本文關(guān)鍵詞： 低碳經(jīng)濟 碳金融 機制設計 制度安排 配套政策　出處：《吉林大學》2013年博士論文　論文類型：學位論文

【摘要】：二十一世紀是追求全面可持續(xù)發(fā)展的新時代。當今社會，全球氣候變暖的問題已經(jīng)取得了人們前所未有的關(guān)注，關(guān)于如何發(fā)展低碳經(jīng)濟已引起了全社會的廣泛重視，《聯(lián)合國氣候變化框架條約》和《京都議定書》等協(xié)議的頒布表明全世界已經(jīng)開始將對環(huán)境問題的關(guān)注付諸于實際行動。中國目前仍然以粗放型的經(jīng)濟增長方式為主，傳統(tǒng)能源在中國發(fā)展經(jīng)濟過程中占據(jù)能源消耗的80%以上，高耗能、高放排、高污染、低效率的情況使中國經(jīng)濟的可持續(xù)發(fā)展面臨嚴峻的挑戰(zhàn)。因此，換一種視角審視中國的經(jīng)濟運行方式，探索適合中國低碳經(jīng)濟的推進架構(gòu)已迫在眉睫。從國際來看，氣候變化的長期挑戰(zhàn)與金融危機的短期挑戰(zhàn)是人類發(fā)展面臨的重要問題，前者要求世界經(jīng)濟發(fā)展模式向低碳轉(zhuǎn)型；后者要求對失衡的國際金融體系進行改革，而碳金融體系是應對以上兩大挑戰(zhàn)的最佳結(jié)合點。經(jīng)濟決定金融，低碳經(jīng)濟發(fā)展所導致的產(chǎn)業(yè)結(jié)構(gòu)、經(jīng)濟結(jié)構(gòu)調(diào)整，以及經(jīng)濟發(fā)展模式、消費模式乃至生活模式的變革，必然會導致國際金融業(yè)發(fā)生結(jié)構(gòu)性革命，由傳統(tǒng)金融走向碳金融，以適應低碳經(jīng)濟的發(fā)展。 本文試圖站在兼顧歷史與現(xiàn)實的全新視角上，對低碳經(jīng)濟下的金融業(yè)制度與機制進行理論與實證分析，探尋低碳金融發(fā)展的規(guī)律性，探討金融創(chuàng)新與低碳經(jīng)濟的互動機理。 第一部分：碳金融支撐低碳經(jīng)濟發(fā)展的理論研究 本部分在對國內(nèi)外學術(shù)界關(guān)于低碳經(jīng)濟學理論、金融支撐理論、環(huán)境資源價值理論、制度經(jīng)濟學理論、公共管理理論等經(jīng)濟學理論進行梳理的基礎上，進行深入研究，充分借鑒其有用價值，為研究中國碳金融的機制設計與制度安排奠定理論基礎。 第二部分：國內(nèi)外碳金融發(fā)展的經(jīng)驗與啟示 本部分選取發(fā)達國家中的美國、日本、歐盟，以及發(fā)展中國家碳金融發(fā)展較快國家的代表—印度和中國，作為考察對象，清晰梳理這些國家碳金融發(fā)展的現(xiàn)狀，進而總結(jié)其先進經(jīng)驗并進行充分借鑒，以從中獲得啟示。 第三部分：碳金融體系運行的機制設計 碳金融體系的運行機制主要包含銀行業(yè)、保險業(yè)、證券業(yè)、碳交易市場四個方面。關(guān)于銀行業(yè)，本部分深入研究了碳金融在商業(yè)銀行中的實踐以及發(fā)展動態(tài)，對碳信貸原則下中國銀行業(yè)的運行機制進行設計。關(guān)于保險業(yè)，本文認為其本身就是一個低碳產(chǎn)業(yè)，碳保險是保險業(yè)提供的低碳產(chǎn)品，其運行機制包括內(nèi)部機制、外部機制和發(fā)展評價指標體系。關(guān)于證券業(yè)，本部分在通過與發(fā)達國家證券業(yè)資本市場結(jié)構(gòu)進行對比分析的基礎之上，提出中國碳金融體系中證券業(yè)資本市場的各個層次應如何重塑以支持低碳經(jīng)濟的發(fā)展。關(guān)于碳交易市場運行機制，本部分通過研究碳交易市場的交易項目、對象與基本特征，結(jié)合中國碳金融市場的實際現(xiàn)狀，從市場交易機制、碳金融衍生產(chǎn)品等層面為碳金融體系中的碳交易市場運行機制的設計提供建議。 第四部分：碳金融體系運行的制度安排 本部分具體討論了貨幣制度安排和金融監(jiān)管變革兩方面內(nèi)容。通過比較分析各種貨幣政策工具對經(jīng)濟發(fā)展的不同傳導機理，在結(jié)合當前碳金融發(fā)展需要的基礎上，研究了中國支持低碳經(jīng)濟發(fā)展的金融政策選擇。同時，運用制度經(jīng)濟學理論，分析了不同的金融監(jiān)管體制，探索適合中國碳金融監(jiān)管的模式。 第五部分：碳金融體系運行的經(jīng)濟效應分析 本部分采用實證分析的方法研究了碳金融體系實施的產(chǎn)業(yè)結(jié)構(gòu)調(diào)整效應、經(jīng)濟協(xié)同效應，并進一步分析了碳金融實施對經(jīng)濟主體行為目標選擇的影響。 第六部分：碳金融實施的配套政策研究 本部分采用規(guī)范分析的方法研究了支持碳金融發(fā)展的相關(guān)財政政策與產(chǎn)業(yè)政策，為碳金融配套政策的制定提供科學依據(jù)和數(shù)據(jù)支持。
[Abstract]:Twenty-first Century is the pursuit of a new era of comprehensive sustainable development. Nowadays, the problem of global warming has made people hitherto unknown attention, on how to develop low-carbon economy has attracted extensive attention of the whole society, "issued by the United Nations climate change treaty framework" and "Kyoto Protocol > shows that the world has already begun concern about environmental issues in the practical action. Chinese is still in the extensive mode of economic growth, the process of economic development in the traditional energy in China occupy more than 80% of energy consumption, high energy consumption, high emission, high pollution and low efficiency of the sustainable development of China economy is facing severe challenges. Therefore, a change of perspective on the economic operation mode of Chinese, explore the suitable Chinese frame to promote the low carbon economy is imminent. From an international perspective, the long-term challenge of climate change The short-term challenges war and financial crisis is an important problem facing human development, the requirement of the development of world economy mode transition to low carbon; the latter requires for the imbalance of the international financial system reform, and the carbon financial system is the best combination to deal with the above two challenges. The economic decisions of Finance, industrial structure caused by the development of low carbon economy the adjustment of economic structure, and the mode of economic development, consumption patterns and lifestyle changes, will inevitably lead to the international financial industry structural revolution, from traditional finance to carbon finance, in order to adapt to the development of low-carbon economy.
