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| 1 | 资本管制和资本项目自由化的国际新动向显示文摘自本轮全球金融危机爆发以来,国际社会与国际经济学界关于资本项目管制的态度发生了显著变化。部分新兴市场国家开始重新启用资本项目管制措施,甚至就连一直鼓吹资本项目自由化的IMF也改变了看法,认为资本项目管制应当成为成员国应对资本异常流动的一揽子工具之一。2011年9月,波士顿大学“帕迪管理资本流动长期发展工作组”(Pardee Task Forceon Managing Capital Flowsfor Long-run Development)举办了深入的学术讨论,形成的报告反映了国际经济学界关于资本项目管制的若干新观点。该工作组负责人凯文·P.加拉赫尔教授(Kevin P.Gallagher)授权《国际经济评论》陆续发表其研究成果。本期选译的四篇论文,比较全面地介绍了该工作组对当前资本项目管制问题必要性、有效性和发展方向的看法与建议。“促进稳定和发展的资本账户管理:一种新方法”(Capital Account Regulations for Stability and Development:A New Approach)是该工作组报告的观点汇总。“资本流动管理:亚洲新兴经济体近期的经验教训”(Managing Capital Flows:Lessons from the Recent Experiences of Emerging Asian Economies,)介绍了近年来东亚国家管理资本流动的实践。‘‘怎样规避资本管制以及为什么它们仍能有效”(How toEvade Capital Control and Why They Call Still Be Effective)梳理了规避资本项目管制的各种方法,并提出了如何应对这些方法的政策建议。“资本账户的国际监管”(International Regulation of the Capital Account)提出了创建一种对国际资本流动进行监管的国际管理体制的倡议。除了这四篇译文,本刊特邀中国社会科学院世界经济与政治研究所余永定研究员、张明副研究员对国际上对资本管制和资本项目自由化的研究新动向进行了梳理和评析。“加速推进资本项目自由化”似乎已经成为中国的既定政策。在此情况下,认真研究各国经验、了解国际经济学界对资本管制和资本项目自由化讨论的现状对于中国在推进资本项目自由化进程中少犯或不犯不必要的错误,具有重要理论和现实意义。希望本期所刊登的这组文章将能推动中国经济学家对中国资本管制和资本项目自由化问题进行更为深入的思考,对这一问题提出更为合理和切实可行的政策主张。 | 余永定 张明 | 2012 | 国际经济评论2012，，5： | 52 |
| 2 | Why are social network transactions important? Evidence based on the concentration of key suppliers and customers in China显示文摘Based on a new institutional economy framework,this study examines the formation and economic consequences of social networks(guanxi)from the perspective of key suppliers and customers in China.Results show that commercial activities which depend on networks are determined by the institutional environment.For example,companies that have lower accumulated social capital(less trust among people)and are subject to more government invention depend more on social network transactions than on the market.In addition,this study shows that network transactions can provide benefits to firms,especially in weak institutional environments.Networks can reduce transaction costs by reducing information asymmetry,i.e.,increased network dependence is associated with lower credit costs and lower advertising and sales costs.Networks can also reduce the effect of industry shocks,especially negative shocks,by creating a bonding mechanism.This study contributes to our understanding of social networks in emerging markets by providing evidence on network transactions with key suppliers and customers and their influence on firms'accounting behavior. | Xiang Kong | 2011 | China Journal of Accounting Research2011，，3： | 46 |
| 3 | 经济周期对企业投资影响的实证研究--基于投资现金流敏感性视角显示文摘一、引言在完美资本市场(Perfect capital market)中,企业与外部投资者具有同样的也即对称的信息。当企业选择一个净现值大于零的固定资产投资项目时,这样的项目在市场上可以得到外部投资者的融资。换言之,企业的内部资金与外部资金可以进行完全替代。而不完美资本市场中存在着信息不对称,企业往往得不到足够的外部融资,因而有些净现值大于零的项目也不能实施, | 应惟伟 | 2008 | 财政研究2008，24，5： | 19 |
