………………………………………………….21
2.0 General Theory Review.…………………………………….…………………….23
2.1 International Business (IB) theory………………………….……………………..23
2.1.1 IB Theory - Law Role……......................................................................................23
2.1.2 IB Theory – Culture Aspect…..…….......................................................................25
2.1.3 IB Theory – Corporate Governance Aspect…………………….............................26
2.2 International Law (IL) Theory……….………………………………………..…..26
2.2.1 IL Theory – Review Summary…………….………………………………………27
2.2.2 IL Theory–Mathematic Approach………………………........................................28
2.2.3 IL Theory – Lawsuit Practice..……………………………….……………………28
2.3 Government Law & Regulation……….......………………………………………29
2.3.1 Treaty………………………..…………………………………………………….29
2.3.2 Taxation…………………………………………………………………………...29
2.3.3 Regulation – Trade and Investment……………………………………………….29
2.3.4 Macroeconomic policy aspect……………………………………………………..29
2.4 Literature review conclusion………………..……………………………………..31

Chapter 3 Research Method…………………….…………..………………………..….32
3.0 Method use……………………………………………………………………….…..32
3.1 Method Logic………………………………..………..………………………..….....32
3.2 Research steps………………………………………………………………………..33
3.3 Private sector study……………………………………………….……………….....34
3.4 Public sector study……………………………………………………………..…….35
3.4.1 Law enforcement……………………………………………………………….…….35
3.4.2 Legislation and execution……………………………….…………..……….………37
3.4.3 Government and performance………………………….……………..……………..38
3.4.4 Regulatory……………………………………………..………………..……………38
3.4.5 Officer Attitude………………………………………………………………………38
3.5 Significant of Study………………………………………………………………….39
3.6 Contribution………………………………………………………………………….39
3.7 Limitation…………………………………………………………………………….39
Chapter 4 Case study Research Finding………………………………………..….…40
4.0 Generalization…………………………………………………………………..…40
4.1 MNCs Lawsuit analysis………………………………………………………..….40
4.1.1 By industrial/business sectors……………………………..…………………..…..40
4.1.2 By lawsuit value………………………………………………………………..….41
4.1.3 Financial/industrial’s lawsuit……………………………………….…………......43
4.1.4 By Lawsuit type ……………………………………………………………..……43
4.1.5 DOJ ‘s penalty judgment……………………………………………………….…45
4.1.6 Lawsuit settlement percentage………………………….…………………..…..…45
4.2 Government legislative performance……..……………………………….…..….46
4.3 US bankruptcy filed…………………………………………………………..…..47
4.4 Type of US. Financial crime…………………………………………………..…..48
4.5 Data differences………………………………………………………………..….50
4.6 Industrial opinions…………………………………………………………….…..50
4.7 Recent 5 years New law……………………………………………………….….51
4.8 National deficit…………………………………………………………………....54
4.9 SEC-Whistleblower……………………………………………………………….56
4.10 Copying effect………………..……………………………………………………56
4.11 Lawsuit tactics……………………………………………………………………...56
4.12 Finding Summary…………………………………………………………………..57
Chapter 5 Discussion and Suggestion..……………………..…………………………59
5.1 Discussion ………………………………….……………………………………….59
5.2 Suggestion to Industry/Business….………………………….……………………..59
5.2.1 Legality training…………………………………….………..……………………..59
5.2.2 Government sponsor….………………………………………..………………..….60
5.2.3 Culture different deduction……………………………………..…………………..60
5.2.3.1 Federalism court system………………………………………..…………………60
5.3 Available Electronic law sources………………………………………………….…62
5.3.1 Law Resources – Constitution……………………………………………………..63
5.3.2 Law Resources – Euro market treaty and tax Law……………….…………………64
5.3.3 Law Resources – USA Stock Exchange law……………………..…………………64
5.3.4 Law Resources – International Patent and trade mark law……..…………………..64
5.3.5 Law Resources – US Congress budget (appropriation)………….…………………64
5.3.6 Law Resources – US Tax law………………………………………………………..64
5.3.7 Law Resources – Trial Jury………………………………………………………….65
5.3.8 Law Resources – Find the lawyers……..…………………………………………...65
5.4 Government Officer Attitude………………………………………………………..66
5.5 Official Website Statistic features……………………………………………..……66
REFERENCES………………………………………………………………….……67~71
English Reference…….…………………………………………………….…….67~71
Taiwanese Reference………………………………….………………………..…….72
Official Website Reference……………………………………………………….…..73
Appendix 1 Reference of the MNCs Business Law & trade resources……………….74~77
Appendix 2 Empirical Lawsuit case study summary……………………….................78~81
Appendix 3 Empirical Live Lawsuit cases details…..….…..……………..................82~129
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