This paper tries to take a new look at both the history and the reality, and make a theoretical and empirical analysis of the financial industry system and mechanism under the low carbon economy, exploring the regularity of the development of low carbon finance, and exploring the interaction mechanism between financial innovation and low carbon economy.
The first part: the theoretical research on the development of low-carbon economy by Carbon Finance
In this part of the academic circles at home and abroad on the low-carbon economic theory, financial support theory, theory of environmental resource value, based on the theory of institutional economics, public management theory and so on carding, in-depth research, make full use of the useful value, which lays the theoretical foundation for the design and arrangement of system and mechanism research of carbon finance China.
The second part: the experience and Enlightenment of the development of carbon finance at home and abroad
This part of the selection of developed countries in the United States, Japan, EU, and developing countries the rapid development of carbon finance represents the state of India and Chinese, as the object of study, present situation of these countries clear carbon finance development, then summarizes their advanced experiences and drawing, to get inspiration from it.
The third part: the mechanism design of the operation of carbon financial system
The operating mechanism of carbon financial system mainly includes banking, insurance, securities industry, the four aspects of the carbon trading market. On the banks, the introduction of the practice of carbon finance in commercial banks and the development of dynamic mechanism of China banking carbon credits under the principle of design. On the insurance industry. This paper argues that it itself is a low carbon industry, low carbon carbon products of insurance is provided by the insurance industry, the operation mechanism including internal mechanism, external evaluation system of mechanism and the development of securities industry. In this part, through the comparative analysis of capital market and securities industry structure in developed countries, put forward various levels of market the securities industry capital Chinese carbon in the financial system should be how to reshape the development of low-carbon economy. To support the operation mechanism of the carbon trading market, this part of the study of the carbon trading market trading on the project Combined with the basic characteristics of China's carbon finance market and the actual situation of China's carbon finance market, we provide suggestions for the design of carbon trading market operation mechanism in the carbon finance system from the aspects of market trading mechanism and carbon finance derivatives.
The fourth part: the system arrangement of the operation of carbon financial system
This part discussed two aspects of monetary system and financial regulatory reform. Through the comparative analysis of different conduction mechanism of various monetary policy tools for economic development, on the basis of the current needs of the development of carbon finance, on the China to support the development of low-carbon economy and financial policy choice. At the same time, using the theory of institutional economics, analysis the financial supervision system, explore the suitable carbon Chinese model of financial supervision.
The fifth part: the analysis of the economic effect of the operation of carbon financial system
This part adopts the method of empirical analysis to study the industrial structure adjustment effect and economic synergy effect of carbon finance system implementation, and further analyzes the impact of carbon finance implementation on the behavior choice of economic subjects.
The sixth part: Research on the supporting policies of carbon finance
This part adopts normative analysis method to study the relevant fiscal and industrial policies supporting the development of carbon finance, and provides scientific basis and data support for the formulation of carbon finance supporting policies.

【學位授予單位】：吉林大學
【學位級別】：博士
【學位授予年份】：2013
【分類號】：F832.1;F205

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