【作者】 占明珍；

【导师】 杨艳琳；

【作者基本信息】 武汉大学 ， 产业经济学， 2011， 博士

【摘要】 本文以中国汽车制造业为例对市场势力的理论与实证研究具有重要的理论与现实意义,不仅是市场势力理论发展与完善的需要,而且是中国市场经济发展的需要,还是产业管理加强与产业竞争力提升的需要。19世纪末以来,大量的并购活动导致了越来越多的近乎垄断的产业的形成,这使得市场势力的核心问题之一——垄断问题得到了较为全面的讨论与关注。然而,纵观以往的相关研究,无论是产业层次的还是企业层次的研究；无论是跨产业部门的还是单个产业部门的研究,仍然缺乏对市场势力进行系统的、深入的、专门的研究。而且大多数研究侧重于市场势力的测度与反垄断政策的制定,主要与反垄断联系起来,鲜见将市场势力与有效竞争及产业国际竞争力联系起来研究；较少将重点置于市场势力从弱到强的各个阶段的区分与不同维度的考察,如市场势力与垄断势力、市场竞争力、竞争能力及国际竞争力的区分；长期市场势力与短期市场势力、国内区域市场势力与国际市场势力的识别。本文关注了这些方面,从理论上对市场势力进行了研究,这对市场势力理论的进一步发展与完善起到了良好的补充与拓展,还能推动国家反垄断法体系建设的发展与完善。美国金融危机发生以来,中国汽车制造业的振兴发展已被提到国家经济增长的战略位置,这充分地说明了汽车制造业在中国国民经济发展中的支柱地位。本文探讨了中国汽车制造业市场势力的程度、影响因素及其对福利的影响,其目的在于评估中国历次重要的汽车产业政策对于不同企业市场势力的培育与规制所起到的作用,从而评估中国汽车产业政策效应是否达到预期的目的,为政府调整与优化汽车产业政策提供依据。首先,本文对市场势力的涵义、分类、测度与判定、影响因素及其对福利的影响进行了理论探讨,其次,以中国汽车制造业为例进行了实证研究,最后,提出关于国际竞争与国内有效竞争视角的不同企业市场势力的培育与规制政策。基于此,本文主要围绕以下几个方面的内容展开：第一,市场势力的涵义、分类、测度与判定；第二,市场势力的影响因素；第三,市场势力的影响；第四,市场势力的实证研究；第五,基于国际竞争与国内有效竞争的不同企业市场势力的培育与规制政策。具体而言,本文分为七章：第一章为导论。主要解释了本文的选题背景与意义,介绍了本文的研究内容与框架,提出了本文研究的重难点及研究方法,以及创新之处与不足。本文在研究内容上系统、深入,在研究视角上全面、动态,在研究方法上科学、合理。本文未来将围绕着买方的市场势力、产业链中的市场势力以及中国多产业的市场势力作进一步研究。第二章为文献综述。介绍了本文写作过程中的相关文献检索情况,从而找出市场势力相关研究的重点线索,在此基础之上对国内外相关研究进行详细的梳理与评价。研究发现：在理论方面,目前国内研究侧重于反垄断视角,缺乏将之与竞争力、创新等外延式拓展相联系；研究视角方面,主要局限于封闭经济,缺乏对国际竞争环境下企业市场势力构建的分析；在研究方法方面,国内研究主要采用直接测度法,缺乏多指标的综合测度与判定；在实证研究方面,国内研究侧重于垄断行业的分析,对竞争行业的研究不足,特别是关于汽车制造业市场势力的研究基本没有。基于此,本文在这几个方面进行拓展与完善。第三章分析了市场势力的定义、内涵、分类、测度与判定标准。本文拓展了市场势力的内涵,将其界定为在特定条件下企业的综合控制能力。还特别对市场势力与垄断势力、市场竞争力、竞争能力及国际竞争力进行了区分,并从纵、横维度将其划分为长期市场势力与短期市场势力、国内区域市场势力与国际市场势力,并就此提出了相应的多指标测量方法。本文还提出采用市场结构标准、市场行为标准及市场绩效标准相结合的方法来对市场势力进行综合判定。第四章探讨了市场势力形成与变化的影响因素。分析了市场势力形成与变化的外在影响因素,如经济发展阶段、产业生命周期、制度因素、资源禀赋、需求条件、对外开放度等,还探讨了其内在影响因素,如市场结构、市场行为、效率等。研究发现：这些因素对不同产业市场势力的形成与变化的影响各不同。其中,不同的外在因素对市场势力形成与变化的影响程度及方向各不相同：在不同经济发展阶段、产业生命周期中市场势力取值在(0～1)变动,其中在工业化后期、产业成熟期的市场势力达到最大；地方保护与市场分割、行政垄断及产业扶植政策有助于市场势力的形成与变化,而反垄断与反不正当竞争政策则抑制市场势力的扩张；丰裕的同质性资源、不易被模仿的异质性资源、资源专有权有利于增强市场势力；富有弹性的需求限制市场势力增强,缺乏弹性的需求助长市场势力；对外开放度的扩大对市场势力有抑制作用,但有助于提升产业竞争力。内在因素对市场势力形成与变化的影响主要是正向的：企业制度创新、并购行为、广告投入、技术创新、纵向限制、高市场集中度、高进入壁垒、产品高度差异化及高效率有助于市场势力的形成与变化。第五章分析了市场势力对市场绩效与社会福利的影响。不仅探讨了市场势力对产业资源配置效率、产业规模经济效率及产业技术进步效率等市场绩效的影响,还探讨了市场势力对消费者、生产者、收入分配及福利的影响。研究发现：在非完全竞争市场中,市场势力或多或少带来资源配置的低效率,在垄断市场达到最大；市场势力推动企业通过并购、整合行为实现规模经济效率；良性的市场势力能真正地推动技术创新与技术进步的实现；市场势力减少消费者剩余,增加生产者剩余,造成一定的社会福利损失,导致收入的再分配与社会不公平。第六章以中国汽车制造业为例探讨了市场势力及其对福利的影响。着重从纵、横维度对中国汽车制造业市场势力进行测度与判定,在此基础之上分别探讨了中国汽车制造业市场势力形成与变化的影响因素及其对社会福利的影响。研究发现：中国汽车制造业长期市场势力与国际市场势力弱小,汽车合资企业长期市场势力、短期市场势力及国内区域市场势力强大,自主品牌企业国内、国际市场势力弱小,汽车产业国际竞争力不足。1991-008年,中国汽车制造业市场势力的形成与变化中,产业生命周期、资源禀赋、产业政策、对外开放度、进入壁垒、并购行为及技术创新行为等因素的影响比较显著,而经济发展阶段、需求条件、市场集中度、规模经济以及效率因素的影响不显著。这主要是由于中国汽车合资、外资企业国内区域市场势力突出,而国内自主品牌汽车企业国内、国际市场势力弱小,自主创新能力不足,规模经济效应不显著,产业竞争力弱小,从而出现与理论研究的结论不一致的市场势力“双弱”现象。第七章主要从国际竞争与国内有效竞争两个方面来分别探讨不同企业市场势力的培育与规制政策。就国际竞争而言,民族企业市场势力的培育应该树立市场结构合理化的政策目标,提高民族企业的国际竞争力；引导市场行为合理化,推动民族企业竞争能力的高度化：鼓励、支持企业组织合理化,提升民族企业的规模化与专业化水平。就国内有效竞争而言,企业市场势力的规制应该严格限制合资、外资企业长期市场势力导致的市场控制行为,特别是应监控与规制外资企业在国内的并购行为；彻底撤销来自地方政府的行政保护行为；建立科学动态的反垄断监控体系。更多还原

【Abstract】 This dissertation, taking China’s auto manufacturing industry for example, has some theoretical and practical significance on analyzing market power, which will help improve the theoretical system and meet the needs of the China’s market economy development, also that of the enhancement of industrial management and upgrading of industrial competitiveness. Since the late 19th century, lots of M&A have led to formation of a growing number of industries characterized by near-monopoly, and correspondingly the core issue of market power ---- monopoly has got more comprehensive discussion and concern. However, through the previous studies, market power is still lack of systematic, in-depth and specialized research. Most studies focusing on the measurement of market power and anti-monopoly policies making mainly link with anti-monopoly, while scarcely have linked it with workable competition and industrial international competitiveness. Few studies have emphasized market power on distinction of various stages from weak to strong and different dimensions, such as the differentiation between market power and monopoly power, market competition, competitiveness and international competitiveness, and that between long-term market power and short-term ones, also between domestic regional market power and international ones. This dissertation will focus on these aspects and do some theoretical researches on market power which will help to further development and perfection of the theoretical system and