本論文主要由三大研究主題組合而成：第一個主題是依照中國金融體系的現況，針對國有銀行、政策性銀行、股份制商業銀行及城市商業銀行等四種不同類型銀行的獲利績效進行比較實證研究。其中的股份制商銀與城市銀行，其資本組成除少數仍有國務院持股（即中央政府持股）外，股東成員擴及地方政府、國有企業及民間企業，股本結構明顯較國有商業銀行及政策銀行多元化。不同的股本結構，尤其是官股比例（政府持股比例）是否對各家銀行的獲利能力產生影響，是本文主要研究興趣所在。本文採用Bankscope資料庫，涵蓋1997至2004年中國大陸49家銀行的財務及股東資料。結果發現：銀行股權結構中，中央政府持股比例越高，銀行獲利表現越差，地方政府持股的影響則較不明顯；而四類銀行中，股份制商銀與城市商銀的表現遠優於國有銀行及政策銀行。但1999年以後中國國有銀行的財務整頓措施的確使得國有銀行的相對表現有所提升。 鑑於外商銀行大舉進入中國金融市場，勢必對中國銀行帶來更多的競爭壓力，本論文第二個研究主題進一步將研究範圍擴及至世界資產排名前一百大的銀行，企圖比較中國銀行與世界百大銀行經營績效的差異。在這個主題中，延續前一主題「股權結構」的重要性，除了官股比例，同時考慮外資持股及本國人持股，分析三類持股對績效的影響，又鑑於總體面的政府治理因素可能對股權與銀行績效的關係產生變化，本研究也將政府治理變數，包括文獻中經常提到的證券市場內線交易情況、政府政策透明度及政府貪污情況等因素納入考量，比較這些因素對中國銀行與百大銀行影響有何差異。實證結果如下：對中國銀行及世界百大銀行而言，政府持股對銀行獲利的影響是負向的，而外資持股的影響則恰相反，開放程度愈高、銀行自由度愈高越有利於銀行績效提升。中國政府越無貪污情況時，越有助於外資持股對銀行績效的正向影響。對世界百大銀行而言，政府越無貪污情況時，越有助於外資持股對銀行績效的正向影響。而政府政策透明度越高，越有助於政府持股與本國人持股的正向影響。 第三個主題探討我國上市櫃公司不同的對外與大陸投資決策對母公司獲利性的影響。本文將投資決策對公司獲利的影響視為內生，也就是投資決策受公司特性因素的影響。同時，我們進一步假設公司的投資決策是分兩階段完成，第一步會先決定是否進行海外投資，一旦確定後，再決定是否赴大陸投資。因為有兩層的投資決策，本文以延伸的Heckman’s Two Stage Method進行估計。 實證結果顯示，在投資決策的影響因素方面，對第一層赴海外投資而言，規模愈大、國際化程度愈高、愈勞力密集的公司愈傾向赴海外投資；對第二層赴大陸投資的決策，影響因素也類似，只是公司規模不再是重要影響因素。至於獲利的影響因素方面，第一類「赴大陸投資的公司」與第二類「未赴大陸但赴其他國家投資的公司」的利潤型態較類似，長期負債對獲利都有負向顯著影響，總資產也傾向負向影響，至於第三類「未從事任何海外與大陸投資公司」的利潤型態則與前兩類不同，總資產與研發支出都呈現顯著負向影響。而三類公司的績效比較部分，第一類公司的平均預期資產報酬率雖若高於第二類，第二類公司又高於第三類公司，但三類公司兩兩之間平均預期資產報酬率的差距並未達統計上的顯著性。 / This dissertation contains three main parts. The first part studies the effects of government owned share on Chinese banks’ performance. After a series of financial reforms in the 1990s, joint stock commercial banks and city commercial banks started to boom and play an increasingly important role in China’s banking industry which had previously been monopolized by four state-owned commercial banks. These two new bank-types are considerably more diversified in that the primary shareholders include the central government, local governments, state-owned enterprises and private enterprises, not just the central government. Using 49 Chinese banks’ financial data retrieved from Bankscope, this part examines the effect of different ownership structures, in general, and government-owned-shares, central vs. local, in particular, affect the profitability and risk of banks in China. It also compares the profitability of four types of banks, namely state-owned banks, policy banks, joint-stock commercial banks and city commercial banks. We conclude that, without equivocation, the higher the ratio of state-owned shares is, the worse is the profitability of the bank. And we also note the profitability of joint-stock commercial banks and city commercial banks is much better than that of state-owned and policy banks. In light of the ever-growing foreign competition facing Chinese banking industry, the second part expands the sample banks to World’s top 100 banks and studies the differences between Chinese banks and foreign banks from the respects of ownership structure, government governance and bank regulations. Our empirical results reveal that for both Chinese banks and top 100 banks, government owned share has a negative effect on banks’ profitability, while foreign owned share has an opposite effect. For both of them, the more the foreign institutions have access to the banking market