【作者】 郑传均；

【导师】 李自如；

【作者基本信息】 中南大学 ， 管理科学与工程， 2006， 博士

【摘要】 跨国公司内部贸易集中体现了对外直接投资以及跨国公司国际化生产与经营活动的重要特征。研究内部贸易是从理论上打通国际贸易与国际直接投资的一条重要思路，也是正确认识当今世界贸易及全球产业分工格局的一个基本切入点。 论文从三个层次展开研究：一是从微观经济学层次探究内部贸易的动因；二是数理推论不同跨国经营方式及不同产品的内部贸易均衡条件；三是实证考察单边内部贸易和双边内部贸易的影响因素。 论文从交易成本等经济学视角对内部贸易的动因进行了逻辑归纳与演绎，在理论上定性解释了跨国公司以国际直接投资为手段，实现外部市场内部化的动机与条件，说明了跨国公司为什么能够开展内部贸易。并通过分析内部贸易的现实功能，从实用性角度说明了为什么跨国公司具有开展内部贸易的强烈动机。 定量分析了内部贸易的收益与约束。推导了跨国公司采用不同内部贸易方式的约束条件，即采用出口贸易、水平一体化、垂直一体化等三种基本途径时，企业的生产产量、贸易规模、内部生产成本及外部交易成本、销售价格、企业收益(市场加成或利润)等微观经济指标的局部均衡和一般均衡条件；分析了市场规模、运输成本、关税、出口退税和出口补贴、生产成本以及国家资源禀赋对不同方式跨国经营收益的影响；通过比较出口型国内公司与双工厂垂直型跨国公司，重点讨论了中间品内部贸易的成本和产量。同时，还通过比较母国和东道国的消费者剩余，对内部贸易的外部效应进行了简要分析。论文对主要数理推导结果给予了比较详细的说明或解释。 归纳分析了影响跨国公司内部贸易的微观和宏观要素，并分别对单边内部贸易和双边内部贸易的宏观影响要素进行了实证检验。 采用重力方程和面板数据技术对双边内部贸易的宏观影响因素实证检验发现：尽管内部贸易是国际贸易的重要组成部分，但双边内部贸易仅与双边贸易总额存在高度正相关性；两国对全球的贸易规模总量对双边内部贸易仅有一般程度正向影响；两国贸易实力的差距对更多还原

【Abstract】 Intra-Firm Trade of Multinational Enterprises (MNEs) embodies the influences made from FDI and international production and operation of MNEs to nations and global economy. Reason and condition analysis of Intra-Firm Trade is an important consideration to connect international trade with FDI theoretically and a basic breakthrough point to know world trade and global industrial structure.This paper has three main targets. Firstly, reason of Intra-Firm Trade was studied micro-economically. Secondly, constraint condition of Intra-Firm Trade way and scale were made by mathematic and statistic deduction .Thirdly, the determinants of unilateral and bilateral Intra-Firm Trade were studied by empirical examine.This paper made logic conclusions and deductions on the reasons of Intra-Firm Trade from Transaction Cost Economics point of view and empirically explained how MNEs can use FDI and their motivation and conditions to make exterior market interiorized and why MNEs can develop Intra-Firm Trade and why MNEs have motives to make Intra-Firm Trade by make Intra-Firm Trade practical function analysis.Benefits and constraint of Intra-Firm Trade was studied by quantitative analysis. Operation constraint conditions which MNEs use different Intra-Firm Trade ways have been deducted, namely, microeconomic partial equilibrium and general equilibrium condition such as firm’s production quantity, trade scale, internal production cost, external trade cost, sales price , firm’s income( markup revenue or profit) when export, horizontal integration production and vertical Integration production were implemented. How market size, transportation cost, tariff, export drawback, export subsidy, production cost and national endowment of resources impact different multinationals operation was analyzed. It is focused on cost and production quantity of intermediate更多还原