中國(guó)對(duì)東盟新四國(guó)直接投資研究
發(fā)布時(shí)間：2018-07-29 11:50
【摘要】：東盟新四國(guó)(以下簡(jiǎn)稱新四國(guó))是指東南亞十國(guó)中最后加入東盟的四個(gè)新成員國(guó),即柬埔寨、老撾、緬甸和越南,亦稱CLMV國(guó)家。其中,柬埔寨、老撾、緬甸屬世界最不發(fā)達(dá)國(guó)家。由于歷史原因,特別是政治局勢(shì)長(zhǎng)期動(dòng)蕩的影響,新四國(guó)經(jīng)濟(jì)發(fā)展水平低,基礎(chǔ)設(shè)施滯后,在吸引外國(guó)直接投資方面一直處于不利地位。近年來,隨著美國(guó)“重返東南亞”戰(zhàn)略的推進(jìn)和印度“東向政策”的實(shí)施,新四國(guó)以其重要的地緣政治、逐漸開放的經(jīng)濟(jì)政策、豐富的自然資源、廉價(jià)的勞動(dòng)力日益受到國(guó)際資本的關(guān)注,成為各大國(guó)角逐的焦點(diǎn)區(qū)域。 隨著中國(guó)—東盟自由貿(mào)易區(qū)建設(shè)進(jìn)程的加快和大湄公河次區(qū)域合作等的推進(jìn),我國(guó)與新四國(guó)的交往日益頻繁,經(jīng)濟(jì)合作快速推進(jìn),新四國(guó)在我國(guó)對(duì)外直接投資和對(duì)東盟直接投資中的地位日益提高,我國(guó)成為新四國(guó)最重要的直接投資來源國(guó)之一。就我國(guó)而言,無論是具有較強(qiáng)競(jìng)爭(zhēng)優(yōu)勢(shì)的大型中央企業(yè),還是不具備所有權(quán)優(yōu)勢(shì)和內(nèi)部化優(yōu)勢(shì)但卻擁有為小規(guī)模市場(chǎng)服務(wù)能力和小規(guī)模生產(chǎn)技術(shù)的中小企業(yè),都能在新四國(guó)找到自己發(fā)展的“廣闊天地”。我國(guó)對(duì)新四國(guó)的直接投資,在獲取國(guó)內(nèi)稀缺戰(zhàn)略資源、轉(zhuǎn)移過剩產(chǎn)能、開拓境外市場(chǎng)、確保國(guó)家經(jīng)濟(jì)安全、西南邊疆安全等方面,發(fā)揮了積極的作用。進(jìn)一步加強(qiáng)對(duì)新四國(guó)的直接投資,既符合企業(yè)經(jīng)濟(jì)利益,也關(guān)乎我國(guó)的國(guó)家戰(zhàn)略。 本文采用理論分析與實(shí)際分析相結(jié)合、歷史分析和現(xiàn)狀分析相結(jié)合、國(guó)際關(guān)系分析與計(jì)量分析相結(jié)合的方法,對(duì)新四國(guó)引進(jìn)外資的發(fā)展歷程和中國(guó)對(duì)新四國(guó)直接投資的發(fā)展歷程進(jìn)行了總結(jié)回顧,對(duì)新四國(guó)直接投資的現(xiàn)狀和特點(diǎn)進(jìn)行了歸納總結(jié),就中國(guó)對(duì)新四國(guó)和老六國(guó)直接投資的特點(diǎn)和績(jī)效進(jìn)行了比較研究,就影響中國(guó)對(duì)新四國(guó)直接投資的推動(dòng)因素和風(fēng)險(xiǎn)因素進(jìn)行了全面分析,并在此基礎(chǔ)上提出了有針對(duì)性的政策建議。這對(duì)于細(xì)化東盟問題的研究對(duì)象,驗(yàn)證發(fā)展中國(guó)家對(duì)外直接投資理論在高風(fēng)險(xiǎn)國(guó)家的適用性,補(bǔ)充和豐富現(xiàn)有的研究成果,具有重要的理論意義；同時(shí),本研究不僅有助于客觀而深入地認(rèn)識(shí)我國(guó)與新四國(guó)的經(jīng)貿(mào)關(guān)系,正確處理雙邊經(jīng)貿(mào)關(guān)系中的矛盾和摩擦,推動(dòng)雙邊經(jīng)貿(mào)關(guān)系進(jìn)一步發(fā)展,而且能為我國(guó)企業(yè)特別是中小企業(yè)開拓新四國(guó)市場(chǎng)提供具體的幫助,為各級(jí)政府制定和調(diào)整對(duì)外投資政策、實(shí)施走出去戰(zhàn)略提供有益的參考,具有較強(qiáng)的現(xiàn)實(shí)意義。 本文的研究?jī)?nèi)容主要圍繞以下幾方面展開：是對(duì)外直接投資理論綜述。通過系統(tǒng)地梳理國(guó)際直接投資基本理論,依次對(duì)馬克思主義資本輸出理論、發(fā)達(dá)國(guó)家國(guó)際直接投資理論、發(fā)展中國(guó)家國(guó)際直接投資理論以及20世紀(jì)90年代以來國(guó)際直接投資理論的新發(fā)展進(jìn)行了歸納、介紹和評(píng)價(jià)。 二是中國(guó)對(duì)新四國(guó)直接投資的發(fā)展。首先,回顧了新四國(guó)的引資進(jìn)程,分析了各國(guó)引進(jìn)外國(guó)直接投資的來源國(guó)分布和產(chǎn)業(yè)分布；其次,總結(jié)回顧了中國(guó)對(duì)新四國(guó)直接投資的發(fā)展歷程和現(xiàn)狀,歸納了中國(guó)對(duì)新四國(guó)直接投資的特點(diǎn)。 三是中國(guó)對(duì)新四國(guó)直接投資的推動(dòng)因素分析。首先,基于投資國(guó)的宏觀戰(zhàn)略,分析了中國(guó)對(duì)新四國(guó)直接投資的必然性；其次,基于跨國(guó)企業(yè)的比較優(yōu)勢(shì),分析了中國(guó)對(duì)新四國(guó)直接投資的可行性；再次,基于雙邊關(guān)系的推動(dòng)因素,分析了中國(guó)對(duì)新四國(guó)直接投資快速發(fā)展的有利基礎(chǔ)；最后,基于東道國(guó)的投資環(huán)境,分析了中國(guó)對(duì)新四國(guó)直接投資發(fā)展的區(qū)位優(yōu)勢(shì)。 四是中國(guó)對(duì)新四國(guó)直接投資的績(jī)效分析。通過指標(biāo)選取、模型構(gòu)建、實(shí)證檢驗(yàn)和結(jié)果分析,重點(diǎn)研究了中國(guó)對(duì)新四國(guó)直接投資績(jī)效中的貿(mào)易效應(yīng),并與中國(guó)對(duì)東盟老六國(guó)的投資績(jī)效進(jìn)行了比較分析。 五是中國(guó)對(duì)新四國(guó)直接投資的風(fēng)險(xiǎn)分析。分別從東道國(guó)政治風(fēng)險(xiǎn)、經(jīng)濟(jì)風(fēng)險(xiǎn)、經(jīng)營(yíng)風(fēng)險(xiǎn)三個(gè)方面,分析了中國(guó)對(duì)新四國(guó)直接投資中存在的風(fēng)險(xiǎn)因素。 