promote the improvement of the national antitrust. The revitalization of China’s auto manufacturing industry has been placed in the strategic position of national economic growth after U.S. financial crisis took place, which fully shows the auto manufacturing industry has been a pillar of the national economic development. The dissertation will discuss the degree, influencing factors and impact on welfare of the market power China’s auto industry has. The aim is to assess the effects the important auto industry policies has on the cultivation and regulation of various enterprises’market power, and then to assess whether the policies have achieved the expected purposes and finally underlie the adjustment and optimization of the auto industry policies.In this dissertation, the meaning, classification, measurement, determination, influencing factors and impact on the welfare of the market power will be firstly theoretically discussed. Then the empirical research on China’s auto manufacturing industry is to be carried out. Finally, the correlative policies based on international competition and domestic workable competition perspective to cultivate and regulate different market power will be put forward.Accordingly, this dissertation mainly focuses on the following aspects. First are the meaning, classification, measurement and determination of market power. Second is the influencing factors followed. Third is the impact. Fourth is an empirical research. Finally, the correlative policies based on international competition and domestic workable competition perspective to cultivate and regulate different market power will be come up with. The dissertation is specifically divided into seven chapters.Chapter 1 is the introduction. The main topic explains the background and significance, and describes the content and framework, and also presents the difficulties and the research methods as well as the innovations and shortcomings. This dissertation has a systemic and in-depth content and shows a dynamic research perspective, as well uses scientific and reasonable methods. The future research will focus on the market power which the buyers have, that of the industry chain has, and that of China’s multi-industry has.Chapter 2 is the literature review. It describes the search of the relevant literature in the writing process, and thereby clarifies the key clues of the relevant research which help to sort out and evaluate the domestic and foreign researches in detail. Found in the study, in theory the current domestic studies emphasize the antitrust and scarcely link market power with extentions such as competitiveness and innovation. The research perspective is restricted to a closed economy and lack of construction of market power in the international competition. The research methods most use the direct measurement but not comprehensive measurement and determination with multi-index. In the empirical research, the domestic studies focus on monopolists and neglect the competitive market, especially, few researches on the auto manufacturing sectors. Those mentioned above will be expanded and improved.Chapter 3 analyzes the definition, content, classification, measurement methods and determination criteria of market power. It extends the meanings of market power and defines as enterprises’comprehensive control power under specific conditions. Also, it differentiates market power from monopoly power, market competition, competitiveness and international competitiveness. Market power can be divided into long-term or short-term ones in a longitudinal dimension and domestic regional or international ones in a transverse dimension. Finally, the corresponding measurement methods with multi-index are prsented. The standards of the market structure, market conduct and market performance are mixed to make a comprehensive determination on market power.Chapter 4 discusses the influencing factors in the formation and change of market power. It analyzes the external factors such as economic developing stages, industry life cycle, institution, resource endowment, demand conditions and degree of opening. Also the intrinsic factors will be probed, such as market structure, market conduct and efficiency. It is found in the study that these factors will have different impacts on market power. The external factors have different degree of impacts and effect direction. At different stages of economic development