and the more freedom the banking industry enjoys, the better the bank performs. For Chinese banks, lesser corruption helps strengthen foreign share’s positive effect on banks’ performance. Furthermore, higher transparency would increase the positive effect of government owned share and domestic owned share. The third part studies the profitability of Taiwan’s listed companies with and without investment in China. Unlike past studies which deal with the decision of investment in overseas and China as exogenous, the decision is endogenous in this paper. That is, the decision making is based on the firm’s characteristic factors. We further assume that there are two hierarchy decisions made by firms when they decide in investing in overseas and China. The first decision is whether it should invest overseas. Once the first decision is made, the next one is whether a firm should invest in China. This two decision model, which allows us to extend Heckman’s two-step method, is referred to as an extended-Heckman method in this paper. Our empirical results regarding the determinants of investing overseas and China are as follows. With respect to the investment in overseas, firm size and export ratio show positive influence on the decision of investment, while capital labor ratio shows negative effect. Next, with respect to the investment in China, determinants are similar except that firm size is no longer significant. Our results regarding the profit performance reveal that for ‘the firms with investment in China’ and ‘the firms without investing in China, only investing other countries’, long term liability ratio has a significantly negative impact on profitability, whereas total asset, R&D expenditure show a negative effect on profitability for ‘the firms without investing overseas, nor investing in China’. As for the performance comparison among firms of these three investment types, the differences are insignificant. This result implies that there are still considerable individual differences among the firms of the same investment type.

本研究的目的是探討大陸網路媒體如何建構知識產權，而此一建構又對人構成什麼樣的張力，並由此進一步反思知識經濟時代下的身體政治學。研究途徑是文化研究，並利用論述理論進行分析。 著作權、專利權、商標權是知識產權三大主要內涵，本研究選擇了王同億現象作為著作權的案例；漢芯晶片造假事件作為專利權的案例；爽歪歪爭議事件作為商標權的案例，經由解構上述案例的網路文本，以見建構它們、評價它們價值的論述立場為何。 而這些論述立場，可分為由黨國體制主導的主流立場與作為他者的非主立場。主流立場是由黨國主導，包括了追求黨國為公、民族先進、經濟規範、知識創新等論述，它是一套中國知識經濟追趕戰略；非主流立場則是相對於主流立場的黨國貪腐、民族落後、經濟無序、知識造假等論述。在國家介入，以及知識經濟與網路媒體促使資訊快速流通、議題快速汰換等因素作用下，這兩個立場是討論知識產權事件的限制性框架。 知識產權與網路審查是國家機器為適應知識經濟潮流的自我調適，並利用它們將知識創意活動侷限在以經濟發展、民族主義為目標等無關黨國體制的範疇上，以免創意活動危及黨國。國家機器利用掌握知識產權的法律力量與網路媒體的宣傳力量，吸引與主導了主流立場的結盟。在威權政治透過法律與宣傳加緊催化下，主流立場加緊活動，同時也就激發了非主流立場的反作用力，正反勢力互相拉抬、互相證成以致知識經濟時代下大陸的文化圖像呈現出威權政治引導下的眾聲喧嘩之景。 在此眾聲喧嘩下產生的知識產權生產活動，或相應而生的偽劣假冒活動，均會被收編，以有助國家主導的主流價值再生產。基於民族國家和公民身體的辯證統一的現代國家權力形態，以及知識經濟代表意識為身體服務的邏輯，主流價值的再生產亦即身體得到照顧與伸展。雖然威權體制致國家較身體享有更大能動性，但在威權體制集中施力的情況下，也將驅動主流、非主流雙方互動更形熱烈，提高了人遊走在從屬性、能動性、與解放性的機會與速率。因此，知識經濟的環境，創造了一個國家與身體在知識產權論述中介下，緊密鑲嵌，相依並存的關係。而知識經濟下的身體政治學，是國家提取身體力量之學，也是國家滿足身體須要之學，也是身體在從屬中取得能動性與解放之學。 / The aim of the dissertation is to discuss how online media of Mainland China construct intellectual property, and what kind of tension does the construction set up to human being. Furthermore, I can introspect body politics in time of knowledge economy. I use cultural studies as methodology and analyses by discourse theory. Copyrights, patent rights and trademark rights are three mainly components of intellectual property. The dissertation selected the phenomena of tong-yi wang as case of copyrights, hanxin fake event as case of patent rights, and shuang wai wai as case of trademark rights. I construct and evaluate their value of discourse position by way of deconstruct cybertext of the three cases. The discourse positions can be divided mainstream position dominated by party-state system and the position of non-mainstream as the other. Mainstream position means dominated by party-state. The discourses contain pursuit of whole interests of party-state, advancement of nation, norms of economy and innovation of knowledge. It’s a catch-up strategy of knowledge economy of Mainland China. The discourses of non-mainstream position, as opposite of mainstream,contain party-state corruption, failure of nation, disorder of economy and fake of knowledge. The two positions are limited frameworks in discussing events of intellectual property because of the interactions of factors such as state intervention, rapid flow information by knowledge economy and online media, rapid issue update, etc. Intellectual property and cyber examination is self adjustment of state mechanism for the purpose of adaptation of knowledge economy. Activities of knowledge innovation should be limited in economic development and nationalism that without any connection of category of party-state system. So the activities of innovation won’t be hazardous to party-state. State mechanism used the legal power of controlling intellectual property and propaganda of cyber media and attracted and dominated the alliance of mainstream position. Mainstream position accelerated activities under catalysis of law and propaganda in authoritarian regime. And it stimulated the power of counter-operation of non-mainstream position. The mutual promotion and mutual confirm lead to phenomena of heteroglossia that constructing cultural image of time of knowledge economy in Mainland China. The production activities of intellectual property under heteroglossia, or the fake and copy activities accompany with them will be all recruited and helpful reproduction of main value that dominated by state. Based on the form of state power of dialection and unification of nation state and civil body, and the logic of consciousness served for body, the reproduction of main value means the body can be took after and extension. Although state owns greater autonomous than body under authoritarian regime, but under the condition of concentration of power of authoritarian regime, the interaction of mainstream and non-mainstream will be more frequent. This will promote the opportunity and rapidity of belonging, autonomous and emancipation of human being. So it will create a relationship of mutually embedded and existence under discourse of intellectual property of state and body. Body politics under knowledge economy is a discipline of state’s extracting body strength, a discipline of state’s satisfaction of body requirement, a discipline of body’s acquiring autonomy and emancipation under subordination also.

