【作者】 荆晓燕；

【导师】 朱诚如； 晁中辰；

【作者基本信息】 山东大学 ， 中国古代史， 2008， 博士

【摘要】 15世纪末16世纪初,地理大发现和新航路的开辟,改变了世界各地的分割孤立状态,加强了世界范围的联系,为世界市场的形成准备了条件。17世纪前后,随着各国海外贸易的发展,统一的世界市场体系逐步形成。在东亚地区,中日私人海外贸易是这一时期最重要的国际贸易。从经济上说,双方丝铜贸易数额巨大,而且日本白银大量流入中国,对当时的社会经济产生了深远的影响;从政治上说,明朝自与日本断绝朝贡关系后,双方就一直未能建立起官方往来,而入清之后,日本也一直游离于清朝的朝贡体系之外。这样,双方的私人贸易就成为中日保持交往的惟一通道,其意义已经超越了贸易本身。如果我们把视野放宽,从世界范围来考察,可以发现此时统一的世界贸易市场已经形成,而中日贸易则是世界海上贸易体系的重要组成部分,是连接欧洲——东南亚——东亚贸易的重要环节,但其重要性却被学术界长期忽视。对其进行深入研究,对于考察明清之际的世界海外贸易格局有深远的意义。本文的研究以17世纪的百年为主,为了叙述的连续性,在研究中向上追溯至16世纪中叶,向下会延伸到18世纪初。史学界关于这一时期中日贸易的研究成果比较丰富,但也存在不足,有些问题缺乏系统、深入的说明,本文将对这些问题进行进一步探讨与整合性研究。第一,本文力图动态地呈现出广东、福建、江浙等地区对日贸易的兴衰消长,并综合各种因素对这种变动的原因做深入分析。第二,除了中日两国商人的直接贸易以外,还存在着由他国商人进行的转运贸易。本文将对多条间接贸易渠道进行深入探讨,力图使中日贸易的面貌更加完整、清晰。第三,以往的研究都很注意明清政府的政策对中日民间贸易的影响,但对日本方面的贸易政策以及国际环境的变动注意不够,需要进一步的探讨。第四,关于清初特别是顺治十二年之前的对日海外贸易政策,史学界还存在争论。另外,关于顺治九年回国的苏州商船究竟于何时赴日以及在日本如何开展贸易,学术界现有的结论也值得商榷,有进一步论证的必要。总之,本文将在现有研究成果的基础上,针对以往研究中的不足,力求对明清之际的中日贸易进行新的探讨,从背景、双边政策、贸易渠道、区域以及贸易的商品、影响等方面阐释明清之际两国贸易的发展演变。第一部分介绍明代中日走私贸易兴起的背景。首先,明中期以来商品经济的发展为中日贸易提供了物质基础。其次,航海、造船技术的进步为两国间的海上往来提供了技术条件的支持。最后,在明朝中期,官方的朝贡贸易走向衰落,而中日之间的朝贡贸易更是彻底断绝,双方有巨大的贸易需求,但却缺少一条正常的贸易渠道。在这种情况下,西方殖民者东来,在中国东南沿海一带活动,加速了当地私人海外贸易的发展。这一切构成了中日私人贸易兴起的背景。第二、三部分主要介绍这一时期明清政府及日本幕府所采取的双边贸易政策。在明朝后期,由于嘉靖倭患和万历朝鲜之役的负面影响,明政府一直对日本实行严防政策,禁止两国间的贸易往来。而清朝统治者对日态度则有较大转变,顺治帝时允许两国间的执照贸易,特别是康熙开海后,双方的民间贸易往来完全放开,随之迎来贸易高潮。从整体上看,明清政府的对日贸易政策是由消极转向积极的,而日本幕府则恰好相反。江户幕府初期,日本实行自由的海外贸易政策,鼓励华商赴日贸易,但不久就开始向锁国体制下的贸易统制政策转变。康熙开海之后,幕府因为担心贵金属的过量外流而颁布了一系列法令,限制对华贸易。从“贞享令”到“长崎贸易改正令”再到“正德新令”,贸易额和进港船数一减再减,中日贸易也开始由盛转衰。第四部分主要考察广东、福建、江浙等东南沿海省份的区域性对日贸易。明朝中后期,广东地区的对日贸易获得较早的发展,这得益于一些政策上的优势。正德时期,抽分政策首先在广州实行,私人海外贸易得到宽松的发展空间;另一方面,随着葡萄牙人盘踞澳门,澳门成为广州的外港,澳门——长崎贸易带动了广东地区对日贸易的发展。在明末清初这一时期,福建地区的对日贸易特别活跃,超过了广东和江浙,这是由多种原因共同促成的。首先,明后期隆庆开禁的地点就在福建漳州月港,虽然“严禁贩倭奴”,但海商还是想尽办法通过月港赴日贸易;另外,在明末清初特殊的政治环境下,郑氏海商集团以福建为基地,垄断了东南沿海的对日贸易。这些因素都为福建对日贸易的发展提供了契机。康熙开海之后,中日民间贸易获得了合法性,江浙地区凭借其地理、经济优势,再加上清政府的政策支持,很快超越福建,成为中日贸易的中心。也就是说,明清之际中国对日贸易的重心由南而北逐渐发生转移,从广东到福建再到江浙地区。第五部分主要考察中日之间的间接贸易渠道。葡萄牙人和荷兰人分别以广东澳门、台湾大员(今台南安平)为基地,经营中日间的转运贸易。此外,日本的对马藩和萨摩藩还分别与朝鲜、琉球保持贸易关系。虽然这两藩并不是国家所属的港口,但这种贸易形式对日本经济而言实具有重要意义,是当时日本输入中国商品的辅助渠道。最后,中国商人主宰的东南亚——长崎贸易也占有不少的贸易份额。可见,在这一时期的中日贸易中,葡萄牙、荷兰、朝鲜、琉球、东南亚等国家和地区也纷纷卷入,中日贸易并不仅仅局限于东亚地区,它已经成为连接欧洲——东南亚——东亚贸易的重要环节,是世界贸易体系的重要组成部分。第六部分对中日海外贸易的主要商品进行分析。中国输往日本的货物主要是生丝、丝织品、砂糖、瓷器、书籍等,变动不大。日本在明末主要以白银为支付手段,进入清朝后,逐渐加大铜的输出量,并因此而掌握了中日贸易的主导权。这一时期,铜的贸易情况成为清政府对日贸易政策的主要影响因素,为了减少对日本铜的依赖,清政府大力发展滇铜以取代洋铜,收到了良好的效果。第七部分主要阐述中日贸易的影响。首先,中日贸易促进了中国国内手工业、商业性农业以及商业的发展。特别要说明的是,它促进了中国商业交通网络的发展,促进了东南沿海地区市场的一体化,并成为江南早期工业化的推动力之一。其次,日本白银的大量内流对当时的社会经济产生了深远的影响,明朝银本位制的确立、商品经济的高度发展以及一条鞭法的改革都与白银内流有密切的关系,它成为处于变革当中的明朝社会经济增长的推动力。而清朝前期从日本进口了大量的铜,这对于稳定币制、活跃经济也起到了重要作用。再次,中日的贸易往来不仅满足了双方的物资需求,而且促进了两国的文化交流,特别是明末大量僧侣赴日以及清初大量书籍东传到日本,极大地促进了日本文化事业的发展。更多还原

【Abstract】 In the period of late Ming and early Qing dynasties, the Sino-Japanese private trade was very important in the East Asia. In the field of economy, the the Sino-Japanese trade volume was very huge, moreover, the great quantity of silver pouring into China from Japan also had far-reaching influence on the society and economy. In the field of politics, the Ming government and Japanese government failed to rebuild the official contacts since the end of the tribute trade and Japan continued to dissociate itself from the tribute trade system in the Qing dynasty. Therefore, the private overseas trade was the only channel to keep the bilateral relations which was of great political significance. With a wider vision, we could find that the Sino-Japanese private trade was an important