【作者】 王浩；

【导师】 金润圭；

【作者基本信息】 华东师范大学 ， 世界经济， 2007， 博士

【摘要】 跨国公司(MNCS，Multinational Corporations)和金融财团已成为国际资本、贸易和服务市场的重要运作者，它们的分支机构如地区总部(RHQs，Regional Headquarters)或子公司等等遍布全球。这些地区总部实际上就是活动于东道国城市的MNCs控制中心，作为一种处于高端环节的国际投资形式，地区总部可以有效管理和协调所辖区域内的子公司和办事机构，进行系统化投资和运作。世界经济发展的过程和历史充分地证明，跨国公司通过地区总部指挥在各地的工厂、办事处、子公司和其他的相关机构，进行资金、生产、贸易、人才和信息的集中运作，并通过产业链和市场链扩展自己的经营空间。由于地区总部是一种系统化投资，可以卓有成效地整合东道国区域内所有可资利用的经济资源，带动和促进东道国域内企业群体的发展，强化合理的跨国公司地区总部、子公司以及其他跨国公司之间的企业协作，并和东道国域外的国际战略资源形成互补，进而促进东道国城市经济环境的优化。因此，地区总部的运行和集聚，对东道国城市的经济发展具有显著的促进作用。同时，服务于跨国公司和金融财团利益考虑的地区总部的发展，也离不开东道国城市提供的有形和无形服务作为赢得全球竞争优势的区位支撑。跨国公司地区总部在东道国城市业务的顺利开展，需要一系列企业、政府和中介服务的支持，尤其当地区总部规模较大、功能复杂时，会对外部的企业服务业产生较深的依赖。所以，东道国城市的各种经济、政治以及文化因素会对跨国公司地区总部产生一系列的影响。由此可见，跨国公司地区总部与东道国城市互动现象是客观存在的，地区总部作为一种跨国公司经济形式，它既给所在城市带来资本、技术、产品和服务，又带来经营的理念、管理方式、经营文化以及其他现实的促动。同样，东道国城市也会反作用于跨国公司地区总部，通过种种鼓励和支持手段，促进区域内的跨国公司发展。事实上，一个国家、一个地区只要它愿意将自己融入到全球化竞争之中，愿意分享外来的各种先进理念和行为刺激的收益，就必然以开放的心态迎接支持和推动这种具有超越国际意义的新经济形态的发展。只要这个国家是开放的，这个新经济形态就会进入和发展，对发达国家和地区是这样，对发展中国家和地区也是这样。这样，在东道国城市和跨国公司地区总部双方具有合作的愿望和能力的前提下，就有可能形成互动，随着互动作用的加深，就有可能建立长期的关系，这种长效的互动关系一旦建立，则双方都可以从中受益。因此，当前，在全球化和金融化加速发展的复杂条件下，深入了解跨国公司地区总部与东道国城市互动的内生作用机制，对于中国引入和发展区域内的总部经济(Headquarters Economy)，提高引进外资质量有着重要的现实意义。良好的“双赢”效应形成有赖于跨国公司地区总部的创新力与东道国城市经济的内生集聚力的博弈均衡。本文选择“跨国公司地区总部与东道国城市互动”为题，就是为了探讨跨国公司地区总部与东道国城市经济主体博弈的机理，也就是如何通过东道国城市与跨国公司地区总部利益选择产生国际互动。通过研究，希望能够有助于在理论上揭示它们之间的互动联系，促进建立健全引资长效机制的研究，从而推动中国进一步优化国际直接投资吸收机构，加速中国城市经济与产业升级。以科学发展观为研究的核心思想，在与时俱进的方法论指导下，本文试图借鉴前人研究成果，将跨国投资前沿理论与中国经济实践相联系，以期为中国对外开放的创新提供相应的理论依据。论文共二十余万字，共分为九章，内容安排如下：第一章为全文的导论，主要介绍了选题的背景和意义，提出了跨国公司地区总部与东道国城市互动这一重要的研究命题，对概念进行了界定，检索了国内外学者研究现状，在此基础上给出了研究思路，并提出本文的创新与不足。第二章为文献综述。首先按照理论溯源，介绍了理论界关于跨国公司地区总部的研究，进而分析了基于东道国城市视角的区位和选址以及政策研究，最后，推导出跨国公司地区总部与东道国城市互动理论的可能研究模式，并在此基础上，进行相应的理论述评。第三章为全文提供了一个基于全球视角下的研究框架，分析了跨国公司地区总部与东道国城市互动现象、主体和作用因子，指出跨国公司地区总部与东道国互动是双方多阶段利益博弈的必然产物。一方面，跨国公司地区总部选择合理区位，在全球范围内，持续优化价值链；另一方面，东道国城市通过进一步完善软硬件环境，吸引地区总部集聚，构建总部经济。在此基础上，形成双赢模式，即：吸引跨国公司地区总部符合东道国城市利益的选择，同时，谋求良好的区位条件进而在全球竞争中取得优势也是跨国公司利益最大化的必然选择。第四章剖析了跨国公司地区总部对东道国城市的影响，指出跨国公司地区总部对东道国城市影响包括直接和间接影响两方面，并在逻辑分析的基础上，通过翔实可靠的资料，对此加以检验。第五章阐述了东道国城市对经济跨国公司地区总部的影响，认为东道国城市对跨国公司地区总部作用是一个极其复杂的过程，这一过程包含了政府政策、企业战略、投融资方式等多方面内容。论文研究了这一过程的影响因子和演变路径，并在相关调查问卷基础上，进行因子分析，提出相关结论。第六章运用数理模型进行分析，在区分了合作博弈与非合作博弈的基础上，给出了跨国公司地区总部与东道国城市互动博弈模型解，进而指出全球战略是跨国公司地区总部之根本出发点，东道国城市引资战略是吸引地区总部的重要推动力，这两者内生博弈结果是跨国公司地区总部与东道国城市互动的根本动力。第七章考察了跨国公司地区总部与东道国城市互动的国际经验，运用案例分析(以新加坡、香港、纽约、伦敦)，分析了东道国城市吸引跨国公司地区总部与聚集情况，并给出相关的效度统计分析指标。第八章分析了跨国公司地区总部与中国城市的互动情况。首先通过以企业的视角进行微观层面分析，研究了在中国的中心城市内，跨国公司地区总部参与互动的情况；进而基于城市发展的角度，进行中观层面分析，进一步剖析了跨国公司地区总部对我国主要中心城市的影响；最后将研究视阈提升到国家战略高度，从宏观层面加以分析，力求把握跨国公司地区总部在华发展和影响的脉络。第九章为结束语部分，对全文进行了总结。更多还原

