【作者】 郑明高；

【导师】 曹玉书；

【作者基本信息】 北京交通大学 ， 产业经济， 2010， 博士

【摘要】 二十世纪七八十年代以来,信息技术和互联网的发展促进了产业融合的发生。产业融合是不同产业或同一产业内的不同行业在技术融合的基础上相互交叉、相互渗透、逐渐融为一体,形成新的产业属性或新型产业形态的动态发展过程,它对产业组织的结构、行为和绩效均会产生重大影响。目前产业融合正日益成为产业经济发展中的重要现象,其趋势越来越明显。已对世界各国经济、生活、社会等方面产生了深远的影响。在此背景下,研究产业融合问题对丰富产业经济理论具有重要的理论价值,同时对于企业发展战略、产业管理体制及产业政策的变革等也具有重要的实践指导意义。产业融合的过程实质就是打破原有产业或企业间的分工界线,形成一种新的分工链条,之后通过产业分工链条的重新组合建立起一种有序的产业内或企业内部的分工链条网。产业融合形成过程需经过技术创新、技术融合、产品与业务融合、市场融合等阶段,这几个阶段相互衔接、同步促进。技术创新是动力,技术融合是基础,产品与业务融合是积淀,市场融合是“半成品”,产业融合就是整个融合过程的“产成品”。本文采用规范分析和实证分析相结合、静态和动态相结合的方法,对我国产业融合问题进行研究。规范研究部分主要研究产业融合的基础理论、产业融合的动因及效应、产业融合与资产通用性关系、产业融合对产业组织的影响以及产业融合中政府和企业的角色等问题。基本内容如下：第一,在分工理论、产业集群理论及产业组织理论的基础上,本文采用哈佛学派的SCP分析范式,研究了产业融合对产业组织的结构、行为、绩效产生何种影响,以及如何产生影响。从市场集中度、产品差别化程度和进入壁垒高低分别对产业融合对市场结构的影响进行探讨。产业融合对市场行为的影响主要表现为企业的竞合战略和争夺标准战略的实施。产业融合对市场绩效的影响,主要通过对供给和需求的影响以及企业成本的降低,实现经济效益的提高。第二,在对产业融合的演进过程及方式研究的基础上,重点分析了产业融合的动因所在,主要包括产业发展的内在规律、技术创新、企业间的竞合关系及企业对效益、效率的持续追求、市场需求的扩大、跨国公司的发展以及政府管制的放松。同时认为产业融合的效应有促进产业创新、提升产业竞争力；加剧市场竞争；拓展产业链、实现价值增值；催生新的合作形态；推动经济一体化发展。第三,对资产通用性与产业融合之间的关系进行了研究,提出了资产通用性促进产业融合、产业融合加强资产通用性的观点。资产的通用性越强,产业融合发展越快,融合的程度越高。资产通用性能促进产业融合,反过来,产业融合也能加强资产的通用性。第四,探讨了政府关注产业融合的必要性,并对政府如何制定提高产业融合政策提供了建议。政府对产业融合的影响主要体现为引导促进和规范限制两方面。政府应制定相应的措施来促进并规范产业的健康发展。包括：深化经济体制改革,创造良好的支持环境；完善产业规制政策,创造产业融合的平台；建立实现产业融合的企业主体机制,拓宽产业融合发展的空间；培育产业融合的高端人才及服务机构。第五,研究了产业融合中企业面临的挑战,为企业如何根据自身现状针对产业融合进行决策给出了建议。企业在产业融合中面临着如下挑战：创新改造与平衡稳定的矛盾、企业控制权变化、业务发展模式的挑战。企业应从以下几个方面促进产业融合：要以构建新产业价值链为导向进行产业融合、要运用技术创新促进融合发展、要基于需求产品创新促进融合发展、要运用网络经济创新进行融合发展、要从人才激励创新进行融合发展、要加快制度创新促进产业融合。本文实证部分以金融产业和信息产业的产业融合为案例,对产业融合相关问题进行了更为深入的研究。其中以金融产业的融合为重点,主要研究了金融产业融合的趋势及类型,我国金融产业融合的动因及模式、金融产业融合对结构、行为、绩效的影响。金融产业的内部融合是指传统金融产业的边界变得模糊、基于信息技术的传统金融业发展成为现代金融产业；金融产业的外部融合是指信息技术对传统金融产业的渗透与融合,金融产业与其他产业的融合。本文认为,金融混业经营是金融产业融合的基础,金融控股公司(集团)是我国金融产业融合的具体表现形式。金融产业融合会提高金融产业的市场集中度,促使新型金融产品不断产生,企业进入退出壁垒降低,提高金融业的效率。本文的研究重点在于研究产业融合对产业组织的结构、行为、绩效产生何种影响,以及如何产生影响。从而对企业以及政府如何促进产业融合提供建议。本文的创新点包括：通过辨析明确产业融合的内涵；通过静态和动态相结合的方法,论证了产业融合的动因及效应；通过研究产业融合与资产通用性之间的关系,提出了产业融合与资产通用性的作用与反作用的观点；深入论证了我国金融产业的融合问题,提出我国金融产业融合的模式。更多还原

