本文選題：金磚國家 + 科技創(chuàng)新��； 參考：《東北財(cái)經(jīng)大學(xué)》2014年博士論文

【摘要】：金磚國家因在21世紀(jì)前十年的優(yōu)異表現(xiàn)而成為全球新興經(jīng)濟(jì)體中的典型代表,也成為拉動(dòng)世界經(jīng)濟(jì)的引擎。然而近年來,金磚國家經(jīng)濟(jì)增速下滑、整體表現(xiàn)不盡如人意,究其原因,除了世界經(jīng)濟(jì)復(fù)蘇艱難、外部環(huán)境不佳之外,主要還是自身增長潛力的局限性、經(jīng)濟(jì)結(jié)構(gòu)的嚴(yán)重不合理性,以及隨之而來的內(nèi)在經(jīng)濟(jì)脆弱性和非穩(wěn)定性。目前,通過發(fā)展創(chuàng)新經(jīng)濟(jì)、盡快轉(zhuǎn)變經(jīng)濟(jì)增長方式,已經(jīng)成為金磚國家保持穩(wěn)健增長的重要途徑。而金融資本在創(chuàng)新技術(shù)的產(chǎn)生、成長和壯大,并最終形成主導(dǎo)范式推動(dòng)經(jīng)濟(jì)增長的過程中,始終發(fā)揮著重要作用。可以說,科技創(chuàng)新依靠穩(wěn)定持續(xù)的金融供給,而一個(gè)有效的金融體系能夠聚集資金并且將其配置到最有競力的主體中去。 金磚國家政府在大力支持科技創(chuàng)新發(fā)展的過程中,已經(jīng)初步形成了以政府作用為主導(dǎo)其他金融部門為補(bǔ)充的科技創(chuàng)新金融支持體系,依靠不斷加大財(cái)政資金投入和加強(qiáng)金融政策扶持來彌補(bǔ)科技創(chuàng)新資金供給的“麥克米倫缺欠”。然而,過度的政府干預(yù)往往抑制了市場的自發(fā)調(diào)節(jié)作用,金融體系對科技創(chuàng)新支持的實(shí)際效果并不理想。因此,研究金磚國家科技創(chuàng)新金融支持體系不僅能夠?qū)鸫u國家以金融手段支持科技創(chuàng)新的作用與效果得出初步結(jié)論,而且可以進(jìn)一步分析影響金磚國家科技創(chuàng)新金融支持體系的因素,從而為中國科技創(chuàng)新金融支持體系的優(yōu)化提供鏡鑒與政策參考,同時(shí)也為其他發(fā)展中國家以金融手段促進(jìn)科技創(chuàng)新,進(jìn)而實(shí)現(xiàn)內(nèi)生性增長提供理論依據(jù)。 全文共六章,具體結(jié)構(gòu)安排如下： 第一章為緒論。主要闡述本文的研究背景、研究意義,并且在梳理和評述國內(nèi)外有關(guān)金融支持科技創(chuàng)新的相關(guān)研究基礎(chǔ)上,提出本文的思路與內(nèi)容。 第二章為金融體系對科技創(chuàng)新支持的作用機(jī)理。首先,分析了由于科技創(chuàng)新的基本屬性決定了政府對其實(shí)施金融支持的必要性,進(jìn)而探討了在發(fā)展中國家金融支持科技創(chuàng)新的過程中可能存在的金融抑制等問題。最后,論述了高效完善的科技創(chuàng)新金融支持體系內(nèi)不同供給主體對科技創(chuàng)新的支持作用。 第三章為金磚國家科技創(chuàng)新金融支持體系的演進(jìn)與特征。首先對金磚國家科技及金融支持科技的歷史背景進(jìn)行了簡要回顧；其次,從政府、金融中介、創(chuàng)業(yè)風(fēng)險(xiǎn)投資及多層次資本市場四個(gè)供給主體的層面,對金磚五國科技創(chuàng)新金融支持體系的特征進(jìn)行詳細(xì)地梳理與總結(jié)。 第四章為金磚國家科技創(chuàng)新金融支持體系比較。首先,從金磚國家科技創(chuàng)新金融支持體系的政府層面,比較了政府支持科技創(chuàng)新的作用、強(qiáng)度、實(shí)施手段及方法；其次,對科技創(chuàng)新金融支持體系內(nèi)供給主體和需求主體的主要結(jié)構(gòu)、參與程度及能力與作用進(jìn)行比較；之后,對金磚國家金融支持科技創(chuàng)新的效果進(jìn)行比較；最后,在橫向與縱向比較結(jié)果的基礎(chǔ)上歸納出金磚國家科技創(chuàng)新金融支持體系存在的問題。 第五章為優(yōu)化中國科技創(chuàng)新金融支持體系的對策建議。在前文理論和經(jīng)驗(yàn)分析的基礎(chǔ)上,本章首先提出了優(yōu)化中國科技創(chuàng)新金融支持體系的思路、結(jié)構(gòu)與原則；然后,針對科技創(chuàng)新金融支持體系內(nèi)的各個(gè)供給主體的現(xiàn)狀,提出具體的政策建議。 第六章為結(jié)論。本章對全文的主要結(jié)論和重要觀點(diǎn)進(jìn)行了歸納總結(jié)。 本文創(chuàng)新性集中體現(xiàn)在研究視角與研究對象兩個(gè)方面。 一是研究視角。已有研究單方面討論高科技企業(yè)的需求,往往難以確定何種金融部門更有利于促進(jìn)科技企業(yè)發(fā)展。本文從金融市場上需求主體的特性和供給主體的作用兩方面入手,探討市場機(jī)制下科技企業(yè)在不同生命周期的金融需求以及不同金融部門在動(dòng)員儲(chǔ)蓄、分散風(fēng)險(xiǎn)和配置資金方面的作用機(jī)制與方式的利弊,為發(fā)現(xiàn)供給主體與需求主體結(jié)合的最優(yōu)路徑奠定基礎(chǔ)。 二是研究對象。已有研究大多以發(fā)達(dá)國家或地區(qū)為研究主體,盡管近年來針對部分金磚國家具體部門支持科技創(chuàng)新的作用與效果的相關(guān)研究也不斷出現(xiàn),但將金磚國家作為一個(gè)整體來研究的卻較為鮮見。本文以金磚五國為研究對象,不僅可以使中國在科技創(chuàng)新金融支持體系的優(yōu)化與完善過程中獲得重要的鏡鑒與啟示,還可以得出一個(gè)比較具有一般性的發(fā)展中國家以金融手段支持科技創(chuàng)新的經(jīng)驗(yàn)與理論概括。 由于本人在基礎(chǔ)理論知識及科研能力方面的局限,論文的寫作尚存在一些遺憾和不足,歸納在以下幾個(gè)方面。第一,缺少定量分析的支持與檢驗(yàn)。由于受限于金磚國家企業(yè)微觀數(shù)據(jù)的可得性,論文的研究缺少對金磚國家金融支持體系效果的實(shí)證檢驗(yàn)。第二,缺乏更為深入全面的理論分析。研究發(fā)展中國家的金融支持科技創(chuàng)新涉及宏觀、微觀經(jīng)濟(jì)學(xué)、金融學(xué)、管理學(xué)、馬克思主義政治經(jīng)濟(jì)學(xué)等多學(xué)科理論,科技創(chuàng)新金融支持體系亦是一個(gè)系統(tǒng)化、復(fù)雜化的研究領(lǐng)域,本文的研究內(nèi)容只是在前人研究的基礎(chǔ)上,進(jìn)行了一般性的、概括性的論述,一些觀點(diǎn)與見解尚顯樸素與稚嫩。
[Abstract]:The BRICS countries have become the typical representative of the world ' s emerging economies because of their excellent performance in the first decade of the 21st century . However , in recent years , the economic growth of the BRICS countries has declined and the overall performance is not satisfactory . At present , in addition to the difficulties of the world ' s economic recovery , the external environment is not good , it has become an important way to maintain sound growth in the BRICS countries .

