【作者】 刘艳婷；

【导师】 任治君；

【作者基本信息】 西南财经大学 ， 世界经济， 2009， 博士

【摘要】 现代经济中,一国的产业组织和市场结构是国民经济结构的重要组成部分。其中在市场结构类型中,垄断寡占市场结构是重要的组成部分,是现代市场经济下的主导市场结构。在经济全球化条件下,垄断寡占市场结构的效率表现出新特质,因此有必要进行研究。另一方面,经济全球化条件下,生产国际化成为最显著的特征。在全球经济中已形成了以跨国公司为主体的国际生产体系,跨国公司在全球范围内进行国际化生产经营,其中最重要的国际化生产经营方式就是对外直接投资。跨国公司投资不仅深化了国际生产,同时,FDI还会产生市场结构效应,FDI使得投资国一国范围内的垄断寡占市场结构跨越国界,向东道国和世界市场传导。因此,垄断结构向东道国市场的跨国传导和跨国公司的跨国垄断成为经济全球化条件下垄断市场结构的重要特征。因此,经济全球化条件下的垄断市场结构,表现为两个层面,一方面是一国范围内的垄断市场结构,一方面是从跨国市场角度表现出来的跨国公司的国际化生产经营所形成的垄断结构的跨国传导。本论文要研究经济全球化条件下的垄断寡占市场结构,需要围绕这两个层面来展开。在内容安排上,论文将遵循产业组织理论的结构、行为、绩效分类方法,对经济全球化条件下垄断的研究,主要内容也分为经济全球化条件下的垄断寡占市场结构研究和对垄断寡占市场结构的效率、政策研究两部分来展开。论文第一部分为结构研究,研究经济全球化条件下的垄断寡占市场结构。不仅要研究一国范围内的垄断结构,还要从跨国市场角度研究垄断结构的跨国传递。分为两个章节来展开。第一章研究发达国家一国范围内的市场结构的集中趋势和垄断寡占市场结构的形成。随着生产力发展,科技进步,发达国家的市场结构有趋于集中的趋势,现代市场经济条件下,垄断寡占市场结构已成为发达国家主导的市场结构。论文从总体市场结构或一般市场结构角度分析了垄断寡占结构的形成机制,指出生产的社会化程度、企业追求价值增值、追求资本扩张的内在动机以及企业的外在竞争压力,共同作用,促成了市场的集中与垄断结构的形成。并指出并购是市场趋于集中的有效途径,最后,通过分析西方发达国家的几次并购浪潮,分析了发达国家垄断寡占结构的形成与发展。第二章研究经济全球化条件下垄断结构的跨国传递。经济全球化下,跨国公司的国际化生产经营,使得发达国家一国范围内的垄断结构,跨越国界,向东道国和世界市场传递。这种传递效应主要通过跨国公司FDI对东道国的市场结构集中效应表现出来的。由于FDI新建投资和跨国并购投资的市场效应有所不同,论文对新建投资和跨国并购投资的对东道国的市场结构效应分别进行了研究。并购投资的市场结构集中效应更直接、更显著。除了FDI外,跨国公司还有其他的国际化生产经营方式,如跨国许可协议、跨国战略联盟等,这些经营方式也不同程度上促进了东道国的市场集中。最后,对世界市场的集中化趋势也进行了介绍。论文第二部分则展开效率与政策研究。根据第一部分的结构研究可知,不论是一国范围内的垄断结构,还是在跨国市场垄断结构的跨国传递,垄断结构成为经济生活中的重要组成部分。有必要对其经济效率进行分析,并在效率分析基础上对相关经济政策提出指导性意见。这部分仍然分一国市场与跨国市场两方面来展开。一方面,从一般市场角度分析一国范围内垄断市场结构的效率与政策。传统经济学对垄断结构的效率分析主要是新古典经济学的福利分析法,认为垄断结构损害了社会福利,损害了资源配置效率,是低效率的。这种静态分析忽视了垄断结构在动态的技术创新效率上的优势。随着经济学理论的发展,产业组织理论芝加哥学派认为,竞争中形成的垄断结构是企业追求效率的结果。垄断结构效率性的一面越来越被经济学界所承认。经济全球化与知识经济条件下,垄断结构呈现出新特质,即垄断结构的竞争性更强,是富有竞争性的垄断结构。同时经济全球化条件下,国际竞争日趋激烈,国内的大垄断厂商在国际市场上有较强的竞争力,垄断结构具有国际竞争方面的效率性。因此经济全球化条件下垄断寡占结构表现出更高的效率性。相应的,各国对垄断结构的反垄断规制越来越放松,反垄断法从“结构主义”向“行为主义”转变。同时,为了国际竞争的需要,各国对企业并购的规制也出现了前所未有的放松。另一方面,则从跨国市场角度分析了FDI对东道国市场结构的集中效应所产生的正、反两方面影响。正面影响体现为:针对东道国原有的过度分散市场结构,跨国公司FDI的市场集中效应,一定程度上促进了东道国市场结构的优化,其对进入壁垒的提高,有利于淘汰掉东道国低效率企业,使整个产业效率提高。负面效应则表现为:跨国公司FDI对东道国的集中效应,形成了跨国公司在东道国的跨国垄断,可能会带来跨国公司的垄断行为,也可能会造成跨国公司对东道国经济的控制,形成经济安全问题。因此东道国的外资政策必须考虑正反两方面不同影响,制定灵活多样的外资政策。同时针对跨国垄断行为,实施反垄断法加以规制。论文最后一部分则是把前述章节中的分析结果用于对中国市场的指导。由于我国传统计划经济惯性作用,政府仍普遍对经济进行干预,行政垄断结构较为普遍。另一方面,地方政府的地区封锁、重复投资,使我国呈现出低集中、分散型市场结构。可见我国市场结构的形成一直都有政府干预的影子。因此,政策选择上首先需要反行政垄断,政企分开。其次则要促进市场集中,以富有效率的适度集中的垄断寡占结构作为我国的目标市场结构。综上,本论文系统、全面地分析了经济全球化条件下垄断结构的形成、跨国传递、垄断结构的效率性与非效率性、以及相关政策的讨论等。论文的主要创新之处:1、研究角度与论文结构的创新。论文以“经济全球化条件下的垄断结构”为切入点,将垄断放在开放经济环境下来研究,在研究角度上有创新性。同时在“经济全球化条件下的垄断结构”这一框架下,将“一国范围内的垄断结构”和“全球化条件下垄断结构的跨国传导”两部分内容有机地融合在一起。构成了论文的两个主要层面。因此,在论文结构上有创新。2、研究内容的创新:(1)在研究一国范围内垄断结构的效率分析方面:受传统经济学影响,对垄断结构负面效应的研究较多。对正面效应的研究较少,并且比较零散,缺乏系统分析。本文则试图收集研究垄断结构效率性一面的相关观点,做一较为全面的总结概括。(2)在研究FDI对东道国的市场结构效应方面:全球化条件下,东道国对FDI的宏观经济效应的研究较多,从中观角度,研究FDI的市场结构效应的则较少。同时,这方面研究针对具体产业的多,针对中国市场的多,作一般规律性分析的较少。本文则尝试建立一个比较全面的分析框架,从一般规律性分析FDI的市场结构效应。具体来说,这一部分的主要创新点,表现在:在研究FDI与市场结构的双向作用时,分析了FDI的产业结构,用以说明母国垄断结构对FDI发生的促进作用;建立了规模经济壁垒模型,来说明跨国公司对进入壁垒的突破;分析了跨国公司其他跨国经营方式中跨国许可协议对东道国的市场结构效应。等等。更多还原

【Abstract】 In modern economy, industrial organization and market structure are important components of one country’s national economy structure. Among the types of market structure, monopoly oligopoly market structure is a significant component and has been becoming the dominant market structure in modern market economy. Under the condition of economic globalization, new traits in the efficiency of monopoly oligopoly market structure appear, so it is necessary to conduct a study about that. Moreover, internationalization of production is one of the most obvious characteristics under the conditions of economic globalization. International production system mainly constituting of multinational companies has been formed in the global economy. Transnational corporations globally conduct internationalization of production and