论文标题:中国金融安全问题研究
A Study on the Problem of Financial Security in China
论文作者 陈松林
论文导师 杨名远,论文学位 博士,论文专业 农业经济管理
论文单位 华中农业大学,点击次数 94,论文页数 156页File Size11694k
2001-05-01论文网 http://www.lw23.com/lunwen_478118042/ 金融转型,金融安全,金融能量,安全度量指标体系,实时监测预警,立体监控模式
finance turns type,financial security,financial energy,security measurement indicators system,real time monitor with early warning system,stereoscopic supervision framework.
中国金融在“金融转型”(即传统金融—金融转型—新金融)过程中面临的安全环境较为严峻。本文研究目的是探讨并总结金融安全理论，通过建立中国金融安全实时监测预警系统，形成直感的安全结果与操作性较强的监控对策，从而有效地提高对金融安全的控制和监管效率，实现有效地监控中国金融安全，提高金融安全度，把金融风险控制在可能引致金融危机的临界状态以下，确保正常的金融功能和金融秩序。金融安全研究对宏观决策者提供科学的定性依据和量化支持，为微观经营者控制金融风险提供有效的参数，为金融监管者的监管提供有力地手段和控制框架具有重要的意义。 以邓小平理论作指导，汲取西方经济学一些理论与方法，紧密结合中国金融改革开放的实际，在深入调查和系统占有资料的基础上，运用实证研究与规范研究相结合的方法，揭示金融安全原理、因素、动力机制和管理规律；运用经济动力学、管理学及风险管理等理论的基本原理和神经网络、参数拟合、突变论及多维定位方法和手段，设计我国金融安全度量的指标体系、基本模型和实时监测预警系统；运用控制论、系统论、协同论理论与系统的、全球的、前瞻的观点，率先提出了“金融转型”动力理论及安全控制理论；运用功能监管与机构监管相结合的观点设计立体监管模式。 本研究从金融安全内涵、内在和外在的动力机制入手，把金融安全与金融危机、风险、突变、权变等纳入同一个系统框架中进行理论研究→针对中国金融安全实际问题展开分析→建立数据化平台，进行综合监测预警→完善金融安全监管模式，以有效地保障金融安全。本文围绕国家金融安全进行探索，其结构、内容及创新成果如下： 第一、二、三章探讨金融安全理论。主要是结合中国实际对金融安全原理、因素、机制进行理论研究。阐述了中国金融与国际金融的整合动力机制与途径，总结了金融安全原理，从而揭示金融安全活动管理规律。 第四、五章研讨金融安全面临的挑战与实际问题。针对加入WTO后中国金融面临激烈竞争和加速传统金融转变为新金融的实际，提出了金融转型是金融能量和金融结构的互动的结果的动力理论，并对我国金融系统的国际竞争力作了实证分析。中国金融安全实质是提高竞争力，提高竞争力的希望在人才，人力资源开发和应用是关键。金融转型中安全的控制应由金融机构转向金融功能的控制，并设计了方向、力度、时间三维立体控制方式。 第六、七、八章探索金融安全管理运作创新与对策。一是设计了国家金融安全度量的指标体系、使其涵盖量化、非量化和“准”量化三个层面的指标，建立了五大子系统、基本模型及其检验。二是本文融合多种方法进行关联性分析、不确定性推理、突变性分析等，建起了实时监测预警系统，经统计数据检验表明能够实时监测预警金融安全。三是在明确金融安全功能监管和机构互动式等监管理念与原则的基础上，监管模式将由二维平面转向三维立体，由此创建我国“三维五位功能型”金融安全立体监管框架，上述探索性研究为完善我国金融监管系统和可持续金融安全监管提供了新思路和对策。
Chinese finance is in the course of the finance turn type (traditional financial times - finance turn type -new financial times), the safety environment that financial security is faced with is stem. The research purpose is to make scientific financial safe theory. Through establishing Chinese financial a real time monitor with early warning system, form financial safe results and supervision countermeasures which have straight sense and strong operability, to realize really effective control and supervise financial safety, raise financial safe degree. Control financial risk below the critical state that may bring on financial crisis to ensure normal financial function and financial order. The research results offers science determine the nature basis and quantification support for macroscopic policymaker, offers effective parameter for microcosmic manager to control financial risks, offers strong means and control framework for the supervisors, it has important meaning.Guided with Deng Xiaopin theory, draw in contemporary western economic principles, touch tightly with the practice of Chinese finance reform and opening-up. Base on investigation deeply and occupancy the data, utilize positivism research & normative analysis method, Open out and analyze financial security principle, restriction factors, safety normative mechanisms and management law. Study creatively with economic dynamics, management and risk management theory etc basic principles and neural networks, parameter fitting and mutation, multidimensional location mathematic theory method and means, work out the indicators system of our national financial safety measurement, basic model and the real time early warning system.With cybernetics and systematic view, synergism and systematic, global and foreseeable viewpoint, make " finance turn type "dynamical theory and safety control theory, and with the viewpoint of the function with institution control and supervision, work out the stereoscopic control and supervise pattern of " three-dimensional & 5bits function type", make contribution for China control and supervision theory.The thought of the research proceeds with meaning of financial security internality and extrinsic dynamical mechanisms, bring into one and the same system framework of financial security with financial crisis, risks, mutation, tentatively etc to study theory. Aim at the practice problem of Chinese financial security in China to spread out analysis. Build up the data platform, carry through Synthesize monitor and early warning. Perfect financial security new supervision framework. Exteriorly safeguard financial security effectively. The dissertation encloses the national financial security problem to be explored. The research structure, content and originality measures are:The financial security theory is probed in chapter 1,2 and 3. Theory study mostly touch tightly with the practice of Chinese financial security principles, restriction factors, safety normative mechanisms. Explained Chinese finance to international finance conformity dynamical mechanism and rout. Summarized financial security principle scientifically. Open out Chinese financial security management law.The financial security is faced with challenge and practice problems are researched in chapter 4 and 5. Aim at the practice problem after China joins WTO. The finance will be faced with the competition severity. Thetradition finance turns faster into the new finance. Bring forward dynamics theory that finance turns type and development come from financial energy and financial structure the result of interaction. The safety control of turn type should turn direction by financial institutions to financial function control work out direction, intensity and time three-dimensions diorama supervisions system. Chinese financial security essential is advance competition strength. Advance competition strength depends on the talent, attract talent must have new mechanism, manpower resource application and the development is the key.Chinese financial se
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