學年度：90 學期：2 校院：國立政治大學 系所：經營管理碩士學程 論文名稱：從兩岸入世論臺灣承銷商的發展契機 學位類別：碩士 研究生：陳慶洪 指導教授：杜化宇 關鍵詞：中國大陸、證券承銷、證券承銷商、發行人、配售方式、詢價圈購、公開申購、競價拍賣、世界貿易組織 中文摘要： 隨著中國大陸經濟的蓬勃發展，股票市場也在這個變動的社會中應運而生。股票市場做為溝通資金供需雙方的重要渠道，是傳統資本主義社會的重要表徵，最早發軔於西歐，臺灣和中國大陸也陸續引進這種商業型態的制度。隨著兩岸分別加入世界貿易組織，股票市場也必須積極地邁向國際化。當歐、美、日等國的投資銀行均已積極地進駐中國大陸，以搶佔其金融市場之際，國內業者受制於兩岸的政治氛圍卻顯得步履蹣跚。然而太晚進入大陸市場，將使國內證券承銷商處於不利的競爭地位。 在WTO的架構下，金融服務業必須受到服務貿易總協定的規範，兩岸都將適用最惠國待遇和多邊諮商原則，所以臺灣對中國大陸以及中國大陸對臺灣的經貿與金融政策都必須作大幅度的調整。臺灣地區的證券承銷商如何掌握此一發展趨勢，以開創華人世紀的新紀元，在在考驗著臺灣政府與業者的智慧。 摘要 回顧八零年代後期，中國大陸在鄧小平的主導下，踏上改革開放的試點工作，低廉的要素成本和政府的政策支持，吸引著外資源源不斷地注入，臺商得文化、地利之便，藉著轉移生產基地以延續產業生命並擴展生產規模。二十餘年來，西進的臺商從勞力密集，逐漸提升到資本密集與技術密集，對國內的經濟發展帶來相當大的衝擊。當臺商在異地逐漸站穩腳步，並於境外獲得資金供給的來源，對國內資本市場的依存度自然降低許多。做為資金供需雙方媒介的國內證券承銷商，遂因而陷入市場萎縮的困境。當兩岸次第加入世貿組織以後，國內承銷商是否有機會跟隨臺商腳步，將市場拓展至中國大陸，以延續生機並再創高峰，的確是一件值得深思的問題。 本研究的第二章、第三章分別介紹中國大陸和臺灣的承銷制度，依序分從 「證券商之分類及其業務範疇」、「承銷時機」、「承銷方式與資格」、「承銷作業程序」和「承銷價格訂定與配售方式」等五個面向加以探討，第四章則從比較制度的觀點，分析兩地承銷制度的異同。為了瞭解WTO入會架構將對兩岸承銷商帶來何等影響，本研究第五章首先介紹世界貿易組織的功能、理念與規範重點，其次則試圖探討兩岸入會後可能面臨的衝擊與因應之道。第六章則以建華金控為例，探討年前國內通過金融業者得以純粹控股公司形式跨業兼營的法令，將對證券承銷業者進軍中國大陸的努力帶來何等影響與可能的限制。 從制度面來看，由於臺海兩岸均係繼受歐美國家的先進體制，只是導入時期先後有別，除因政策性考量產生些許出入外，可說是大同小異。其次，兩岸分別在2001年11月間的卡達會議中獲准加入世界貿易組織，臺灣地區雖以已開發國家身份入世，因入世前長達九年的複邊磋商過程已陸續將相關要求內化，入世後應不致帶來太大的衝擊。而中國大陸係以開發中國家身份爭取入世，因此在國內市場的開放上有較多的調適時間，不過從其最近出台的《外資參股證券公司設立規則》來看，除了對於境外股東的持股比例，依其入世時承諾的進度設定限制外，可說是全面開放證券承銷市場；且該規則亦適用於香港、澳門及臺灣地區的業者。受限於兩岸政權迄今仍處於對立狀態，短期內恐無法假前述規則簽署證券監管合作諒解備忘錄，勢將嚴重斷喪臺灣承銷商西進的發展契機，徒將崛起的商機拱手讓與外資，國內政府誠應審慎考慮此一嚴肅課題，進而積極協助業者排除政治上的障礙，以延續並擴展臺灣業者的生存命脈。 / Academic year: 2001 Session:2 School: National Chengchi University Department: Executive MBA of Finance Title of Thesis: The Opportunity of The Underwriting Corporation in Taiwan After Attending WTO Degree: Master Author: Ching-Hung Chen Advisor: Professor Anthony Tu Keywords: Mainland China, securities underwriting, underwriter, issuer, offering method, book-building, fix-price, auction, WTO Abstract: As the economy of Mainland China is glooming, the stock market arises in the changing society. The stock market is an important channel to link the supply and demand, as well as a symbol of the traditional capitalist society. It has taken a long time for western countries to develop their stock systems. However, similar systems emerged in Taiwan and Mainland China. After Taiwan and Mainland China attending WTO, stock markets must be aggressively facing the globalization. When Europe, the United States, and Japan are going to compete to dominate the Mainland's financial market. Taiwan is moving at a slower pace and facing many restrictions. The late entry of Taiwan's underwriting corporations into the Mainland market will undermine their competitiveness. Under the WTO framework, the basic principles on the financial services sector are governed by the General Agreement on Trade in Services (GATS). Once Taiwan and the Mainland become WTO members, they must both accept all WTO regulations, including those on MFN treatment and multilateral negotiations. In light of these requirements, both Taiwan and the Mainland must make large adjustments in their cross-strait and financial policies toward each other. The underwriting corporations in Taiwan are willing to create a new era. How to grasp the developing tendency is a critical trial to the enterprises and government in Taiwan.

