【作者】 周慧；

【导师】 李健；

【作者基本信息】 天津大学 ， 技术经济及管理， 2011， 博士

【摘要】 在低碳经济成为世界发展潮流的趋势下,如何有效发挥金融在转变经济发展方式中的作用,促进产业低碳发展,成为当前急需研究的问题。为此,本文在借鉴国内外相关研究成果的基础上,基于低碳经济、金融功能和复杂系统等理论,对面向产业低碳发展的金融服务系统及传导机制进行了较为系统的研究。(1)探究了世界典型国家的低碳经济金融服务实践模式。在对国际碳金融市场发展情况进行分析的基础上,通过对美国、日本和中国三个典型国家的低碳经济金融服务实践模式进行比较研究,给出了基于中国国情的产业低碳发展金融服务思路和途径。(2)剖析了面向产业低碳发展的金融服务机理。基于金融功能理论,解析了金融对产业发展的资金形成、资金导向、信息揭示、公司治理和风险管理功能,在此基础上,通过分析产业低碳发展的特点及其金融服务需求,揭示了金融功能视角下产业低碳发展的金融服务机理,表现在四个方面:通过资金形成功能促进产业资本形成、通过资金导向功能促进产业结构优化、通过信息揭示与公司治理功能促进企业低碳化运作、通过风险管理功能促进低碳技术创新。(3)构建了面向产业低碳发展的金融服务系统结构模型。依据产业低碳发展的金融服务机理,基于复杂适应系统理论,将金融功能实现的载体及影响因素统一于金融服务系统分析框架之中,对产业低碳发展金融服务系统的内部构成要素、外部环境因素及其相互之间的关系进行了系统研究,以此构建了面向产业低碳发展的金融服务系统结构模型。(4)对面向产业低碳发展的金融服务传导机制进行了理论分析和实证研究。通过深入分析经济政策传导机制的理论模型,提出了产业低碳发展的金融服务传导机制理论框架,并以全国总量数据及28个主要省份的相关数据进行了实证检验。结果表明产业结构优化是我国金融服务与产业低碳发展之间的一条重要传导途径,无论是从全国层面还是省域角度,金融可以通过引导产业结构低碳化调整实现支持产业低碳发展的目的。(5)提出了面向产业低碳发展的金融服务政策建议。在前述研究成果的基础上,对产业低碳发展的金融服务政策体系进行了系统研究和探讨,以期为促进我国产业低碳发展提供有效的政策支持。更多还原

【Abstract】 As low-carbon economy becomes the new economic development model in the world, the problem that how to make finance effectively promote the industry low-carbon development has become more and more urgent at present. This dissertation is to systematically study the financial service of industrial low-carbon development with the theoretic guide of low-carbon economy, financial function and complex system. Its main parts include the following aspects:(1) Studying the financial service model of low-carbon economy in certain typical countries around the world. Based on the analysis of international carbon finance market development, this dissertation presents a comparative study of financial service model in low-carbon economy within USA, Japan and China and gives some advices about China’s financial service orientation for industrial low-carbon development in the future.(2) Analyzing the principles of financial service for industrial low-carbon development. Based on the theory of financial function, this dissertation discusses five functions of finance for industrial development, including funds formation, funds leading, information revealing, corporate government and risk management. Then, financial service principles are explained by analyzing the characters of industrial low-carbon development and its requirements of financial service. Financial service principles have four aspects: forming industrial capital through the funds formation function, promoting industrial structure adjustment through the funds leading function, helping enterprises develop the low-carbon economy through the information revealing and enterprise governance function, and speeding up the progress of low-carbon technologies through the risk management function.(3) Constructing the financial service system model for industrial low-carbon development. Based on the financial service principles, this dissertation considers all elements from a system perspective, including carrier of financial function realization and other influencing factors. With the guide of complex adaptive system theory, financial service system for industrial low-carbon development are analyzed, as well as its internal elements and external environment factors, and then the financial service system model of industrial low-carbon development come into being. (4) Researching the financial service conduction mechanism for industrial low-carbon development, including theoretical and empirical analysis. This dissertation proposes the theoretical framework of financial service conduction mechanism through in-depth analysis of economic policies conduction mechanism and test it by using data of the whole country and 28 major provinces. The result indicates that industrial structure is an important element combing financial service and industrial low-carbon development in the financial service conduction mechanism, whether on the level of country or province, that is, finance can promote the industrial low-carbon development by optimizing the industrial structure.(5) Proposing some policy advices of financial service for industrial low-carbon development. Based on the above research fruits, this dissertation studies the policy system of financial service and gives some policy advices in order to promote the industrial low-carbon development in China.更多还原