【作者】 张鸿；

【导师】 刘崇仪；

【作者基本信息】 西南财经大学 ， 国际贸易学， 2006， 博士

【摘要】 本文研究交易形成过程,分析交易活动引起的交易当事人的契约安排、交易组织和交易当事人间的博弈及其共同选择。实际交易活动经验显示,同类交易当事人间的竞争并不完全以价格作为决定因素,也不完全依靠各种博弈技巧作为稳定和扩大市场占有的主要工具。交易的拓展和稳定实现更多地依靠一致同意原则,依靠建立在买方和卖方交易当事人之间的适当的“关系”或“网络”,以及各交易当事人团队的合理组织来保证。各种交易理论已经广泛探讨了具有多样性的市场结构、贸易现象及其规律并进行了相应的理论解释。这些研究还分析了交易对企业结构的影响、各种中间组织、制度和政策选择、各种形式的一体化的形成和发展的理论及实践问题。但是,这些与交易密切相关的理论性结论,如对契约完全性的理论解释、对交易费用的定义与计算等等,需要进一步完善;各理论间的联系还需要进一步明确。为了更好地解释各种贸易现象,如非价格性竞争、长期交易关系的形成、交易的稳定性控制、交易团队的组织原则,等等,还需要研究以契约(或合同)形成为标志的交易形成原则、过程及交易活动的组织和博弈等问题。本文从交易的形成和实现过程出发,分析交易当事人共同选择的形成原理及其对交易的各种影响,研究交易当事人间交易“关系”、“网络”的形成。交易中的共同选择包括三个主要方面,即1)有关交易当事人(如卖方与买方)为实现交易,确定契约条件并签立契约的共同选择,以契约形成为标志;2)各交易当事人为实现交易进行的相关选择,如交易当事人团队内部组织、内部结构调整、对市场环境的适应和市场策略的制定等;以及3)同类交易当事人的共同选择,如维持竞争秩序的同业惯例、建立保证质量并降低交易费用的基本标准系统等,是对外界环境的影响与调整。研究的基础包括两个主要方面:1)对实际交易活动的总结和抽象,包括各种形式的简单的交易活动(如单纯的货物或服务贸易);更多还原

【Abstract】 This dissertation is a study on transaction process. It focuses on organizing, game and common selection during the transaction; the Contract arrangement for the transaction.Based on the experiences on international trading practice, price level is not the only key issue during the market competition; game theory and marketing skill are also not the only major tools for market occupying and/or market expanding. Foundation of market promoting is more likely based on the participants’mutual understanding, the reasonable“relation”or“net”among the pertaining participants, and the team organizing. Many studies have explored the principle of complex trade and multiple market structure. According to the practice of transaction, these studies have analyzed and theorized the enterprises structural changing, intermediate organization, institution and policy selection, format of integration, etc. caused by transaction. But, some of the analyzing and theory conclusion, for example, the Incomplete Contract and Transaction Costs, have to be improved; the relationship between the studies has to be explained. In addition, to study the issues in transaction, such as non-price competition, long-term cooperation, transaction stability control, team organization, etc., it is necessary to study the process and principle of contracting, transaction organizing and game structure etc. in detail.From the process for reaching and operating transaction, this study tries to analyze the principle of common selection among the pertaining transaction parties, the function of this principle on transaction, and make of transaction“relation”and“net”. There are three major issues on common selection, 1) the common selection between the pertaining parties (Buyer and Seller), the target is to sign the Contract; 2) internal adjustment of the participants, such as team organizing, internal structural adjustment, meeting the requirement of market competition and marketing strategy, etc.; 3) Common selection among the congeneric competitors, like competition coordination system, custom or regulation,更多还原