中国外资准入壁垒的政策效应研究——兼议上海自由贸易区改革的政策红利  

Research on the Effect of Entry Barriers to Foreign Investment in China——Comments on the Effect of Establishing China (Shanghai) Pilot Free Trade Zone

作　　者：陈林[1] 罗莉娅[1] 

机构地区：[1]暨南大学产业经济研究院,邮政编码510632

出　　处：《经济研究》2014年第4期104-115,共12页Economic Research Journal

基　　金：国家自然科学基金青年项目(71203078);国家自然科学基金面上项目(71172225);国家自然科学基金重点项目(71333007);中国博士后科学基金面上项目(2013M530812)的阶段性研究成果;暨南大学中央高校基本科研业务费专项资金(12JNKY005);广东省普通高校人文社科重点研究基地项目(52702497)的资助

摘　　要：中国的《指导外商投资方向规定》和《外商投资产业指导目录》等行政审批制度对外资企业的FDI作出了严格规制。中共十八届三中全会提出要改革上述外资准入壁垒制度,并且随着上海自由贸易试验区的诞生,相关的体制改革已然开始。那么,具有国情特色的外资准入壁垒政策的主要效应是什么,而新一轮体制改革又可能获得什么成效?本文基于新贸易理论构建了一个动态博弈模型进行理论研究。结果表明:(1)设置一定程度的外资准入壁垒,是以社会福利最大化为目标的发展中国家政府的理性选择。(2)放松外资准入壁垒,建立并推广自由贸易区,可能会带来"(企业向消费者的)转移支付"、"扩大内需"、"价格平抑"以及"国产化"等积极的政策效应。(3)上海自由贸易区以"负面清单"模式保留少部分产业的准入规制措施,这种渐进改革具有较强的合理性。改革外资准入壁垒制度,应该可以带来积极的政策红利。In the last decades, laws about entry barriers to the FDI and multinational corporations have been set up in China, such as ＂ Regulations on Foreign Investment Direction＂ and ＂ Catalogue for the Guidance of Foreign Investment Industries＂. In 2013, the Third Plenary Session of the 18th CCP proposed to reform above system, and the related reforms are beginning with the birth of the China（Shanghai） Pilot Free Trade. What are the main effects of entry barriers to foreign investment in China？ What may be obtained in the next series of reforms？ To solve these questions, this paper does a theoretical research through building a dynamic game model by the new trade theory. The results show that： 1 ） Setting up entry barriers to foreign investment is a rational choice of developing country＇s government for maximizing social welfare; 2） Deregulation of entry barriers such as establishing free trade zone can bring a series of positive economic performance, such as transfer payments which are transferred from corporation to consumers ,expanding domestic demand, price suppression and expanding output of the domestic products; 3 ） China （Shanghai） Pilot Free Trade Zone conducts a ＂negative list＂ to retain a small part of entry barriers in the free trade zone, such progressive reform is strong rationality. In brief, the reforms of entry barriers to foreign investment may bring positive policy effects.

关 键 词：外资准入壁垒 上海自由贸易区 外商直接投资 关税政策 负面清单 

分 类 号：F832.6[经济管理—金融学] F752.8