| 4 | 阿房宫前殿遗址的考古勘探与发掘显示文摘The Epanggong Palace site of Qin period lies to the south of the Weihe River and to the west of the old Zaohe River course that extends 13 km west of Xi'an City. It stands opposite to the Qin capital Xianyang across the river. From October 2002 to December 2004, the Epanggong Palace Archaeological Team made a prospection on the anterior hall site,covering :350, 000 sq m, and revealed an area of 3, 000 sq m by trial and extensive excavations. The results include a rough understanding of the limits of the hall and the layout of its auxiliary buildings. It can be confirmed that the rammed earth foundations of the hall represents just the anterior hall of that of the Qin Epanggong Palace. What merits special notice is that there are no fire traces on the site of the anterior hall of the Qin Epanggong Palace, which forms a clear contrast to the archaeologically excavated Nos. 1-3 palaces in the Qin capital Xianyang that were destroyed by a great fire. Thus the excavations prove that the historically handed-down belief taking the Qin Epanggong Palace to have been fired by Xiang Yu is actually incorrect. There are no any building remains on the excavated hall foundations, which demonstrate that the anterior hall was not completed and that the Qin Epanggong Palace was destroyed not by fire。 | 李毓芳 孙福喜 王自力 张建锋 | 2005 | 考古学报2005，，2： | 17 |
| 5 | 资本主义与现代世界——沃勒斯坦的世界体系理论透视显示文摘一、历史体系作为研究的单元 1974年,沃勒斯坦的名著《现代世界体系》第一卷出版,标志着世界体系理论的诞生。沃勒斯坦称自己倡导的是“世界体系分析法”,没有使用世界体系理论的提法。他认为这项研究应包括两方面的内容,即关于现代世界体系演化的历史研究和关于其基本逻辑与结构的理论建设。他本人的研究重在历史,一系列富有创建性的观点只是散见于各篇论文之中,没有构筑出一个完整的理论体系,理论建设的工作留给了其他人去做。鉴于世界体系理论在社会科学领域的广泛影响和沃勒斯坦做出的巨大贡献,我们很有必要对他的思想作一总的把握。 | 赵自勇 | 1996 | 史学理论研究1996，，4： | 15 |
| 6 | Financialization of the Economy and Income Inequality in China显示文摘The income gap between the financial sector and other sectors has been widening since the mid-1990s. Why do financiers in China earn more than others? We analyze this issue against the background of financialization of the economy. The year 1993 was a watershed year, in which China began the process of rapid financialization. Since 1993, the financial sector has become increasingly powerful, overshadowing other sectors. Evidence shows that the high income levels that exist in the financial sector are related to this process of financialization in China. Financialization influences income distribution in China through two channels: money issuance and liquidation of social capital. The labor market equilibrium of the financial sector and wage level determination are not naturally formed but constructed. The increasing income inequality between the financial sector and other sectors is a consequence of financialization of the economy in China. | YU LUO FRANK ZHU | 2014 | Economic and Political Studies2014，2，2： | 14 |
| 7 | 企业家人力资本与民营中小企业绩效关系实证研究显示文摘企业家的人力资本对企业绩效产生重要影响,企业家的人力资本要素是解释企业绩效差异性的一个至关重要的变量。通过对山东省393家民营中小企业的实证数据对理论假设进行检验,表明企业家创业后参加的管理和技术培训、公正严谨性、思维开放性、自我效能感、企业家关系能力与企业创新成长绩效和经营成长绩效正相关。 | 张瑾 吕冠珠 | 2010 | 山东大学学报(哲学社会科学版)2010，，4： | 9 |
| 8 | The Belt and Road Initiative in China's Emerging Grand Strategy of Connective Leadership显示文摘As Chinese leaders endeavor to maintain the international environment aligned withtheir strategic aim of realizing the "'dream of national rejuvenation, "' the remarkableincrease in China "s capabilities, coupled with uncertainty in the global economy and theambivalent attitude of the USA toward the international order, poses fresh challenges toBeijing's foreign policy. The present paper argues that a lexicographic preference for themitigation of the risk of pushback against China's core interests underpins the Belt andRoad Initiative. Pursuing a strategy of credible reassurance commensurate to the shift inthe distribution of power in China's neighborhood and globally, President Xi Jinping'sadministration has been cultivating a form of connective leadership that commits Chinato the encapsulation of the Belt and Road Initiative for transregional connectivity intoits own national development strategy, generating an octroye, non-hegemonic, type ofinternational social capital and integrating the existing order without corroborating theposition of its founder. | Giovanni B. Andornino | 2017 | China & World Economy2017，25，5： | 9 |
