【摘要】：我國國有地勘單位有著不同于一般意義上事業(yè)單位的體制機制，也有著不同于一般國有企業(yè)的體制機制，“戴事業(yè)的帽子，走企業(yè)的路子”是對目前我國國有地勘單位體制機制的生動描述。本文主要采用理論與實踐相結合的方法、案例研究等方法，從“主體、方向、渠道、方式”四個維度分析我國國有地勘單位投融資模式的演進歷程、礦業(yè)發(fā)達國家商業(yè)性地勘投融資模式以及我國“事轉企”投融資模式，力圖探索在目前條件下我國國有地勘單位投融資模式的創(chuàng)新之道，并提出政策性建議。 我國的大多數(shù)地勘單位，無論是創(chuàng)辦目的，還是經(jīng)營規(guī)模，，與國外礦業(yè)發(fā)達國家“初級礦業(yè)（勘探）公司”都極為相似，最大不同在于國外的初級礦業(yè)（勘探）公司一般是私營的，而我國的地勘單位一般是國營的事業(yè)單位。加拿大、澳大利亞等國家有著發(fā)達的礦業(yè)資本市場，這決定了這些國家商業(yè)性地勘的投融資模式是以資本市場為導向的。 國有事業(yè)單位轉企改制本質上是投融資模式的變革。我國科研事業(yè)單位轉企改制成功的模式，為我國國有地勘單位改革提供了經(jīng)驗借鑒。國有地勘單位改革，可以在體制不變的前提下，推動投融資模式改革，并以此來倒逼體制的變革。 我國國有地勘單位投融資模式創(chuàng)新的指引是：“企業(yè)”（主體）+“勘查開發(fā)一體化”（方向）+“資本市場”（渠道）+“股票等股權性融資工具”（方式）。目前，我國國有地勘單位可選擇的五種模式分別為“境外并購”模式、“境內借殼上市”模式、“多贏合作”模式、“礦產勘查‘信托’+‘期權’”模式、“地勘單位內部‘資金池’”模式。
[Abstract]:The state-owned geological prospecting units in China have different institutional mechanisms from institutions in the general sense, as well as from state-owned enterprises in general. Following the way of enterprise is a vivid description of the system mechanism of state-owned geological prospecting units in China. This paper mainly adopts the method of combining theory with practice, case study and so on, analyzes the evolution course of investment and financing mode of state-owned geological prospecting units in China from four dimensions of "subject, direction, channel and way". The mode of investment and financing of commercial geological prospecting in developed mining countries and the mode of investment and financing in our country try to explore the innovative ways of investment and financing mode of state-owned geological prospecting units in China under the present conditions, and put forward some policy suggestions. Most geological prospecting units in China are very similar to "primary mining (exploration) companies" in foreign mining developed countries, regardless of their purpose or scale of operation. The biggest difference lies in the fact that the primary mining (exploration) companies abroad are generally privately owned, while the geological prospecting units in China are generally state-owned institutions. Canada, Australia and other countries have developed mining capital markets, which determines that the investment and financing mode of commercial geological prospecting in these countries is capital market oriented. The transformation of state-owned institutions into enterprises is essentially a transformation of investment and financing mode. The successful transformation of scientific research institutions into enterprises provides experience for the reform of state-owned geological prospecting units in China. The reform of state-owned geological prospecting units can push forward the reform of investment and financing mode on the premise of unchanged system, and thus force the reform of system. The guideline of investment and financing mode innovation of state-owned geological prospecting units in China is as follows: "Enterprise" (main body), "Integration of Exploration and Development" (Direction), "Capital Market" (Channel), "Equity financing tool such as Stock" (way). At present, the five models that the state-owned geological prospecting units in China can choose are "overseas M & A" mode, "domestic backdoor listing" mode, "multi-win cooperation" mode, "mineral exploration 'trust' option 'mode", respectively. The model of 'fund pool' inside geological prospecting units.
【學位授予單位】：電子科技大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：F275;F426.1

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