In the process of strongly supporting the development of scientific and technological innovation , the government of BRICS has preliminarily formed the financial support system of science and technology innovation which is complementary to other financial sectors by government . However , excessive government intervention often inhibits the self - regulation of the market , and the financial system is not ideal for scientific and technological innovation . Therefore , the research of the financial support system of BRICS can not only provide the theoretical reference for the optimization of the financial support system of China ' s science and technology innovation , but also provide theoretical basis for other developing countries to promote technological innovation by financial means .

The full text consists of six chapters , the specific structure arrangement is as follows :

The first chapter is the introduction . It mainly expounds the research background and research significance of this paper , and puts forward the thinking and content of this paper on the basis of combing and commenting on the relevant research on financial support science and technology innovation both at home and abroad .

The second chapter analyzes the mechanism of financial system ' s role in the innovation of science and technology . First , it analyzes the necessity of financial support by the government because of the basic attributes of science and technology innovation . Finally , it discusses the financial restraint that may exist in the process of financial support science and technology innovation in developing countries . Finally , the paper discusses the support role of different supply entities in the efficient and perfect financial support system for science and technology innovation .

The third chapter provides a brief review of the historical background of the technology and financial support technology of BRICS countries .
Secondly , from the government , financial intermediary , venture capital and multi - level capital market , the characteristics of the financial support system of science and technology innovation of BRICS are reviewed and summarized in detail .

The fourth chapter compares the financial support system of science and technology innovation in the BRICS countries . First , from the government level of the financial support system of science and technology innovation in the BRICS countries , the role , strength , implementation means and methods of government support for technological innovation are compared .
Secondly , it compares the main structure , participation degree and ability of the main body and demand subject in the financial support system of science and technology innovation ;
After that , the effect of financial support science and technology innovation of BRICS is compared ;
Finally , based on the results of transverse and vertical comparison , the paper sums up the problems existing in the financial support system of BRICS .

The fifth chapter provides suggestions for optimizing the financial support system of science and technology innovation in China . On the basis of the former theory and empirical analysis , this chapter firstly puts forward the idea , structure and principle of optimizing the financial support system of China ' s science and technology innovation .
Then , a specific policy suggestion is put forward aiming at the present situation of each supply subject in the financial support system of science and technology innovation .

Chapter 6 is the conclusion . This chapter summarizes the main conclusions and important viewpoints of the whole text .

This paper focuses on two aspects of research perspective and research object .

One is the research perspective . It is often difficult to determine which financial departments are more conducive to the development of science and technology enterprises . In this paper , we discuss the financial needs of technology enterprises in different life cycle and the advantages and disadvantages of different financial sectors in mobilizing saving , diversification and fund allocation from the aspects of the characteristics of demand subject in financial markets and the role of supply subject .

Second , the research object has been studied in developed countries or regions . Although the research on the role and effect of science and technology innovation in some countries in recent years has emerged , it is rare to study the BRICS countries as a whole . In this paper , the five countries of BRICS are the research objects , which not only can make China have important mirror and inspiration in the optimization and perfection of the financial support system of science and technology innovation , but also draw a conclusion that a more general developing country can support scientific and technological innovation with financial means .

Due to the limitations of the basic theory and the ability of scientific research , the thesis is still in some pity and deficiency , and is summarized in the following aspects . First , lack of quantitative analysis support and inspection . Because of the availability of micro data of BRICS countries , the research of this paper lacks the empirical test of the effect of financial support system of BRICS .

【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：F831.2;F204

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