六是推動(dòng)中國(guó)企業(yè)對(duì)新四國(guó)直接投資的對(duì)策和措施。首先,從加強(qiáng)政策引導(dǎo)、強(qiáng)化政策服務(wù)、深化雙邊合作三個(gè)方面,就政府層面的宏觀政策措施提出了具體建議；其次,從目標(biāo)定位、產(chǎn)業(yè)選擇、進(jìn)入模式、風(fēng)險(xiǎn)防范四個(gè)方面,就企業(yè)進(jìn)一步加大對(duì)新四國(guó)的直接投資提出了具體建議。 本文的創(chuàng)新性研究主要體現(xiàn)在三個(gè)方面： 第一,研究視角創(chuàng)新。迄今為止,國(guó)內(nèi)學(xué)術(shù)界對(duì)我國(guó)對(duì)東盟的直接投資大都把東盟十國(guó)作為一個(gè)整體來研究。鑒于東盟各國(guó)在政治體制、經(jīng)濟(jì)發(fā)展、社會(huì)文化等方面存在巨大差異,本文根據(jù)東盟新四國(guó)經(jīng)濟(jì)發(fā)展水平的相似性、與中國(guó)在歷史地理政治經(jīng)濟(jì)上的密切關(guān)系、中國(guó)對(duì)東盟新四國(guó)直接投資所具備的親緣優(yōu)勢(shì)、地緣優(yōu)勢(shì)等因素,將新四國(guó)放在一個(gè)次區(qū)域內(nèi)進(jìn)行研究。 第二,建立了“投資國(guó)-東道國(guó)-雙邊關(guān)系-企業(yè)”四位一體的對(duì)外直接投資推動(dòng)因素分析框架,強(qiáng)調(diào)雙邊政治關(guān)系中政治互信與雙邊經(jīng)濟(jì)關(guān)系中對(duì)外援助、對(duì)外承包工程等子因素對(duì)對(duì)外直接投資的推動(dòng)作用。提出在對(duì)類似東盟新四國(guó)的高風(fēng)險(xiǎn)國(guó)家直接投資中,雙邊經(jīng)濟(jì)關(guān)系是中國(guó)企業(yè)對(duì)外直接投資的基礎(chǔ),雙邊政治關(guān)系是中國(guó)企業(yè)對(duì)外直接投資的保障。 第三,通過實(shí)證對(duì)比研究中國(guó)對(duì)東盟新四國(guó)、老六國(guó)的直接投資績(jī)效,提出中國(guó)對(duì)兩類國(guó)家的直接投資都是貿(mào)易創(chuàng)造型投資,對(duì)新四國(guó)直接投資的進(jìn)出口創(chuàng)造效應(yīng)均高于對(duì)老六國(guó)的直接投資。 本文主要存在以下兩方面不足之處：首先,新四國(guó)均屬最不發(fā)達(dá)國(guó)家,信息化水平低,受世界關(guān)注的程度不高,文獻(xiàn)資料匱乏,一些研究數(shù)據(jù)的采集比較困難,在很大程度上影響了本文對(duì)某些問題的深入分析。其次,因篇幅所限,本文對(duì)中國(guó)對(duì)新四國(guó)直接投資的典型案例和重要地區(qū)投資主體(如云南、廣西)沒有進(jìn)一步展開深入的分析。對(duì)此,筆者將在以后的研究中加以改進(jìn)和完善。
[Abstract]:The new four countries of ASEAN (hereinafter referred to as the new four countries) refer to the four new ASEAN member countries of the ten Southeast Asian countries, namely Kampuchea, Laos, Burma and Vietnam, also known as the CLMV countries. Among them, Kampuchea, Laos and Burma are the world's least developed countries. For historical reasons, they are the influence of the political situation for a long time, and the economic development of the new four countries. In recent years, with the promotion of the "return to Southeast Asia" strategy and the implementation of the "East Policy" of India, the new four countries, with their important geopolitics, gradually open economic policies, rich natural resources and cheap labor force in recent years. The focus of interregional capital has become the focus of competition among major powers.
With the acceleration of the construction process of China ASEAN Free Trade Area and the promotion of the Greater Mekong Subregion Cooperation, our country and the new four countries have become more and more frequent, and the economic cooperation is advancing rapidly. The new four countries have increased their position in the direct investment of China and the direct investment in ASEAN. China has become the most important direct investment in the new four countries. One of the source countries, as far as China is concerned, whether a large central enterprise with a strong competitive advantage, or a small and medium-sized enterprise with a small market service and small scale production technology, can