and industry life cycle, the value of market power changes between 0 and 1, and it reaches the highest point in the late industrialization and when the industry is mature. Local protectionism and market segmentation, administrative monopoly and industrial supporting policies will help to foster the formation and change of market power, whereas policies on anti-monopoly and repression of unfair competition are inhibiting the enhancement. Abundant of homogenous resources, heterogeneous ones that cannot be easily imitated and exclusive rights are conducive to raising market power. Demands with high flexibility limit the increase of market power, where the demands with low flexibility are conducive. The degree of opening can inhibit the enhancement of market power but help to improve the industrial competitiveness. The intrinsic factors mainly have a positive impact on market power. The enterprise’s institutional innovation, M&A, advertising investment, technological innovation, vertical restraints, high market concentration, high entry barriers, product differentiation and high efficiency can help market power to form and change.Chapter 5 analyzes impacts on the social welfare market power have. It not only discusses the impacts market power have on the market performance such as industrial resource allocation efficiency, economies of scale and technological progress, but also analyzes the impacts on the consumers, the producers, income distribution and welfare. As is discovered, market power will bring more or less inefficient resource allocation efficiency in the non-perfect competitive markets with the maximal loss in a monopoly, and promote the enterprises to do some M&A to realize economies of scale. The healthy market power can really promote technological innovation and achieve technological progress, but cause some loss of social welfare and result in redistribution of income and social injustice by lessening consumer surplus and increasing producer surplus.Chapter 6 analyzes market power and their impacts on the welfare making China’s auto manufacturing industry as an example. It mainly measures and determines the market power China’s auto industry has in the longitudinal and transverse dimensions, and then analyzes the corresponding influencing factors and impacts on the social welfare. Discovered by the research, China’s auto manufacturing industry has weak long-run and international market power, and the joint ventures in this sector have strong long-run, short-run and domestic regional market power, while China’s own brands are lack of international competitiveness with weak market power at home and abroad. During 1991-2008, when China’s auto manufacturing industry experienced its market power’s formation and change, the influencing factors such as industry life cycle, resource endowments, industrial policies, degree of opening up, barriers to entry, M&A and technological innovation had more significant impacts, but others such as the stage of economic development, demand condition, market concentration, economies of scale and efficiency didn’t have significant impacts. This was mainly due to China’s auto joint ventures and foreign enterprises have prominent market power, while our own brands have weak market power at home and abroad with deficient independent innovation and indistinctive economies of scale which shows a "double low" phenomenon inconsistent with the theoretical conclusions.Chapter 7 mainly discusses the industries policies that cultivate and regulate different market power from a view of the international competition and domestic workable competition. To the international competition, the cultivation of market power the national enterprises have should set a policy objective to rationalize the market structure and improve their international competitiveness, and guide the market conducts to promote their own competitiveness, and also encourage them to rationalize their organizations which help to enhance their specialization and scale. To the domestic workable competition, the regulation on market power should restrict the dominating behaviors of the joint ventures and foreign enterprises caused by their long-run market power, especially the foreign enterprises’M&A behaviors, besides the administrative protection behaviors from the local governments should be completely withdrew, a scientific dynamic monitoring system on antitrust should be established.更多还原