operation, of which the most important international production and operation mode is foreign direct investment (FDI). Transnational corporations’investment deepens international production. Meanwhile, FDI has market structure effects, leading to monopoly oligopoly market structure in the home country spanning across national boundaries to the host country and to the world market. Therefore, the monopoly market structure under the conditions of economic globalization consists of the two dimensions. One is the monopoly market structure within the scope of a country. The other is the monopoly structure’s cross-border transmission formed by transnational corporations’international production and operation and reflected from the perspective of cross-border market. This dissertation will study the monopoly oligopoly market structure under the conditions of economic globalization and focus on these two dimensions.As to the arrangement of its content, this dissertation will follow industrial organization theories’classification on its structure, act, and performance to study monopoly under the conditions of economic globalization. Its main body is composed by the study of monopoly oligopoly market structure under the conditions of economic globalization and the study of monopoly oligopoly market structure’s efficiency and policy.The first part of this dissertation introduces the monopoly oligopoly market structure under the conditions of economic globalization. It studies not only monopoly structure within the scope of one country, but also monopoly structure’s cross-border transmitting from the perspective of cross-border market. And it consists of two chapters.The first chapter studies the concentration of market structure within the scope of a developed country and the formation of an oligopoly market structure. With the development of productive forces and the progress in science and technology, the market structure in developed countries has tended to be concentrated. In modern market economy, monopoly oligopoly market structure has become the dominant market structure in developed countries. This dissertation, analyzing the formation mechanism of monopoly oligopoly market structure from the perspective of the overall market structure or general market structure, points out that the degree of social production, corporate intrinsic motivation----pursuing value added and capital expansion, and corporate external competitive pressures conduct cooperatively, resulting in the concentration of the market structure and the formation of monopolies. It also proposes that mergers and acquisitions (M&A) is an effective approach leading to market concentration. Then through the analysis of several waves of mergers and acquisitions in western countries, it analyzes the formation and the development of monopoly oligopoly structure in developed countries.The second chapter discusses monopoly structure’s cross-border transmitting under the conditions of economic globalization. In economic globalization, the international production and operation in transnational corporations leads to the monopoly structure within the scope of a developed countries crossing border and transmitting to the host country and to the world market. The transmitting effect is mainly reflected in the concentration effect in host country market structure causing by multinational corporate FDI. The market effect of FDI is different from that of cross-border mergers and acquisitions. Therefore, this dissertation studies the effect of new investment and of cross-border M & A on market structure of the host country, respectively. M & A make a more direct and more obvious effect on market structure concentration. In