【Abstract】 The development of information technology and the internet since the 1970s and the 1980s has given rise to industrial convergence.Industrial convergence in fact is a dynamic development process in which, different industries or different business within the same industry overlapp and interwoven with the technical integration and gradually integrate to form a new industrial property or a new industry.It will have a major impact on structure, behavior and performance of the industrial organization. Currently industrial integration is becoming an important phenomenon in the development of the industrial economic This kind of trend is more and more obvious.and has been a profound impact on economies, life, society areas all over the world. In this context, the study of the industrial integration has the theoretical value on the rich of the industrial economic theory.At the same time; it also has an important guiding significance for enterprise on development strategy, for the revolution of industrial management system and industrial policy.The process of the industrial convergence is to break the existing boundaries of the division of work between industries or enterprises to form a new chain of the division of work.To establish an orderly chain network in the industry or business by the realignment of the industral chain of the division of work.Industrial convergence proceeds through the formation of industrial innovation, technology integration, products and business integration, market integration and other stages which are interrelated, simultaneous promotion.Technical innovation is the driving force;technology integration is the foundation;products and service convergence is accumulation;market integration is the "semi-finished products"; industrial convergence is the "finished product" of the process of integration.In this paper, the methods of the combination of normative analysis and empirical analysis, static analysis and dynamic analysis are taken to study of industrial convergence.The normative analysis includes the major basic theories of industry convergence; relation between industrial convergence and property versatility; the motives and effects of industrial convergence;the impact of industry convergence on industrial organization;the role of government and business during the process of industrial convergence.As follows:Firstly,based on the theories of division of work,industrial cluster and industrial organization, the paper adopts the SCP analysis model of the Harvard school to study the influence of industrial convergence on industry organizational structure, behavior and performance and how to effect. The paper discusses the effects on market structure from the perspectives of market concentration, production differentiation, and entrance barriers. The effects on market behavior are represented by the implementation of companies’ competition and cooperation strategies, and competition for the standard strategy. Effects on market performance is mainly about improving economic benefits by changing supply and demand, and reducing costs.Secondly,based on the study of the process of evolution and methods of industrial convergence,study the motives of industrial convergence including the internal law of industry development;technological innovation;competition and cooperation among enterprises;continued pursuit for business benefits;the expansion of market demand;development of multi-national corporate; government deregulation; At the same time,study the effects of industrial convergence including promote industrial innovation;enhance industrial competitiveness;increase market competition;expand the industrial chain to realize the value of value-added;give birth to a new form of cooperation;promote economic integration.Thirdly, to study the relationship between property versatility and the process of industrial convergence and put forward the idea that property versatility enhances industrial convergence and the latter boosts the former. The stronger the property versatility, the quicker the development of the industrial convergence, and the higher the degree of convergence.Fourthly, the paper discussed the necessity for the government to be concerned with industrial convergence, and provide suggestions as to how to promote the convergence. The government can either guide and boost and regulate and limit industrial convergence. It should take appropriate measures to promote the industrial convergence in China and the healthy development of industry, including deepening the reform of the economic system and creating a good supporting environment; perfecting regulatory policies and providing a platform for industrial convergence; establishing the system where enterprises play the dominant role in the convergence and expanding the development of industrial convergence; training top talents and service institutions in the area.Finally, the paper studies the challenges companies face in industrial convergence and provide suggestions for them on how to make policies according to their own situation. The challenges are as follows:the conflict between innovative reform and balancing stability, changes in corporate right of control, and the pattern of business development. Companies should promote industrial convergence by creating new industry value chains, technological innovation, product innovation based on demand, economic innovation built on the internet, innovation in inspiring employers and accelerating institutional innovation.The part of empirical analysis studies the various types of the convergence in the financial industry and information industry, mainly on the financial industry To study the motivation and types of financial industrical convergence in China, and its affects on structure, behavior and performance. The internal convergence of the financial industry refers to the transformation of traditional financial industry which is based on the information technology into the modern one. The external convergence is IT’s penetration into and convergence of the financial industry, and the convergence of the financial industry with other industries. The paper holds that the mixed operation in the financial industry provides the foundation of the convergence, and that the financial holding company (group) is the embodiment of the convergence of the financial industry in China. The convergence provides market concentration, produces new financial products, lowers the industry threshold, and increases industry efficiency.The focus in the paper lies in the effects of industrial convergence on industry organization and how to effect.It studies the influence on industry organizational structure, behavior and performanceand gives suggestions for enterprises and government to boost the industrial convergence.The innovation of this paper includes four aspects:specify the definition of industrial convergence; study the motives and effects of industrial convergence; deal with the relationship between property versatility and the industrial convergence; further demonstrates the convergence of financial industry in China and proposes the model of convergence of financial industry in China.更多还原