find a "broad space" for its own development in the new four countries. Investment has played an active role in obtaining domestic scarce strategic resources, transferring excess capacity, opening up foreign markets, ensuring national economic security and the security of the southwest frontier. Further strengthening direct investment to the new four countries is in line with the economic interests of the enterprises and the national strategy of our country.
In this paper, a combination of theoretical analysis and practical analysis, a combination of historical analysis and current situation analysis, and a combination of international relations analysis and measurement analysis, the development course of the new four countries' introduction of foreign capital and the development process of China's direct investment in the new four countries are reviewed, and the status and characteristics of the new four countries' direct investment are carried out. This paper makes a comparative study on the characteristics and performance of China's direct investment in the new four countries and the old six countries, and makes a comprehensive analysis of the factors and risk factors affecting China's direct investment in the new four countries, and puts forward some pertinent policy suggestions on this basis. The applicability of the theory of Chinese foreign direct investment in high risk countries, supplementing and enriching existing research results, is of great theoretical significance. At the same time, this study not only helps to understand the economic and trade relations between China and the new four countries objectively and deeply, and correctly deal with the contradictions and frictions in bilateral economic and trade relations, and promote bilateral economic and trade relations. It is of great practical significance to provide useful reference for governments at all levels to formulate and adjust foreign investment policies and to implement the strategy of going out.
This paper focuses on the following aspects: a summary of the theory of foreign direct investment. Through a systematic review of the basic theories of international direct investment, the theory of Marx's capital output, the theory of international direct investment in developed countries, the international direct investment theory of developing countries, and the international direct investment since 1990s The new development of investment theory is summarized, introduced and evaluated.
The two is the development of China's direct investment to the new four countries. First, it reviews the process of introducing capital in the new four countries, analyzes the distribution and industrial distribution of the source countries of countries introducing foreign direct investment. Secondly, it summarizes the development process and present situation of China's direct investment in the new four countries, and summarizes the characteristics of China's direct investment to the new four countries.