addition to FDI, transnational corporations apply other internationalization methods of production and operation, such as cross-licensing agreement and cross-border strategic alliances, which promote the host country’s market concentration to varying degrees. Finally, the trend of concentration in the world market has also been introduced.The second part of this dissertation analyzes efficiency and policy. According to structure study in the first part, it can be drawn that the monopoly structure has become an important component of economy whether within the scope of a country’monopoly structure or in the cross-border market structure’s cross-border transmission. It is necessary to analyze its economic efficiency and to propose relevant economic policy guidance based on efficiency analysis. This part will also study from the two dimensions---- within one country market and cross-border market.On the one hand, it will analyze efficiency and policy of monopoly market structure within the scope of one country from the perspective of general market. The traditional economic analysis on efficiency of monopolistic structure mainly reflected in the welfare analysis of neo-classical economics, maintains that monopolistic structure undermines social welfare, damages the efficiency of resource allocation, and is inefficient. That static analysis ignores the advantages of monopoly structure in dynamic technological innovation efficiency. With the development of economic theory, industrial organization theory of the Chicago School holds that monopolistic structure formed in competition is the outcome of corporate pursuit of efficiency. The efficiency of monopolistic structure is increasingly being recognized in economic circles. Under the conditions of economic globalization and knowledge-based economy, new characteristics in monopolistic structure appear, namely, the monopoly structure being more competitive. Meanwhile, under the conditions of economic globalization, the international competition becomes increasingly fierce. Larger domestic monopoly manufacturers tend to be more competitive in international competition with monopoly structure’s efficiency in international competition. Therefore, under the conditions of economic globalization monopoly oligopoly structure shows its high efficiency. Accordingly, anti-monopoly regulations on monopolistic structure gradually slacken in many countries, anti-monopoly law following the change from the“structuralism”to“behaviorism”. At the same time, for the need of international competition, many countries unprecedentedly relax their regulation on mergers and acquisitions.On the other hand, it will study FDI’s positive and negative impacts on the concentration of host country’s market structure from the perspective of cross-border market. Positive impacts are as follows: for the host country’s extremely decentralized market structure, the market concentration effect of FDI from multinational companies, to some extent, promotes the optimization of the host country market structure. Raising barriers to entry in the host country will help host country eliminate its inefficient enterprises and promote efficiency of the entire industry. Negative effects goes as follows: the impacts of multinational companies’FDI on the concentration of host country’s market structure leads to the formation of transnational corporations’transnational monopoly in host countries, which may bring out transnational corporations’monopolistic practices or help multinational companies control the host country’s economy threatening host country’s economic security. Therefore, the host country must take into account the different effects of both positive