| 9 | 新自由主义的警钟:资本主义的空想与现实显示文摘法国非马克思主义的经济学家托马斯·皮凯蒂,写了一本新书《21世纪资本论》,震撼了陷于大衰退中六年至今难以自拔的西方世界。他批评的新古典经济学理论,正是中国新自由主义经济学家鼓吹经济自由化,反对中国独立自主的产业政策,主张放弃中国道路转向美英模式的主要理论依据。所以,他对西方经济学的反思,间接涉及中国国内关于坚持中国道路还是仿效美英模式的争论以及中国深化改革的方向,值得人们认真思考。 | 陈平 | 2014 | 红旗文稿2014，，12： | 9 |
| 10 | Human Capital Structure and Economic Growth:From the Perspective of New Structural Economics显示文摘The Chinese economy has achieved remarkable development over the past 40 years of reform and opening-up.However,with the narrowing of potential for efficiency improvement from resources reallocation and changes in population age structure,the Chinese economy has moved from high-speed growth to high-quality development.In this setting,understanding factor endowment and comparative advantages of the economy from a perspective of human capital structure so as to enhance industrial structure adaptability by riding the trend is of significance for cultivating new driving force for economic development.This paper,following a theoretical paradigm of new structural economics,demonstrates how human capital structure matches industrial structure and the presence of optimal human capital structure using mathematical deduction.On this basis,national level panel data and instrumental variables are adopted for generalized method of moments,the results of which shows that there are varied impacts on economic growth in light of different human capital structure characteristics.The proportions of high-level human capital and medium-level human capital boost economic development,while that of low-level human capital has an inhibitory effect on economic growth.The policy implication of this study is that large economies should diversify efforts as per different human capital structure characteristics in terms of development need of tapping growth impetus from human capital structure improvement.It is of equal importance to raise the proportion of high and medium human capital in order to stimulate economic growth and to cut the proportion of low human capital that hinders economic development. | 冯珺 李明锋 | 2019 | China Economist2019，14，6： | 8 |
| 11 | Game theory approach to optimal capital cost allocation in pollution control显示文摘GametheoryapproachtooptimalcapitalcostalocationinpolutioncontrolChenWenyingInstituteofNuclearEnergyTechnology,TsinghuaUniver... | Chen Wen ying Institute of Nuclear Energy Technology, Tsinghua University, Beijing 100084,China Hou Dun Urban Water Resources Center, Ministry of Construction, Beijing 100007,China | 1998 | Journal of Environmental Sciences1998，10，2： | 8 |
| 12 | 企业兼并整合管理的实证研究及启示——评GECapital成功的兼并整合管理显示文摘企业兼并尽管是企业扩张的有效途径 ,但在实践中有很高的失败率 ,其中很重要的原因是整合管理的失败。本文通过揭示GECapital成功整合管理的四大原则 ,从战略准备、专人负责、文化融合和计划调整四个方面提出了未来我国企业兼并整合管理可供操作的建议。 | 徐学民 汪涛 徐金发 | 2000 | 中国软科学2000，，3： | 8 |