The three is the analysis of China's impetus to the direct investment of the new four countries. First, based on the macro strategy of the investment countries, the inevitability of China's direct investment to the new four countries is analyzed. Secondly, based on the comparative advantages of the multinational enterprises, the feasibility of China's direct investment to the new four countries is analyzed. The country has a favorable basis for the rapid development of the new four countries' direct investment, and finally, based on the investment environment of the host country, the regional advantages of China's direct investment in the new four countries are analyzed.
The four is the performance analysis of China's direct investment in the new four countries. Through the index selection, model construction, empirical test and result analysis, the trade effect of China's direct investment performance on the new four countries is focused on, and the investment performance of the old six countries in ASEAN is compared with China.
The five is the risk analysis of China's direct investment in the new four countries. From the three aspects of the host country's political risk, economic risk and business risk, the risk factors of China's direct investment in the new four countries are analyzed.
The six is the countermeasures and measures to promote the direct investment of Chinese enterprises to the new four countries. First, from the three aspects of strengthening policy guidance, strengthening policy service and deepening bilateral cooperation, we put forward specific suggestions on macro policy measures at the level of government. Secondly, from the target orientation, industry selection, entry mode and risk prevention in four aspects, the enterprise is further developed. Specific proposals were put forward to increase direct investment in the new four countries.
The innovative research of this paper is mainly embodied in three aspects:
First, research perspective innovation. So far, most of China's direct investment in China to ASEAN has been studied by the ten countries of ASEAN as a whole. In view of the great differences in the political system, economic development, social culture and other aspects of ASEAN countries, this article is based on the similarity of the economic development level of the new ASEAN countries and China in the history. The close relationship between geography, politics and economy, the relative advantages and geographical advantages of China's direct investment in the new four countries of ASEAN, and so on, put the new four countries in a subregion to study.
Second, we set up a framework for the factor analysis of foreign direct investment in the "investment country - the host country - bilateral relationship - enterprise", emphasizing the role of the sub factors such as the political mutual trust and bilateral economic relations in bilateral political relations, the foreign contracting projects and other sub factors on foreign direct investment. In the direct investment of high risk countries, bilateral economic relations are the basis of the foreign direct investment of Chinese enterprises, and bilateral political relations are the guarantee of the foreign direct investment of Chinese enterprises.
Third, through a comparative study of the direct investment performance of China to the new Four ASEAN countries and the old six countries, the direct investment of China to the two types of countries is a trade creation investment, and the creative effect on the import and export of the direct investment of the new four countries is higher than the direct investment to the old six countries.
This article mainly exists the following two shortcomings: first, the new four countries belong to the least developed countries, the level of information is low, the degree of attention to the world is not high, the literature is scarce and the collection of some research data is difficult, which greatly affects the in-depth analysis of some questions in this paper. Secondly, the text is limited to the length of this article. The typical cases of direct investment in the new four countries and the investment subjects in important areas (such as Yunnan, Guangxi) have not been further analyzed. The author will improve and improve it in the future research.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.6
[Abstract]:The new four countries of ASEAN (hereinafter referred to as the new four countries) refer to the four new ASEAN member countries of the ten Southeast Asian countries, namely Kampuchea, Laos, Burma and Vietnam, also known as the CLMV countries. Among them, Kampuchea, Laos and Burma are the world's least developed countries. For historical reasons, they are the influence of the political situation for a long time, and the economic development of the new four countries. In recent years, with the promotion of the "return to Southeast Asia" strategy and the implementation of the "East Policy" of India, the new four countries, with their important geopolitics, gradually open economic policies, rich natural resources and cheap labor force in recent years. The focus of interregional capital has become the focus of competition among major powers.
With the acceleration of the construction process of China ASEAN Free Trade Area and the promotion of the Greater Mekong Subregion Cooperation, our country and the new four countries have become more and more frequent, and the economic cooperation is advancing rapidly. The new four countries have increased their position in the direct investment of China and the direct investment in ASEAN. China has become the most important direct investment in the new four countries. One of the source countries, as far as China is concerned, whether a large central enterprise with a strong competitive advantage, or a small and medium-sized enterprise with a small market service and small scale production technology, can find a "broad space" for its own development in the new four countries. Investment has played an active role in obtaining domestic scarce strategic resources, transferring excess capacity, opening up foreign markets, ensuring national economic security and the security of the southwest frontier. Further strengthening direct investment to the new four countries is in line with the economic interests of the enterprises and the national strategy of our country.