兩岸新聞交流密切且頻繁，但是總因政治之故而蒙上陰影並益顯複雜，因此不失為一研究之好題材。學界與坊間不乏與此有關之文獻，惜乎大抵以報紙間之交流為主，至於電視台之交流則僅聊備一格。為補遺珠之憾兼鼓勵來者，本作者嚐試一探究竟，並尋求改善交流之道與化解挑戰之方。 本研究係以東森電視公司之新聞部為研究單位。方法則為深度訪談，資料蒐集與分析以及文獻回顧。 文分五章，計為：緒論，文獻回顧，交流模式，交流挑戰，結論與建議。 東森與大陸之間的新聞交流密切、多樣且規律。惟其品質與內容深受政治影響，尤以大陸之影響為最。 展望未來，台灣媒體需“寄希望於大陸當局”，則兩岸新聞交流之正常化庶幾有望。 / Though close and frequent, the cross-strait news exchanges are shrouded and made complicated by politics, which makes it a good topic for scholars to research. Articles and papers related to it are many. However, exchanges in newspaper sector are what people are interested in, those in TV sector are largely ignored. To make the picture more complete and encourage potential researchers, this writer tries to explore the modes of and challenges to the cross-strait news exchanges in TV outlets, and to find ways to better the exchanges and ease those challenges. Methodology for conducting this research comprises 3 measures: the in-depth interview, data analysis and literature review. This thesis consists of five chapters: introduction, literature review, modes of news exchanges, challenges to news exchanges and conclusion. News exchanges between EBC and the mainland are close, diverse and regular. However, the quality and contents of the exchanges are heavily influenced by political consideration coming largely from the mainland side. Looking into the future, Taiwan media should “rest hopes upon CPC” to normalize the cross-strait news exchanges.

本研究之宗旨在於探究中國大陸對亞洲區域內國家的金融市場影響程度之變化。由過去的各國股市日報酬率資料間相關程度與政策改變間的影響結果，來觀察是否未來在兩岸政策更開放下會使中國大陸對台灣的影響程度上升，進而使國際間投資組合的風險分散效果下降。本研究自DataStream選取台灣、香港、中國大陸、泰國、印尼、新加坡、馬來西亞、菲律賓、日本以及美國等十國的股價指數日資料，以對數轉換為日報酬率後年化加以分析。選取時間自1991年7月15日(中國大陸上海證券交易所股價指數公開後)至2008年12月31日。本研究選用的方法為使用風險值(VaR; Value at Risk)的概念來取代傳統的標準差，衡量以該十國所分別組成的各投資組合風險值變動情形；以及由風險值所衍生出的Diversification Benefit與Incremental VaR的結果。發現到僅由亞洲區域國家內組成的投資組合風險分散效果逐漸下降；且效果並不如有納入區域外國家(如美國)的投資組合。接著本研究將Gaussian Copula模型放入VaR中以增加對極端值的捕捉能力，結果發現本研究所選用的指數加權移動平均法所求得之相關係數已可有效反應出各國之間的相依程度，即加入Copula的效果有限。另外藉由Copula所求得之相關係數顯示，台灣、香港對中國大陸之間的相依程度已逐漸上升，並開始出現超越美國之現象，其中又以2005年為上升趨勢的起點。最後本研究以向量自我迴歸模型(VARs)來驗證2005年前後中國大陸股市對其他亞洲區域國家的影響力是否存在結構性的改變；並再佐以變異數拆解之方法來觀察2005年前後各國家之間自發性衝擊對彼此之間的影響程度變化。研究結果發現，透過VARs可證明中國大陸對亞洲區域各國的影響力在2005年後轉變為顯著；僅對美國不存在此一現象。另外變異數拆解的結果也顯示各國之間的相依程度在2005年後有明顯的上升，中國大陸對各國的影響程度亦然。透過本研究之結論，在未來兩岸將簽訂金融監理備忘錄使整合關係提升的環境下，需提醒投資人整合關係的上升將使得以之為標的之投資組合風險分散效果下降，需作為投資策略之考量。 / The object of this research is to find out the trend of dependence and correlation between China and other Asian countries. Based on past information about the relationship between equity markets’ correlation and changes in policies, this research can make suggestions to the foreseeable future of Taiwan and China whose relationship will be more solid due to new policy. The data of this research are gathered from DataStream, which includes Taiwan, Hong Kong, China, Thailand, Indonesia, Singapore, Malaysia, Philippines, Japan and United States. Selected from 1991/07/15 (when the Shanghai SE Composite went public) to 2008/12/31, this research calculates the annualized daily return using natural logarithms of two consecutive daily index prices. This research uses Value at Risk (VaR) to measure the risk exposure of portfolios formed by ten countries, and extends to the use of Diversification Benefit and Incremental VaR. The results found out that the diversification effects of portfolio which includes only Asian countries are decreasing and inferior to the effects when cross region countries are included. The second study of this research is to combine Gaussian Copula Model with VaR to capture the effects of extreme values. Empirical results found out that the VaR using Exponentially Weighted Moving Average method is good enough for analyzing Asian stock markets. The correlation in Copula model suggests that the dependence between Taiwan and China had increased since 2005 and has the increasing trend which might overwhelm the dependence between Taiwan and United States. Final research is about using Vector Autoregressions Model (VARs) to testify is there exist any structural change of dependence before and after 2005, and using Variance Decomposition to observe the relationships between these ten countries. The results found out that there exist structural change in 2005, the post-2005 periods shows that for Asian countries the effect from China are significant and greater than pre-2005 periods.

本文旨在探討當前中國大陸城鎮職工與農民工等具有勞工性質的群體，其退休養老保險制度發展過程的政治經濟分析。所要回答的問題有三：一、中國大陸退休養老保險的歷史進程為何？有何特徵？二、中國大陸農民工與城鎮職工的退休養老保險制度現今運行情況為何？可能的整合方向是？三、中國大陸退休養老保險基金的財務當前運行情況是？有何隱憂？以上三點構成了本文的問題意識。 文中檢視中國大陸自1950年代所出臺的《中華人民共和國勞動保險條例》至今所有關於農民工與城鎮職工養老保險法規的演變，並比較2011年《社會保險法》出臺後，關於農民工與城鎮職工養老保險的實質發展。此外，本文以北京、上海、廣東、河南各省的「退休養老保險金的收支結餘」做為基礎，使用各省的「歷史債務」、「經濟發展水準」、「勞動力流動」等面向分析養老金區域失衡的原因與長期發展的隱憂，以歸納出當前中國大陸城鎮職工與農民工養老保險制度發展的個案省份分析。 本文發現，中國大陸農民工與城鎮職工養老保險的發展有著明顯的「路徑依賴」特徵，自《中華人民共和國勞動保險條例》出臺以降，關於中國大陸的社會保障歷經了單位保障到社會保險，最後則是具備中國特色的「社會統籌與個人帳戶相結合」制度的建立。關於中國大陸退休養老體制的改革過程是中國社會主義傳統下與改革開放後強調經濟發展相互激盪下的結果。 中共以戶籍制度作為區分城鄉勞工的主要手段，在社會福利制度上形成了差異化的現象。本文認為關於農民工的社會保障制度在過去的社會保險體系發展中乏善可陳，與受到政府保障的城鎮職工形成對比的現象。中共當局開始正視農民工的問題是在改革開放後所形成的龐大民工潮問題，隨著時間的推移，政府也必須替「第二代農民工」建設更公平的社會保障制度進而達成「城鎮化」的目標。 中國大陸的社會保障制度發展有著明顯的地域差異，其財政的制度也高度分權，具體反應在社會保障制度的改革上。北京、廣東與上海享受著改革開放以來的經濟成果，在吸引外來勞動人口上有著先天優勢，相對河南的人口外移有著明顯的對比。背後的意涵代表了富裕省份對於後發省份在社會保障資源上的「榨取」，不利於後發省份養老保險的長期發展。