【作者】 张洁；

【导师】 钱学锋；

【作者基本信息】 中南财经政法大学 ， 国际贸易学， 2019， 硕士

【摘要】 经历了20世纪90年代的国有企业改革之后,中国国内市场逐步形成了不同所有制企业、不同市场结构在上下游产业垂直分布的竞争格局。2015年,中共中央国务院印发的《关于深化国有企业改革的指导意见》,将国有企业分为商业类和公益类,强调分类推进国有企业改革。然而,分类改革主要通过引入竞争机制或实现股权多元化的方式,聚焦于不同类型国有企业自身的改革,并未关注内生于改革过程中形成的不同所有制企业非对称分布的垂直竞争结构,可能对改革目标造成的影响。同时,自十九大报告明确提出“发展更高层次的开放型经济”以来,针对政府是否应该实行产业政策以及贸易自由化政策这一问题,经济学家们展开了持续而热烈的讨论。不同的学者分别从不同方面对产业政策与贸易自由化政策效果进行了评估。但是,鲜有文献基于我国特定的不同所有制企业形成的非对称市场竞争结构,探究产业政策与贸易政策对资源配置效率产生的影响。本文在封闭条件下,通过构建上游国有企业为多寡头,下游民营企业为垄断竞争的“垂直结构”模型,从下游市场企业进入数量的角度,发现“垂直结构”对资源配置效率具有负面影响;进一步,本文将中国现行的“交互补贴”政策纳入“垂直结构”模型中,得出这一产业政策恶化了资源配置效率的结论;再者,本文将其拓展为开放条件,发现垂直结构仍然会导致资源误置,同时纳入“交互补贴”后,发现这一政策仍然会加大资源误置的扭曲程度。最后,本文在封闭条件下分别提出了“上游征税、下游补贴”以及加大贸易自由化这两种政策,既可以最大程度的减缓资源误置,又可以提升社会总福利。本文结构安排如下:首先文章的第一部分是导论,主要介绍了本文的研究背景、研究的意义、研究方法、结构安排、研究创新以及研究的不足;第一章是文献综述,分别从企业竞争结构、产业政策以及贸易自由化对资源误置影响方面进行文献梳理。第二章为封闭条件下垂直结构影响资源误置的理论机制,在现有文献的基础上,判断出中国的企业竞争结构为垂直结构,在此基础上,研究垂直结构本身是否对资源误置产生影响。第三章为封闭条件下垂直结构、产业政策影响资源误置的理论机制。根据现有文献,梳理我国现行的产业政策,探究纳入现行产业政策后,资源误置程度的变化趋势。第四章为开放条件下垂直结构影响资源误置的理论机制。将第二章模型其拓展为开放情形,考察在开放条件下,垂直结构对资源误置的影响程度。第五章为开放条件下垂直结构、资源误置影响产业政策的理论机制,将第三章其拓展为开放情形,探究在实施贸易自由化后,纳入产业政策能否纠正由封闭条件下垂直结构导致的资源误置。第六章为最优政策选择,在封闭条件下提出产业政策,能够最大程度的改善垂直结构本身导致的资源误置,提高社会福利。最后一部分为结论与政策建议,根据本文结果,撰写本文结论,同时,提出可以纠正资源误置以及提升社会总福利政策。更多还原

【Abstract】 After the reform of state-owned enterprises in the 1990 s,China’s domestic market gradually formed a competitive pattern of vertical distribution of different ownership enterprises and different market structures in upstream and downstream industries.In 2015,the “Guiding Opinions on Deepening the Reform of State-Owned Enterprises” issued by the CPC Central Committee and State Council divided state-owned enterprises into commercial and public welfare categories,emphasizing the classification and promoting the reform of state-owned enterprises.However,the classification reform mainly focuses on the reform of different types of state-owned enterprises through the introduction of competition mechanism or the realization of equity diversification.It does not pay attention to the vertical competition structure of asymmetric distribution of different ownership enterprises formed in the reform process,which may have impact on the reform goals.At the same time,since the report of the 19 th National Congress clearly stated that“the development of a higher-level open economy”,economists have continued and heated discussions on whether the government should implement industrial policies and trade liberalization policies.Different scholars have evaluated the effects of industrial policy and trade liberalization policies from different aspects.However,few literatures are based on the asymmetric market competition structure formed by China’s specific different ownership enterprises,and explore the impact of industrial policies and trade policies on resource allocation efficiency.Under the closed framework,by constructing a general equilibrium model of “vertical structure” of which the upstream state-owned enterprises act as oligopoly and the downstream private enterprises monopolistic competition,from the perspective of the number of enterprises entering the downstream market,it is found that the “vertical structure” has a negative impact on the resource allocation efficiency;Further,this paper incorporates China’s current “interaction subsidy” policy into the “vertical structure” model,and concludes that this industrial policy has deteriorated the efficiency of resource allocation.Furthermore,this paper expands it into an open economy model and finds that the resource misallocation still hold under vertical structure,and it will increase the distortion of resource misallocation when the “interaction subsidy” policy is included.Finally,under the closed conditions,this paper proposes one polic,they are “upstreamtaxation,downstream subsidies” and increased trade liberalization,respectively,which can not only minimize resource misallocation,but also improve social welfare.The structure of this paper is as follows: First,the first part of the article is an introduction,which mainly introduces the research background,research significance,research methods,structural arrangement,research innovation and research deficiencies.The first chapter is literature review,including the enterprise competition structure,the literature on industrial policy and the impact of trade liberalization on resource misallocation.The second chapter is the theoretical mechanism of vertical structure affecting resource misallocation under closed conditions.Based on the existing literature,it is judged that the Chinese enterprise competition structure is of a vertical structure.On this basis,we explore whether the vertical structure itself misplaces resources.The third chapter is the theoretical mechanism of vertical structure and industrial policy affecting resource misallocation under closed conditions.According to the existing literature,we will sort out China’s current industrial policies and explore the changing trend of resource misallocation after the inclusion of current industrial policies.The fourth chapter is the theoretical mechanism of vertical structure affecting resource misallocation under open conditions,which extend the model in second chapter model to an open situation,and the degree of influence of vertical structure on resource misallocation under open conditions is investigated.The fifth chapter is the theoretical mechanism of how vertical structure and resource misallocation affect industrial policy under open conditions,which expands the model in the third chapter to an open situation,and explores whether the inclusion of industrial policy after the implementation of trade liberalization can correct the misallocation induced by vertical structure under closed conditions.The sixth chapter concerns the optimal policy choice.Under the closed conditions,the industrial policy is proposed to correct resource misallocation caused by the vertical structure and improve social welfare.Finally,we get the concluding remarks from the results appeared in this paper.At the same time,we come up with proposals to correct the resource misallocation and improve the social welfare.更多还原