part of the world overseas trade system, however, its significance was ignored by the academic circles in a long time. In the Sino-Japanese private trade of this period, Portugal、Holland and Southeast Asia were also involved, undertaking the transshipment trade or serving as the Middletown. Therefore, the Sino-Japanese trade was not only limited in the East Asia, but was the important link to connect the Europe -Southeast Asia -East Asia trade circle. Deep research of this subject has profound significance on the study of the world overseas trade patterns.In the historiography circle, scholars have been probing into the Sino-Japanese private trade and have achieved some meaningful accomplishments, however, there still exists some shortages. Firstly, a systemic and integrated explanation on different regions’ prosperity and decline of the trade has not been given. This text tries to describe the general trade appearance dynamically and give a detailed analysis with various factors taken into account. Secondly, there were some indirect channels besides the direct trade between Chinese and Japanese merchants. These indirect channels need further research in order to make the study of the Sino-Japanese private trade more complete. Thirdly, the former studies pay more attention to the policies of Chinese government without particular focus on the Japanese policies and international environment changes which will be further discussed in this paper. Finally, there is some dispute about the overseas trade policy during the early stage of Shunzhi period which needs further textual research.This thesis tries to do some integrated research, from the perspectives of background, bilateral trade policies, the indirect channels, goods and regions as well as impact of the trade, to illuminate the development and evolution of the Sino-Japanese trade in the period of late Ming and early Qing dynasties. It consists of seven chapters of the main text plus the introduction and conclusion totaling about two hundred thousand words.Chapter one gives introduction of the background of the rise of the Sino-Japanese private trade. First of all, the development of the commodity economy provided a foundation for the private trade. Secondly, the advancement of the technology of the navigation and shipbuilding provided technical support for the overseas trade. Finally, in the middle of Ming dynasty , the tribute trade declined and the Sino-Japanese tribute trade even broken off. So there was huge trade demand but without a legal trade channel. In this case, the western colonists entered the southeast coast of China which promoted the development of the local private overseas trade. All these aspects above constituted the background of the rise of the Sino-Japanese private trade.Chapter two and three mainly introduced the bilateral trade policies carried out by the governments of two sides. In the late Ming dynasty, because of the negative influence of the "Japanese pirates" in the Jiajing period and the Korean War in the Wanli period, the Ming government forbidden the trade between China and Japan. However, the attitude of the Oing dynasty rulers changed greatly. The concession trade with Japan was allowed in the Shunzhi period, and the trade even became totally free after the sea forbidding policy was abolished by the Emperor Kangxi. On the whole, the government’s trade policy towards Japan changed from negative to positive, which was