本文認為，2011年《社會保險法》出臺後，對於農民工的社會保障確實有所提昇，也使具有「穩定就業」身分的農民工納入到了城鎮職工養老保險體制內，不過仍然需要觀察其後具體的發展態勢。中國大陸之後的退休養老制度發展，本文認為應該要向實現「全國統籌」的目標邁進，也可以藉由中央分配養老金，使地區養老金收支不均的現象可以有效紓緩。 / This thesis aims to explore the characteristics of labor groups in China, which include urban workers and migrant workers. It also discusses the political economical analysis in the course of development for retirement pensions. There are three important questions that have to be addressed: First, what is the historical course on the Chinese retirement pension? What are the features? Second, how is the retirement pension run for urban workers and migrant workers today? What is the direction for integration? Third, what is the financial situation in running the pensions? Are there any concerns? Above three questions constitute the main issues that will be discussed in this thesis. It is evident that there are changes to today’s law and regulations of endowment insurance for urban and migrant workers. This thesis will use Beijing, Shanghai, Guangdong, and Henan province for “Balance of Revenues and Expenditure in Endowment Pension Insurance” as a basis. Also use each province’s “Debt records”, “Standard Economic Growth” “Labor Mobility”, etc. to analyze. In this thesis it also indicates the development of the endowment insurance for migrant workers and urban workers appears to be having a “path dependency” feature. China’s social security has gone from a unit security to a social security. The social welfare system creates a phenomenon of discrepancy in the system. This thesis deems that in the past, migrant workers’ social security reform development is not effective compared to the government security the urban workers received. The government must help “Second generation migrant workers” create a fair social security system and reach “urbanization” as a goal. China’s social security growth has a noticeable regional difference; there is also a high separation of powers in the finance system, which reacts on the reform for social security. Beijing, Guangdong, Shanghai enjoy the economic gain after the reform, and attract many foreign labors, gives them dominant advantage. In contrast, Henan, there is big difference in number for migrate workers. Behind this, there is an implication that prosperous provinces create an “extortion” of resources to those less prosperous, meaning there is no care for their endowment insurance growth. Overall this system still has potential for improvement.

