外商直接投资与发展中国家利益的国际政治经济学分析
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摘要
本文借鉴了国际政治经济学的研究方法,从政治和经济两方面研究了外商直接投资对发展中国家利益的影响。本文首先回顾了中外学者对国家利益的研究,在此基础上界定了本文研究的国家利益包括政治利益和经济利益两个方面。接下来,依次考察了外商直接投资的现状、主要的外商直接投资理论和关于外商直接投资与发展中国家利益的理论和实证研究,并对相关理论和实证研究进行了评述。
在本文的主体部分,作者把与外商直接投资相关的利益主体分为三个：发达国家、跨国公司和发展中国家,它们的投资(引资)行为都会对发展中国家利益产生影响。在详细考察了各利益主体在投资(引资)中的策略选择和收益函数的基础之上,本文构建了一个政治经济博弈模型,从合作与冲突的角度分别考察了三个层次的博弈：发达国家——发展中国家,跨国公司——发展中国家,发展中国家——发展中国家。
在考察发达国家与发展中国家的博弈时,除分析了发达国家和发展中国家博弈的基本模型之外,还分析了发达国家主导下的国际制度安排和发达国家的对外投资政策对发展中国家利益的影响。在考察跨国公司与发展中国家的博弈时,除了分析了跨国公司与发展中国家博弈的基本模型之外,还分析了跨国公司的讨价还价能力、投资质量、投资类型、政治行为以及投资争端解决等对发展中国家利益的影响。在考察发展中国家之间的引资博弈时,分析了发展中国家的政治、经济合作与竞争对发展中国家利益的影响。
最后,本文采用了世界银行和中国国家统计局的最新数据,实证检验了FDI与发展中国家整体、FDI与中国经济增长之间的关系。
In this article, we adopt the perspective of International Political Economics to analyze the political and economic effects of foreign direct investment (FDI) on the national interest of developing countries.
First, we review the study of national interest and specify the definition we use in this article, which includes both economic and political interest. Second, we examine FDI worldwide, chief theories of FDI and empirical research concerning how FDI affects the interest of developing countries.
In the main body of this article we will establish a game model with three players: the developed country, the multi-national company and the developing country. Two of the three players are included in the game model each time, with the developing country as the constant. We examine the strategies of each player and define their income functions, with economic and political interest included.
In the following three chapters, we analyze the game between the developed country and the developing country, between the multi-national company and the developing country and between two developing countries separately. When analyzing the game between the developed country and the developing country, we examine how the international institutions and the foreign policy of the former affect the latter's national interest when attracting FDI. When analyzing the game between the multi-national company and the developing country, we examine how the former's bargaining power, investment qualities, investment types and political behaviors affect the latter's national interest. When analyzing the game between two developing countries, we examine how their cooperative and competitive behaviors concerning FDI affect each country's national interest.
In the last section we will empirically examine whether FDI leads to the economic development of developing countries.
在本文的主体部分,作者把与外商直接投资相关的利益主体分为三个：发达国家、跨国公司和发展中国家,它们的投资(引资)行为都会对发展中国家利益产生影响。在详细考察了各利益主体在投资(引资)中的策略选择和收益函数的基础之上,本文构建了一个政治经济博弈模型,从合作与冲突的角度分别考察了三个层次的博弈：发达国家——发展中国家,跨国公司——发展中国家,发展中国家——发展中国家。
在考察发达国家与发展中国家的博弈时,除分析了发达国家和发展中国家博弈的基本模型之外,还分析了发达国家主导下的国际制度安排和发达国家的对外投资政策对发展中国家利益的影响。在考察跨国公司与发展中国家的博弈时,除了分析了跨国公司与发展中国家博弈的基本模型之外,还分析了跨国公司的讨价还价能力、投资质量、投资类型、政治行为以及投资争端解决等对发展中国家利益的影响。在考察发展中国家之间的引资博弈时,分析了发展中国家的政治、经济合作与竞争对发展中国家利益的影响。
最后,本文采用了世界银行和中国国家统计局的最新数据,实证检验了FDI与发展中国家整体、FDI与中国经济增长之间的关系。
In this article, we adopt the perspective of International Political Economics to analyze the political and economic effects of foreign direct investment (FDI) on the national interest of developing countries.