and negative impact to establish flexible and diversified foreign policy. At the same time it is necessary to implement anti-monopoly law against the acts of transnational monopoly. The last part of this dissertation applies results of the aforementioned analysis to guide Chinese market. Owing to the inertia in China’s traditional planned economy, government still intervenes in the economy generally, existing common administrative monopoly structure. Moreover, the local government’s regional blockade and duplication of investment form the decentralized market structure with comparatively low concentration in our country. Then it can be drawn that the formation of market structure in China has been under the shadow of government intervention. Therefore, firstly, it is necessary to choose policy focusing on anti-administrative monopoly and separating the government from enterprises. Secondly, it is critical to promote market concentration and to efficiently select appropriate monopoly oligopoly structure as the structure of our target markets.To sum up, this dissertation systematically and comprehensively analyzes the formation of monopoly structure, the cross-border transmission of that, the efficiency and non-efficiency of that, as well as discussion about related policy under the conditions of economic globalization.Innovation of this dissertation goes as follows1. Innovation in selection of the study perspective and arrangement of the study structure. This dissertation, starting with“monopoly structure under the condition of economic globalization”, studies the monopolization in an open economic environment, which embodies the innovation in the study perspective. Meanwhile, in the framework of“monopoly structure under the condition of economic globalization”, the main two dimensions of this dissertation----“the monopoly structure within the scope of one country”and“the international transmitting of the monopoly structure under the condition of economic globalization”---- are closely connected, which reflects the innovation in the structure of this dissertation.2. Innovation in the content of this dissertationAs to the efficiency analysis on the monopoly structure within the scope of one country: Under the impact of traditional economics, there are numerous researches on the negative effect of monopoly structure, while the positive influence of that is comparatively sparse and scattered, lacking of systematic analysis. This dissertation manages to collect relevant viewpoints on the efficiency of monopoly structure and to make comprehensive summery of them.As to the impact of FDI on market structure of host country: Under the condition of globalization, there are abundant studies about the influence of FDI on the host country’s macro economy. However, seldom there are researches analyzing the impact of FDI on host country’s market structure via the intermediate perspective. Meanwhile, many researches aim to the specific industries, or to Chinese market, and hardly to general regularity analysis. This dissertation attempts to establish a comparatively comprehensive framework to analyze the influence of FDI on market structure via general regularity analysis. Specifically, the key innovation of this part is shown as follow: discussing the two-way roles between FDI and market structure and analyzing industry structure of FDI to illustrate home country’s monopoly structure can promote FDI, establishing barriers to economies of scale model to demonstrate transnational corporation’s breaking through barriers to entry, and analyzing the impact of other transnational management manners conducted by transnational corporations on host country’s market structure.更多还原