低碳经济框架下碳金融体系运行的机制设计与制度安排

发布时间：2018-02-08 13:10

本文关键词： 低碳经济碳金融机制设计制度安排配套政策　出处：《吉林大学》2013年博士论文　论文类型：学位论文

【摘要】：二十一世纪是追求全面可持续发展的新时代。当今社会，全球气候变暖的问题已经取得了人们前所未有的关注，关于如何发展低碳经济已引起了全社会的广泛重视，《联合国气候变化框架条约》和《京都议定书》等协议的颁布表明全世界已经开始将对环境问题的关注付诸于实际行动。中国目前仍然以粗放型的经济增长方式为主，传统能源在中国发展经济过程中占据能源消耗的80%以上，高耗能、高放排、高污染、低效率的情况使中国经济的可持续发展面临严峻的挑战。因此，换一种视角审视中国的经济运行方式，探索适合中国低碳经济的推进架构已迫在眉睫。从国际来看，气候变化的长期挑战与金融危机的短期挑战是人类发展面临的重要问题，前者要求世界经济发展模式向低碳转型；后者要求对失衡的国际金融体系进行改革，而碳金融体系是应对以上两大挑战的最佳结合点。经济决定金融，低碳经济发展所导致的产业结构、经济结构调整，以及经济发展模式、消费模式乃至生活模式的变革，必然会导致国际金融业发生结构性革命，由传统金融走向碳金融，以适应低碳经济的发展。本文试图站在兼顾历史与现实的全新视角上，对低碳经济下的金融业制度与机制进行理论与实证分析，探寻低碳金融发展的规律性，探讨金融创新与低碳经济的互动机理。第一部分：碳金融支撑低碳经济发展的理论研究本部分在对国内外学术界关于低碳经济学理论、金融支撑理论、环境资源价值理论、制度经济学理论、公共管理理论等经济学理论进行梳理的基础上，进行深入研究，充分借鉴其有用价值，为研究中国碳金融的机制设计与制度安排奠定理论基础。第二部分：国内外碳金融发展的经验与启示本部分选取发达国家中的美国、日本、欧盟，以及发展中国家碳金融发展较快国家的代表—印度和中国，作为考察对象，清晰梳理这些国家碳金融发展的现状，进而总结其先进经验并进行充分借鉴，以从中获得启示。第三部分：碳金融体系运行的机制设计碳金融体系的运行机制主要包含银行业、保险业、证券业、碳交易市场四个方面。关于银行业，本部分深入研究了碳金融在商业银行中的实践以及发展动态，对碳信贷原则下中国银行业的运行机制进行设计。关于保险业，本文认为其本身就是一个低碳产业，碳保险是保险业提供的低碳产品，其运行机制包括内部机制、外部机制和发展评价指标体系。关于证券业，本部分在通过与发达国家证券业资本市场结构进行对比分析的基础之上，提出中国碳金融体系中证券业资本市场的各个层次应如何重塑以支持低碳经济的发展。关于碳交易市场运行机制，本部分通过研究碳交易市场的交易项目、对象与基本特征，结合中国碳金融市场的实际现状，从市场交易机制、碳金融衍生产品等层面为碳金融体系中的碳交易市场运行机制的设计提供建议。第四部分：碳金融体系运行的制度安排本部分具体讨论了货币制度安排和金融监管变革两方面内容。通过比较分析各种货币政策工具对经济发展的不同传导机理，在结合当前碳金融发展需要的基础上，研究了中国支持低碳经济发展的金融政策选择。同时，运用制度经济学理论，分析了不同的金融监管体制，探索适合中国碳金融监管的模式。第五部分：碳金融体系运行的经济效应分析本部分采用实证分析的方法研究了碳金融体系实施的产业结构调整效应、经济协同效应，并进一步分析了碳金融实施对经济主体行为目标选择的影响。第六部分：碳金融实施的配套政策研究本部分采用规范分析的方法研究了支持碳金融发展的相关财政政策与产业政策，为碳金融配套政策的制定提供科学依据和数据支持。
[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.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F832.1;F205

【参考文献】