上海自贸试验区建设及制度创新研究  

A Study on Construction and Institutional Innovation of SHFTZ

作　　者：王丹[1] 

机构地区：[1]上海财经大学自贸区研究院

出　　处：《城市观察》2015年第4期15-27,共13页Urban Insight

基　　金：国家社科基金青年项目"转型背景下中国企业集团成长模式研究"(批准号11CGL049);上海市社科基金青年项目"转型背景下上海大型制造企业服务化的路径和措施研究"(批准号2010EJB009);上海市政府决策咨询研究重点课题--自贸区专题"上海自贸试验区已推出政策梳理及效果评估"(编号2015-A-33)资助

摘　　要：中国(上海)自由贸易试验区是我国对标国际高标准贸易规则、深化改革和扩大开放的重大战略举措。经过一年多的探索实践,以负面清单为核心的投资管理制度已经建立,以贸易便利化为重点的贸易监管制度平稳运行,以资本项目可兑换和金融服务业开放为目标的金融创新制度基本确立,以政府职能转变为导向的事中事后监管制度基本形成。在建立与国际投资贸易通行规则相衔接的基本制度框架上,取得了重要的阶段性成果。同时,上海自贸区按照建设具有国际水准、开放度高的自由贸易园区的目标,在政府职能转变、投资管理创新、贸易便利化等方面改革试点经验已经开始在全国复制推广。但上海自贸区在探索深化改革和扩大开放过程中遇到的问题也是层出不穷,为了将问题具体化,本文针对上海自贸区"加快职能转变"中遇到的问题和挑战展开,并据此提出发展建议。China （Shanghai） to catch up to the high standard ing up. After the exploration for Pilot Free-Trade Zone （SHFFZ） is the major strategic measure of international trade rules, deepen reforms and expand openmore than a year, the investment management system with the negative list as the core has been set up, the trade supervision system with trade facilitation as the focus has been running smoothly, the financial innovation system with capital account convertibility and liberalization of financial services as the goal has been basically established, and the supervision system with transformation of government functions as the orientation has been basically formed. On the establishment of basic institutional framework connected with com- mon rules of international trade and investment, we have achieved significant initial results. Meanwhile, SHFTZ has begun to replicate and promote the experiences of pilot reforms across the country in terms of the transformation of government functions, investment management innovation and trade facilitation in accordance with the target of constructing a free trade area of international standard and high degree of openness. However, SHFTZ has encountered endless problems in the exploration process of deepening reforms and expanding opening up. In order to substantiate the problems, this paper examines the obstacles and challenges occurred in SHFTZ＇ s initiative of ＂speeding up the transformation of government functions＂, and suggestions for development are put forward accordingly.

关 键 词：上海自贸试验区 制度创新 政府职能转变 

分 类 号：F752.8[经济管理—国际贸易]