In this paper, a combination of theoretical analysis and practical analysis, a combination of historical analysis and current situation analysis, and a combination of international relations analysis and measurement analysis, the development course of the new four countries' introduction of foreign capital and the development process of China's direct investment in the new four countries are reviewed, and the status and characteristics of the new four countries' direct investment are carried out. This paper makes a comparative study on the characteristics and performance of China's direct investment in the new four countries and the old six countries, and makes a comprehensive analysis of the factors and risk factors affecting China's direct investment in the new four countries, and puts forward some pertinent policy suggestions on this basis. The applicability of the theory of Chinese foreign direct investment in high risk countries, supplementing and enriching existing research results, is of great theoretical significance. At the same time, this study not only helps to understand the economic and trade relations between China and the new four countries objectively and deeply, and correctly deal with the contradictions and frictions in bilateral economic and trade relations, and promote bilateral economic and trade relations. It is of great practical significance to provide useful reference for governments at all levels to formulate and adjust foreign investment policies and to implement the strategy of going out.
This paper focuses on the following aspects: a summary of the theory of foreign direct investment. Through a systematic review of the basic theories of international direct investment, the theory of Marx's capital output, the theory of international direct investment in developed countries, the international direct investment theory of developing countries, and the international direct investment since 1990s The new development of investment theory is summarized, introduced and evaluated.
The two is the development of China's direct investment to the new four countries. First, it reviews the process of introducing capital in the new four countries, analyzes the distribution and industrial distribution of the source countries of countries introducing foreign direct investment. Secondly, it summarizes the development process and present situation of China's direct investment in the new four countries, and summarizes the characteristics of China's direct investment to the new four countries.
The three is the analysis of China's impetus to the direct investment of the new four countries. First, based on the macro strategy of the investment countries, the inevitability of China's direct investment to the new four countries is analyzed. Secondly, based on the comparative advantages of the multinational enterprises, the feasibility of China's direct investment to the new four countries is analyzed. The country has a favorable basis for the rapid development of the new four countries' direct investment, and finally, based on the investment environment of the host country, the regional advantages of China's direct investment in the new four countries are analyzed.
The four is the performance analysis of China's direct investment in the new four countries. Through the index selection, model construction, empirical test and result analysis, the trade effect of China's direct investment performance on the new four countries is focused on, and the investment performance of the old six countries in ASEAN is compared with China.
The five is the risk analysis of China's direct investment in the new four countries. From the three aspects of the host country's political risk, economic risk and business risk, the risk factors of China's direct investment in the new four countries are analyzed.
The six is the countermeasures and measures to promote the direct investment of Chinese enterprises to the new four countries. First, from the three aspects of strengthening policy guidance, strengthening policy service and deepening bilateral cooperation, we put forward specific suggestions on macro policy measures at the level of government. Secondly, from the target orientation, industry selection, entry mode and risk prevention in four aspects, the enterprise is further developed. Specific proposals were put forward to increase direct investment in the new four countries.
The innovative research of this paper is mainly embodied in three aspects:
First, research perspective innovation. So far, most of China's direct investment in China to ASEAN has been studied by the ten countries of ASEAN as a whole. In view of the great differences in the political system, economic development, social culture and other aspects of ASEAN countries, this article is based on the similarity of the economic development level of the new ASEAN countries and China in the history. The close relationship between geography, politics and economy, the relative advantages and geographical advantages of China's direct investment in the new four countries of ASEAN, and so on, put the new four countries in a subregion to study.
Second, we set up a framework for the factor analysis of foreign direct investment in the "investment country - the host country - bilateral relationship - enterprise", emphasizing the role of the sub factors such as the political mutual trust and bilateral economic relations in bilateral political relations, the foreign contracting projects and other sub factors on foreign direct investment. In the direct investment of high risk countries, bilateral economic relations are the basis of the foreign direct investment of Chinese enterprises, and bilateral political relations are the guarantee of the foreign direct investment of Chinese enterprises.
Third, through a comparative study of the direct investment performance of China to the new Four ASEAN countries and the old six countries, the direct investment of China to the two types of countries is a trade creation investment, and the creative effect on the import and export of the direct investment of the new four countries is higher than the direct investment to the old six countries.
This article mainly exists the following two shortcomings: first, the new four countries belong to the least developed countries, the level of information is low, the degree of attention to the world is not high, the literature is scarce and the collection of some research data is difficult, which greatly affects the in-depth analysis of some questions in this paper. Secondly, the text is limited to the length of this article. The typical cases of direct investment in the new four countries and the investment subjects in important areas (such as Yunnan, Guangxi) have not been further analyzed. The author will improve and improve it in the future research.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.6
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