【Abstract】 Multinational companies and financial consortia are playing an important role in international capital, trade and services markets. Their branches as Regional Headquarters (RHQ) or subsidiaries are established around the world. These Regional Headquarters are in fact active in the host city. As a high-extremity form, RHQs play as an international investment control center, which can be effectively managed and coordinated by the area within the subsidiaries and offices for systematic investment and operation.The fact that the RHQs of multinational corporations command most of the factory, offices, subsidiaries and other relevant agencies for funding, production, trade, human resources and other information centralized operation can be fully proved by the development of the world economy. The RHQs promote systematic investment, which can be benefit to the host city with the development of enterprise groups. The RHQs can also effectively integrate all the available economic resources within the host city in order to realize the host city’s economy optimization. Therefore, the RHQs’ operation is significantly facilitated with the host city’s economic development. Furthermore, RHQs cannot be separated from the host city to provide tangible and intangible services as a global competitive edge. When the RHQs deal with business in the host city, they also need a series support from the other enterprises and intermediary service, which will make functional complexity, on the external service enterprises.Therefore, the phenomenon of the interaction between RHQs for multinationals and the host city objectively exists. RHQs of transnational corporations, as a form of the economy, will bring capital, technology, products and services as well as business concepts, management, business culture and other real impetus to the host city. Similarly, the host city will also counterproductive in the RHQs by various incentives and support measures to promote regional development of the multinational companies. In fact, almost every country and area, which are willing to participate in the globalization of competition, are bound to share foreign advanced ideas and acts to stimulate the open proceeds. Thus, the host city and RHQs for multinationals will cooperate with each other by both the desire and the ability, then they will deepenthe interaction under the premise. So, in the globalization of finance, accelerating the development of complex conditions, understanding of RHQs for multinationals interaction with the host city of endogenous mechanisms and improving foreign investment quality will has important practical significance in China.It goes without saying that the roles of RHQs for multinationals and the host city will have an objective mechanism within the sound of the "win-win" effect. This dissertation chose "Interaction with the host city and RHQs of transnational corporations" as the title, aiming to answer the question that how to promote the host city ability and how to inspire the interests of RHQs to take part in the interaction. This study will also try to reveal the interaction theories and the establishment of a sound long-term mechanism to attract investment in order to guide the development of trade and finance, the promotion of international direct investment and the optimization and upgrading of regional economy and industry as well. To the scientific concept of development as the core idea, this paper attempts to draw on the transnational investment theory and the practice in China. This paper has a total of 200,000 words and is divided into nine chapters, just as the follows:Chapter 1 is the introduction to the paper, which gives the main topics on the important subject including the background and significance of the RHQs for multinationals interaction with the host city. In this chapter, the definitions of the research are also proposed.The second chapter is Literature Review. First, the study focuses on the theoretical study on the RHQs for multinational companies; Second, the practice and policy studies on host city are been analyzed based on the theory of the location and angles. In the end of the chapter, the corresponding theory of interaction with the RHQs of transnational corporations and host economy are well organized.Chapter 3 provides a global perspective to the text of the study, which analyzes the phenomenon of the interaction between the host city and the RHQs of transnational corporations, the main factors that interact each other .On one hand, a reasonable choice location for RHQs of transnational corporations on a global scale can optimize the value chain; On the other hand, the host city should further improve the environment to attract RHQs and build a headquarters economy to create the win-win approach, which includes to inspire the interests to attract RHQs for multinationals with the host country, to seek the good conditions and to gain an edge in global competition of multinational corporations.Chapter 4, analyses the mechanisms of RHQs of multinational companies, bring all kinds of effect to host city, including direct and indirect effects affect. On the basis of logical analysis, the author gives the accurate and reliable information.Chapter 5 implicates the economic impact of RHQs of transnational corporations from the host city, which involves an extremely complex and complicated process that includes government policies, corporate strategy, investment, finance and other content. Further research papers are based on the analysis factor, which are made in the process of evolution, trails and the related questionnaires.Chapter6 makes the use of mathematical models with the non-cooperative game basis, which involves global strategy of the RHQs for multinationals and the host city to attract investment. In this chapter, the fundamental driving forces of the interactions have been well analyzed.Chapter 7 inspects the RHQs for multinationals interaction with the host city of international experience and makes the case analysis (in the case of Singapore, Hong Kong, New York and London, and etc). Based on the analysis on cases of the host country gathered to attract RHQs of multinational corporations, the author gives the results of the relevant statistical analysis.Chapter 8 focuses on China’s interaction with the RHQs of multinational companies through micro-level, middle-level and macro-level analysis to striving to grasp the thread of the RHQs of the affected industries.Chapter 9 is the summary of the transcript.更多还原