关于上海国际贸易中心制度建设的研究

【作者】 吴伟平；

【导师】 樊勇明；

【作者基本信息】 复旦大学 ， 国际政治与经济， 2010， 博士

【摘要】 本文依据制度经济学以及国际贸易理论中关于制度建设与交易成本的相关理论,对上海国际贸易中心制度建设的指导思想以及上海国际贸易中心制度建设的内涵及特点进行了理论探讨。本文总结和借鉴了纽约、伦敦、东京、香港这四个当今最重要的国际贸易中心制度建设的特色及主要内容,以为上海提供经验借鉴；同时从全球化、地方政府竞争和国际贸易转型三个方面分析了上海国际贸易中心建设面临的环境变迁,以及由此带来的机遇和挑战,并在此基础上从市场主体、市场体系和政府改革三个维度,探讨了上海推进国际贸易中心制度建设的路径选择。最后,对上海国际贸易中心的制度建设,提出了若干具体建议。本研究所论述的上海国际贸易中心制度建设是指：通过制定法律、法规和行政条例等制度性的安排来划分各行为者的利益格局,调整相互之间的利害关系,引导国内外各种与贸易有关资源配置的优化,加快上海走向国际贸易中心的进程。本文由导言、第一章至第四章的正文和结语共6个部分组成,全文紧扣如何以制度建设降低国际贸易中心的交易成本来展开。第一章是对上海国际贸易中心制度建设的理论思考。通过研究发现：通过制度建设可以降低交易成本、达到国际贸易中心高效率运转的目标。为此,除了一般意义上的交易成本以外,还须对交易成本作外延的扩展,从提升比较优势、促进要素集聚和增强软实力等方面来开展制度建设。第二章对上海国际贸易中心及其制度建设的历史和现状进行回顾和归纳。在此基础上,本文认为目前上海国际贸易中心制度建设正面临着管理困境、开放困境、产业困境和主体困境四种困境。第三章选取了纽约、伦敦、东京、香港四个世界城市,对其在走向国际贸易中心进程中制度建设的独特之处进行了比较研究,以期汲取可供上海借鉴之处。第四章对上海国际贸易中心制度建设的内外环境和路径选择进行了研究。首先,从经济全球化、合作的区域化,以及我国国际贸易地位的变化三个方面分析了全球化浪潮给上海国际贸易中心建设带来的机遇和挑战；其次从国内地方政府竞争的角度,分析了当前上海国际贸易中心建设所面临的竞争态势；第三,从国际贸易新发展的角度,分析了上海建设国际贸易中心所具备的优势和劣势。关于路径研究,本文选取了对上海国际贸易中心制度建设具有全局性和根本性影响的三个维度,即：市场主体建设、市场体系建设和政府改革进行了分析。本文认为：市场主体与上海国际贸易中心制度建设有着重要的关联,应该积极鼓励企业和行业协会对上海国际贸易中心建设的参与。同样,本文认为：市场体系发育程度是国际贸易中心形成的主要参照系数,上海应该大力加强市场体系完整性的建设,促进市场体系的尽快成熟。在政府改革问题上,本文在对上海国际贸易中心制度建设中政府的缺位和越位进行了反思后认为：政府的主导作用,特别是中央和地方政府的分工合作是当前上海国际贸易中心制度建设的关键因素。最后,在全文研究分析的基础上,笔者提出了对上海国际贸易中心制度建设的若干建议,以供决策参考。主要观点是：上海国际贸易中心制度建设必须以进一步扩大开放为前提,以自由和便捷为基本取向,以市场机制为基础,以进一步强化政府的服务作用为保障而展开。当前制度建设的重点是：在完善跨国公司总部落户上海的制度性安排的同时,要加强对中小贸易商的培育；要对行业协会参与制度建设作出切实的法律法规方面的安排；要加强应对技术性贸易壁垒的研究和制度建设。本文综合采用了规范研究和实证分析相结合的研究方法,注重比较研究和历史研究,对上海国际贸易中心的制度建设问题进行多维度、多层次、纵横结合的研究。更多还原