| 13 | 物流业重组与整合初探显示文摘2004年以来,物流市场风起云涌。国际上,各大跨国公司加大了资产重组和对外并购的力度。UPS以1.5亿美元的现金及承担约1.1亿美元债务的形式,收购CNF公司旗下的万络全球货运代理公司,并全数收购其在日本的美日合资公司UPS大和速递。TNT集团以2.57亿欧元收购Nordic Capital投资公司旗下的全球货运公司Wilson物流集团。DHL出资1.22亿美元,控股印度最大的国内快递公司蓝标快递。 | 秦薇薇 徐杰 | 2006 | 中国储运2006，，1： | 7 |
| 14 | 监管资本套利动因及对银行的影响分析——兼论对我国银行业资本监管和管理的启示显示文摘 | 徐宝林 刘百花 | 2006 | 中国金融2006，，5： | 7 |
| 15 | Nonlinear Capital Flow Tax: Capital Flow Management and Financial Crisis Prevention in China显示文摘How to promote capital account liberalization while preventing financial crises is a challenging task for policymakers. This study proposes a nonlinear (progressive) capital flow tax as a solution. We first demonstrate that the collateral requirement of international borrowing can give rise to multiple equilibria and self-fulfilling financial crises. We then show that the crisis equilibrium characterized by large exchange rate depreciation, capital flight and welfare loss can be eliminated by imposing a nonlinear (progressive) tax scheme on capital outflows with the marginal tax rate increasing with the size of individual capital outflows. The implementation of such a tax scheme in China is also discussed. | Jiandong Ju Li Li Guangyu Nie Kang Shi Shang-Jin Wei | 2019 | China & World Economy2019，27，4： | 6 |
| 16 | 保险公司经济资本管理的现实定位与发展趋势显示文摘一、经济资本的内涵诠释 经济资本(Economic Capital,EC)正日益成为金融机构度量风险与资本管理的核心内容,不少行业协会(如SOA,GARP),金融企业,咨询服务机构(如PWC,KPMG),监管当局(如NAIC)和评级机构(如标准普尔)都对此进行了较为深入的研究,而不少跨国金融集团(如花旗集团)和国际知名银行(如加拿大蒙特利尔银行(Bank of Montreal)和美洲银行(Bank of America)等)更是将经济资本的理念部分或全部运用于自身的业务发展,这些都极大地从理论和实践角度丰富了经济资本的内涵。以下将就经济资本的内涵做一诠释。 | 吴坚隽 | 2005 | 上海保险2005，，10： | 6 |
| 17 | 我国风险投资退出的实证研究显示文摘风险投资(Venture Capital,VC)起源于20世纪40年代的美国,它在美国新经济神话的创造中发挥了巨大的推波助澜的作用。90%的美国高科技企业是利用风险资本发展起来的,这些行业的兴起促使美国经济形成一种资本与技术、创业家精神和管理完善结合的新型经济模式。 | 金永红 王颖 | 2008 | 投资研究2008，27，4： | 5 |
| 18 | 我国创业投资的税收激励政策研究显示文摘一、我国创业投资的现行税收政策
创业投资(Venture Capital,国内也译为风险投资)是指向未成熟的创业企业所进行的股权投资,其投资的主要对象是具有成长潜力的高科技企业。我国目前科技成果的积压率达到80%(丛树海,2008)。 | 申嫦娥 | 2010 | 财政研究2010，26，11： | 5 |
| 19 | 论双层股权结构的法律构造——以股东自治为视角显示文摘—、引言法律制度供给是根据社会需求的变化而变化的,没有亘古不变的静止,也没有永恒的法律,法律总是随着社会需求的变动而发生相应变化。当下,公司契约论成为公司权力配置的主导型理论,而与之相适宜的双层股权结构模式(a dual-class capital structure)也正成为公司治理改革的重要践行需求。 | 盛学军 唐军 | 2018 | 经济法论坛2018，，2： | 5 |
| 20 | Financial development and the cost of equity capital:Evidence from China显示文摘This study examines the relation between province-level financial development and the cost of equity in China.Our main findings are that(1)stock market development reduces the cost of equity in general,but the effect diminishes significantly in state-owned enterprises(SOEs)and firms with high growth potential or innovation intensity and(2)banking development only marginally lowers the cost of equity,but the effect is stronger in non-SOEs.Further analysis reveals that stock market development substitutes for such institutional factors as accounting quality,law enforcement,stock market integration and the split-share structure reform in lowering the cost of equity.We also find that lack of banking competition and banking marketization and under-development of the non-state economy partially account for the weak effect of banking development on the cost of equity. | Jeong-Bon Kim Mary L.Z.Ma Haiping Wang | 2015 | China Journal of Accounting Research2015，，4： | 5 |
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