【作者】 刘国宏；

【导师】 柳欣；

【作者基本信息】 南开大学 ， 金融学， 2012， 博士

【摘要】 金融作为现代经济的核心，广泛渗透到社会经济生活的各个方面，对优化资源配置、加快经济发展、提升生活品质、实施宏观调控等具有重要意义和作用。以金融机构集聚、金融市场发达、金融服务高效为主要特征的金融中心，具有促进金融资本流动、引导实物资源配置的强大功能。从13世纪金融中心在佛罗伦萨初具雏形以来，全球争建金融中心的努力从未停歇，不仅体现在全球性金融中心争夺上，而且在区域性金融中心建设中也表现的淋漓尽致。目前，我国二十余个城市提出了建设区域性金融中心，试图争取区域发展资源和争夺经济发展优势。随着经济全球化和区域经济一体化，信息技术发展、资本跨国流通等因素变迁，一种全新的全球金融网络正在创建，金融中心依赖经济中心、贸易中心和国内资本供给的传统形成模式正在发生改变，新兴金融中心加速崛起。结合理论研究和现实形势，历史上和当前阶段各类金融中心形成的背后均是得到了金融人才的厚爱和金融资本的青睐，而与金融人才和金融资本紧密相关的是金融生态环境。即金融生态环境是否适合以金融人才和金融资本为基础的金融生态主体的繁衍和发展，直接决定了金融中心建设效果。因此，从金融生态的视角分析我国区域金融中心建设中机制、效率、政策等问题，推动区域金融中心向更高层次、更高水平迈进，乃至形成一批国际性金融中心，参与国际金融资源争夺，具有重要理论和现实意义。本文在总结国内外金融中心相关研究文献和借鉴全球金融中心建设经验基础上，引入金融生态的分析思路和方法，探讨了金融中心形成和发展的机制，并结合我国区域金融中心建设实践，利用多种评价工具对我国金融中心城市进行了评价。结合我国区域金融中心城市建设现状，利用数据包络分析方法对我国金融中心城市建设效率进行了分析。针对我国区域金融中心建设中存在的问题，认为要充分考虑金融生态的自我对策，结合不同城市金融生态发展的阶段特性，改变单一“拼优惠”思路，提出了金融中心城市建设策略、政策及措施，因势利导、顺势而为，推动区域金融中心建设。更多还原

【Abstract】 Finance as the core of modern economy, is widely penetrated into the variousaspects of social and economic life. It plays a significant role for optimizing theallocation of resources, accelerating economic development, enhancing the quality oflife and implementing macro-control. Financial center as the main feature, in whichfinancial institutions gathering, having well-developed financial markets, providingefficient financial services, has a strong function of promoting financial capital flowsand guiding the actual resource allocation. Since the13th century, financial center ofFlorence had a embryonic form, the efforts of global competition for constructing afinancial center has never relented. It is reflected not only in global financial centersand in regional financial centers. At present, more than20cities in China haveproposed constructing regional financial centers, in order to compete for resources ofregional development and economic development advantage.With economic globalization and regional economic integration, IT development,cross-border capital circulation, and other factors change, a new global financialnetwork is created. It is changed for finacial center formation model that financialcenter has to rely on traditional economic center, trade center and the domestic supplyof capital. Emerging financial centers are rising. Combinating the theoretical studyand the reality of situation, behind the formation of various types of financial centersin the history and the current stage, it’s the love of financial talents and financialcapital which gathing to surports the formation of financial centers. Financial talentsand financial capital is closely related to the financial ecological environment. That is,financial ecological environment is or not suitable for reproduction and developmentof the main financial ecology which is formed by financial talents and financialcapital, directly determines the effect of the financial center constructing.Therefore, from the perspective of the financial ecological, it analyzes themechanism, efficiency, and policy issues of China’s regional financial centersconstructing, promotes regional financial centers to a higher level, and even to a group of international financial centers, participation in international struggle forfinancial resources, has important theoretical and practical significance.This paper, based on the summary of relevant research literature and learningfrom the experience in the construction of global financial centers, through financialecology of ideas and methods, is to explore the mechanism of the formation anddevelopment of the financial centers, and evaluate China’s financial center city bymultiplekinds of assessment tools, combined with regional financial center in Chinaconstruction practice. For the problems in the construction of a regional financialcenter in China, it should fully consider the financial ecology of self-regulationountermeasures, with financial ecology’s development stage properties in differentcities, change the idea of a single fight of policies, proposes financial center cityconstructing strategy, policies and measures to the prevail circumstances and promoteregional financial center constructing.更多还原