金砖国家科技创新金融支持体系研究

发布时间：2018-04-14 06:41

本文选题：金砖国家 + 科技创新　；参考：《东北财经大学》2014年博士论文

【摘要】：金砖国家因在21世纪前十年的优异表现而成为全球新兴经济体中的典型代表,也成为拉动世界经济的引擎。然而近年来,金砖国家经济增速下滑、整体表现不尽如人意,究其原因,除了世界经济复苏艰难、外部环境不佳之外,主要还是自身增长潜力的局限性、经济结构的严重不合理性,以及随之而来的内在经济脆弱性和非稳定性。目前,通过发展创新经济、尽快转变经济增长方式,已经成为金砖国家保持稳健增长的重要途径。而金融资本在创新技术的产生、成长和壮大,并最终形成主导范式推动经济增长的过程中,始终发挥着重要作用。可以说,科技创新依靠稳定持续的金融供给,而一个有效的金融体系能够聚集资金并且将其配置到最有竞力的主体中去。金砖国家政府在大力支持科技创新发展的过程中,已经初步形成了以政府作用为主导其他金融部门为补充的科技创新金融支持体系,依靠不断加大财政资金投入和加强金融政策扶持来弥补科技创新资金供给的“麦克米伦缺欠”。然而,过度的政府干预往往抑制了市场的自发调节作用,金融体系对科技创新支持的实际效果并不理想。因此,研究金砖国家科技创新金融支持体系不仅能够对金砖国家以金融手段支持科技创新的作用与效果得出初步结论,而且可以进一步分析影响金砖国家科技创新金融支持体系的因素,从而为中国科技创新金融支持体系的优化提供镜鉴与政策参考,同时也为其他发展中国家以金融手段促进科技创新,进而实现内生性增长提供理论依据。全文共六章,具体结构安排如下：第一章为绪论。主要阐述本文的研究背景、研究意义,并且在梳理和评述国内外有关金融支持科技创新的相关研究基础上,提出本文的思路与内容。第二章为金融体系对科技创新支持的作用机理。首先,分析了由于科技创新的基本属性决定了政府对其实施金融支持的必要性,进而探讨了在发展中国家金融支持科技创新的过程中可能存在的金融抑制等问题。最后,论述了高效完善的科技创新金融支持体系内不同供给主体对科技创新的支持作用。第三章为金砖国家科技创新金融支持体系的演进与特征。首先对金砖国家科技及金融支持科技的历史背景进行了简要回顾；其次,从政府、金融中介、创业风险投资及多层次资本市场四个供给主体的层面,对金砖五国科技创新金融支持体系的特征进行详细地梳理与总结。第四章为金砖国家科技创新金融支持体系比较。首先,从金砖国家科技创新金融支持体系的政府层面,比较了政府支持科技创新的作用、强度、实施手段及方法；其次,对科技创新金融支持体系内供给主体和需求主体的主要结构、参与程度及能力与作用进行比较；之后,对金砖国家金融支持科技创新的效果进行比较；最后,在横向与纵向比较结果的基础上归纳出金砖国家科技创新金融支持体系存在的问题。第五章为优化中国科技创新金融支持体系的对策建议。在前文理论和经验分析的基础上,本章首先提出了优化中国科技创新金融支持体系的思路、结构与原则；然后,针对科技创新金融支持体系内的各个供给主体的现状,提出具体的政策建议。第六章为结论。本章对全文的主要结论和重要观点进行了归纳总结。本文创新性集中体现在研究视角与研究对象两个方面。一是研究视角。已有研究单方面讨论高科技企业的需求,往往难以确定何种金融部门更有利于促进科技企业发展。本文从金融市场上需求主体的特性和供给主体的作用两方面入手,探讨市场机制下科技企业在不同生命周期的金融需求以及不同金融部门在动员储蓄、分散风险和配置资金方面的作用机制与方式的利弊,为发现供给主体与需求主体结合的最优路径奠定基础。二是研究对象。已有研究大多以发达国家或地区为研究主体,尽管近年来针对部分金砖国家具体部门支持科技创新的作用与效果的相关研究也不断出现,但将金砖国家作为一个整体来研究的却较为鲜见。本文以金砖五国为研究对象,不仅可以使中国在科技创新金融支持体系的优化与完善过程中获得重要的镜鉴与启示,还可以得出一个比较具有一般性的发展中国家以金融手段支持科技创新的经验与理论概括。由于本人在基础理论知识及科研能力方面的局限,论文的写作尚存在一些遗憾和不足,归纳在以下几个方面。第一,缺少定量分析的支持与检验。由于受限于金砖国家企业微观数据的可得性,论文的研究缺少对金砖国家金融支持体系效果的实证检验。第二,缺乏更为深入全面的理论分析。研究发展中国家的金融支持科技创新涉及宏观、微观经济学、金融学、管理学、马克思主义政治经济学等多学科理论,科技创新金融支持体系亦是一个系统化、复杂化的研究领域,本文的研究内容只是在前人研究的基础上,进行了一般性的、概括性的论述,一些观点与见解尚显朴素与稚嫩。
[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 .

【学位授予单位】：东北财经大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F831.2;F204

【参考文献】