【Abstract】 On an exploration of the contents, the thesis commences with an analysis of the characters of institutional construction of Shanghai International Trade Center and focuses on the theories to guideline the establishment and implementation of institutional construction of Shanghai International Trade Center on the basis of institutional construction and lowering transaction costs in theory of Institutional Economy and International Trade.The special characters of institutional construction in New York, London, Tokyo and Hong Kong International Trade Center, which are the four most important international centers, are summarized, from the experiences of which lessons are drawn for Shanghai International Trade Center Building.This thesis studies the environmental changes, the resulting opportunities and challenges for Shanghai International Trading Center Construction from the perspective of globalization, Competition among local governments and transformation and upgrading of international trade. The path choice of Shanghai International Trading Center Building is also studied from the view of market entities, market system and government reform. Institutional proposals are put forward for the decision-making body based on the above analysis.The institutional construction of Shanghai International Trade Center studied in this thesis is defined as to speed up the process of building Shanghai into an international trade center through making institutional arrangements, such as laws, regulations and administrative regulations, etc. to distribute interests among different actors and optimize the allocation of domestic and international trade related resources.This thesis consists of an introduction, four chapters and a conclusion, following a fundamental issue of how to lower trasaction costs through institution construction.Chapter 1 presents the profound theoretical thinking on Shanghai International Trade Center institutional building. In order to provide a convenient, efficient international trade center, it is proper to lower transaction costs through institutional construction. Therefore, the definition of lowering transaction costs must be interpreted in a broad sense, for instance, enhancing comparative advantages, promoting agglomeration and strengthening soft power, etc. Chapter 2 studies the history and current situation of the institutional construction of Shanghai International Trade Center and four difficulties Shanghai is facing are summarized, which are managerial dilemma, opening up dilemma, industry dilemma and legal entity dilemma.Chapter 3 introduces the successful experiences of abroad International Trading Centers from a comparative perspective. Four top world cities- New York, London, Tokyo and Hong Kong are taken as the good examples, and their special institution constructions towards International Trading Center are studied to learn lessons from their experiences.Chapter 4 researches the internal and external environment and path choice of the institutional construction of Shanghai International Trading Center. As regarding environment, firstly, this Chapter analyzes the opportunities and challenges that Shanghai is facing led by globalization in the process of Building International Trading Center in economic globalization, cooperation regionalization and the changes of China’s international trade position. Secondly, this part presents the competition Shanghai is facing in the process of Building International Trade Center from the perspective of competition among China’s local governments. Thirdly, the part also studies the advantages and disadvantages Shanghai has in the process of International Trade Center Building from the angle of new developments in international trade.As regarding path choice, this Chapter studies three fundamental issues of overall significance:market entities, market system and governmental reform. Market entities have great relationship with the institutional construction of Shanghai International Trading Center, thus, enterprises and industries shall be encouraged to anticipate in the construction of Shanghai International Trading Center. The developing level of market system is an important reference index to the formation of an international trade center. Therefore Shanghai shall make the market system be perfected. In consideration of the importance of government reform in Shanghai International Trade Center Institutional Construction, the thesis reviews the government reform process and reflects the absence and offside of the government in the process of International Trade Center Building. The government’s leading role, especially the local government’s vested power is emphasized.Based on all the above said research, the thesis highlights putting forward institutional proposals for decision-making in the institutional construction of Shanghai International Trade. This thesis yields the following conclusions:to build Shanghai into a successful international center, Shanghai shall increase foreign and other provinces’access to Shanghai market, promote trade liberalization and facilitation, perfect market system and strengthening government’s service function. The priorities of institutional construction are as follows:while perfect the institutional arrangements to attract multinational corporation’s headquarters, Shanghai shall emphasize the cultivation of small traders; legal arrangements shall be made for industry association to participate in the institutional construction of Shanghai International Trade; the research and institutional construction on technical barriers to trade shall be paid more attention to.In order to make a profound and systematic research on Shanghai International Trading Center Building, normative analysis and positive analysis are used by this thesis. With the help of comparative research and historical research methods, the above said conclusions are given on a basis of multi-dimensional, multi-level and a combination of vertical and horizontal study.更多还原