contrary to the Japanese government’s policy. In the early Edo Period of Japan, the government carried out free trade policy to encourage the Chinese merchants to trade with Japanese, but this kind of policy transformed into Closed-door Policy soon. After the sea forbidding policy was abolished by the Emperor Kangxi, the Japanese government enacted a series of laws to restrict the trade with China in order to avoid the excess outflow of the Japanese silver and copper. Under the circumstances, the trade volume decreased and the Sino-Japanese trade went from prosperity to decline.Chapter four is mainly focus on the major regions of the Sino-Japanese private trade. Guangdong province played an important role in the trade in the late Ming dynasty. During the alternation from Ming to Qing, the Sino-Japanese private trade in Fujian province was very flourishing.After the free policy was carried out by the Emperor Kangxi, the overseas trade in Zhejiang and Jiangsu areas was the most prosperous of all. That is to say, the center of the trade with Japan transited from south to north which had close relationship with the policy of the government as well as the development of the overseas trade group and regional economies.Chapter five is mainly concerned with the indirect channels of the Sino-Japanese trade. The Portuguese occupied Macao in Jiajing period and started to control the trade between Macao and Nagasaki. In the same way, the Dutch occupied Taiwan and controlled the trade between Dayuan and Nagasaki. In addition, it was prescribed that only Nagasaki was permitted to have trade relations with Foreign countries in Japan, but the fact was not like this. The Duima state and Samo state also separately kept business relations with Ryukyu and Korea. Although this kind of trade was on behalf of state but not the port of country, it still was significant to Japanese economy. Finally, the trade between Southeast Asia and Nagasaki controlled by Chinese merchants also occupied a certain proportion in the trade markets.Chapter six makes an analysis on the main goods of the Sino-Japanese trade. The goods exported from china to Japan was raw silk, silk products, sugar, china, books and so on,which were relatively stable. In the late Ming dynasty, Japan was lack of goods to be exchanged so the silver served as the main medium of payment. In the early Qing dynasty, the output quantity of Japanese copper increased rapidly and Japanese government gradually obtained the initiative of the trade. In this period, the bilateral trade policies were made in accordance with the situations of the copper trade.Chapter seven is concerned with the influence of the Sino-Japanese trade. Firstly, it promoted the development of the Chinese handicraft, commercial farming and commerce. It is important to stress that it also promoted economic integration of the south-eastern coastal areas and served as the driving force of the "early industrialization in Jiangnan area". Secondly, the large quantity of Japanese silver pouring into china had strong impact on the society and economy which had cloth relations with the establish of silver standard, the development of the commodity economy as well as the reform of single tax in silver. Finally, the trade contacts promoted the culture communication of the two countries, especially the Chinese Monks’ east journey and books spreading to Japan contributed greatly to the development of Japanese culture.更多还原