First, we review the study of national interest and specify the definition we use in this article, which includes both economic and political interest. Second, we examine FDI worldwide, chief theories of FDI and empirical research concerning how FDI affects the interest of developing countries.
In the main body of this article we will establish a game model with three players: the developed country, the multi-national company and the developing country. Two of the three players are included in the game model each time, with the developing country as the constant. We examine the strategies of each player and define their income functions, with economic and political interest included.
In the following three chapters, we analyze the game between the developed country and the developing country, between the multi-national company and the developing country and between two developing countries separately. When analyzing the game between the developed country and the developing country, we examine how the international institutions and the foreign policy of the former affect the latter's national interest when attracting FDI. When analyzing the game between the multi-national company and the developing country, we examine how the former's bargaining power, investment qualities, investment types and political behaviors affect the latter's national interest. When analyzing the game between two developing countries, we examine how their cooperative and competitive behaviors concerning FDI affect each country's national interest.
In the last section we will empirically examine whether FDI leads to the economic development of developing countries.
引文
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②《斯德哥尔摩商会仲裁院仲裁规则》,来源：http://www.sccinstitute.com,斯德哥尔摩商会仲裁院网站。
③ UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
④ http://www.iccwbo.org/court/,国际商会国际仲裁院网站。
① UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
② UNCTAD, World Investment Report 1998,第140页。
③ UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
④ http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
①http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
②UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
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①《联合国国际贸易法委员会洲解规则》,来源：http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
②《联合国国际贸易法委员会仲裁规则(2010年修订)》,来源：http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
(?)UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
① Allee, T. & Peinhardt, C. Contingent Credibility:The Impact of Investment Treaty Violations on Foreign Direct Investment [J]. International Organization,2011,65(3):401-432.
①马来亚是马来西亚的前身,不包括新加坡、沙巴和砂拉越,马来西亚成立于1963年。
①根据World Bank Indicators整理而得。
②根据World Bank Indicators整理而得。
① Moosa, I.A. & Cardak, B.A. The determinants of foreign direct investment:An extreme bounds analysis [J]. Journal of Multinational Financial Management,2006,16:199-211.
② World Bank, World Development Indicators.
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③ http://money.163.com/10/0426/12/656P1UTK00253B0H.html
④ World Bank, World Development Indicators.
⑤ World Bank, World Development Indicators.
①张军,吴桂英,张吉鹏.中国省际物质资本存量估算：1952—2000[J].经济研究,2004,10：36.
①陈浪南,陈景煌.外商直接投资对中国经济增长影响的经验研究[J].世界经济,2002,6：25.
①数据来源：联合国贸易与发展会议(UNCTAD)数据库。
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①《联合国国际贸易法委员会洲解规则》,来源：http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
②《联合国国际贸易法委员会仲裁规则(2010年修订)》,来源：http://www.uncitral.org/uncitral/zh/index.html,联合国国际贸易法委员会网站。
(?)UNCTAD, Latest Developments in Investor-State Dispute Settlement,2010.3.
① Allee, T. & Peinhardt, C. Contingent Credibility:The Impact of Investment Treaty Violations on Foreign Direct Investment [J]. International Organization,2011,65(3):401-432.
①马来亚是马来西亚的前身,不包括新加坡、沙巴和砂拉越,马来西亚成立于1963年。
①根据World Bank Indicators整理而得。
②根据World Bank Indicators整理而得。
① Moosa, I.A. & Cardak, B.A. The determinants of foreign direct investment:An extreme bounds analysis [J]. Journal of Multinational Financial Management,2006,16:199-211.
② World Bank, World Development Indicators.
③黎史翔.IMF批准重分配额中国排老三[N].法制晚报,2010,12(18)：A15.
③ http://money.163.com/10/0426/12/656P1UTK00253B0H.html
④ World Bank, World Development Indicators.
⑤ World Bank, World Development Indicators.
①张军,吴桂英,张吉鹏.中国省际物质资本存量估算：1952—2000[J].经济研究,2004,10：36.
①陈浪南,陈景煌.外商直接投资对中国经济增长影响的经验研究[J].世界经济,2002,6：25.
①数据来源：联合国贸易与发展会议(UNCTAD)数据库。
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