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中國大陸東南地區的畬族一向較不為台灣學者所重視，有關畬族教育的研究幾乎沒有。本文希望藉由到閩東畬族聚落民族小學進行的一個教育民族誌的觀察，了解到畬族在國家教育體制的運作下他們如何進行教育活動；同時位於畬村小學的所有人、事、物盡可能在以中國大陸民族教育的關注點上，從學校發展的脈絡、地方教育行政體系的運作到教師的結構、學生特質、學生的課程規劃與學習以及學校與畬村之間的關係等面相進行民族誌觀察。小學是畬族學子學校基礎教育的第一階段，觀察中呈現了小學校長如何運用現有有限的資源，掌握某些發展的「機遇」，試圖推動「特色教育」方案，規劃諸如提升教學品質、畬族文化教育、與村中畬族家長合作教唱「對歌」教學以及校舍改建等規劃，企圖在中國大陸教育一片提倡特色教育的浪潮中突破因地方財政困難而執行裁併校政策下可能遭到併校的危機脫穎而出，成為具有畬族特色教學的寄宿制民族小學。另一方面，畬族的新一代在社會型態急驟變化的歷程中，習得知識與觀念的途徑與過去已有不同。雖然官方大力推動素質教育的改革，小學校長也雄心勃勃，連年在教學成效、校舍建設以及大型兒童節慶表演上取得良好成績，但因為客觀條件的限制，諸如教育經費不足、教師的心態問題以及農村經濟的困難以及師生關係等因素，畬族孩子的學習表現普遍不如城鎮，免試升初中後，學費的因素又較小學更嚴峻，輟學情況嚴重，形成畬族教育的一個隱憂。此外，村中畬族受過中等教育的青年除了在小學教書的藍福太以外，謀生困難也造成一些家長有「讀書無用論」的觀念，對於畬村教育，也有其負面的影響。最後本文回過頭來試圖檢討近年中國大陸的少數民族教育政策的內容，重新體會田野環境中所面對的抽象遙遠但又是無孔不入的中國大陸國家教育政策是如何被地方實踐。田野所觀察到的仍然在變化之中，畬村小學的校長企圖、學生的表現、村民家長面對困境的努力，值得持續觀察，看看他山之石有什麼值得借鏡的地方。

中國大陸自1978年改革開放後，經濟成長驚人，但是這個成長是伴隨著城鄉之間的差距與地區之間的差距。地區間絕對差距與相對差距都在逐年擴大，以1999年的資料，上海與貴州人均GDP相差16倍，絕對差距為一萬元人民幣。對於區域間發展差異的問題，有些學者從自然環境差異等天賦條件因素解釋；另有一派學者則以依賴理論說明市場自然運作的結果；亦有專家以過去計畫經濟時期的歷史發展來說明國家能力，尤其是財政能力，是消弭差異的主要關鍵；也有人以政府的傾斜政策，將資源導向被傾斜的一方流動，致使東西差異形成。本論文認為經濟事物應回歸經濟的角度來探討，再結合制度（正式與非正式）選擇對於經濟層面的干擾因素，來尋求各地區經濟發展差異的解答。在理論上，以新經濟成長理論為基礎，認為除了生產要素的增加外，資源配置是否有效率亦是經濟成長的重要關鍵，而制度決定資源配置的效率，因此，東西部的制度落差是造成東西部經濟成長差異的源頭。這樣的制度落差可以分為兩個面向來探討：第一是經濟領域上政府的退出；第二是社會關係、法律制度、中介組織等相關配套措施的建立。要使得地區發展能夠得到平衡，管制的解除以及新制度的建立是主要的關鍵，尤其是不合理戶口制度造成勞動市場的不健全以及各地方和全國法律的完善程度。本論文整合時間（1978年到1999年）和橫斷面（28個省市區）的統計數據，使用迴歸分析說明制度變數與經濟成長之間的關係。 / Since the reform in 1978, China has experienced an astonishing economic growth. However, the disparity between the coastal and inner provinces is increasing. According to the 1999 statistics, the GDP in Shanghai is sixteen times of GDP in Guizhou. More and more scholarship focuses on the uneven development in China. The reasons of regional disparity in China have focused on the geography, the operation of market, the weakening of the central government's power, or the preferential policies received by the coastal provinces. These can't fully explain China's disparity. I argue that the real reasons for China's disparity lying in the " institutions" (formal and informal) in China. Based on regression analysis of data from 1978 to 1999, my thesis intends to explain the dynamic between institutions and economic growth.

本論文主要在研究來台的大陸觀光客，在旅遊零售商店所表現的消費行為及衝動性購買行為。有別於以往以顧客的觀點來探討衝動性購買行為，本研究想要從服務陸客之銷售人員的角度，在與陸客互動的過程中，探討大陸消費者的行為；採用由銷售人員填答問卷的方式，收集他們的看法與觀察，作為實證研究的基礎，以進一步了解影響來台大陸觀光客的消費與衝動性購買行為。 本研究透過完整的架構，先介紹一般的消費行為及影響衝動性購買的相關理論與成因，再藉由問卷調查的方式，以銷售服務人員的觀察，來探討哪些變數，明顯影響大陸觀光客在旅遊零售通路的消費表現與衝動性購買行為。主要的探討與研究範圍包括：零售銷售服務、旅遊零售業特性、精品零售業、台灣旅遊零售業概況、來台大陸觀光客現況等，並進行質性訪談與問卷調查，以所蒐集的資料做統計分析與驗證比較，希望藉由量化的探索式研究，來解析目前以團體為主的大陸來台觀光客之消費行為與衝動性購買行為的形成原因。 總體來說，根據統計分析的結果發現，陸客的購買決策受到價格、折扣的影響力超乎預期，而且受到同行團體的影響也相當大，就是陸客個人會接受群體的意見，有順從團體規範的傾向，即所謂的從眾行為。反而是服務人員的銷售服務，對陸客的購買決策並無太明顯的影響力。所以，根據本研究的實證結果發現：除了消費者的個人因素，社會文化背景的因素可能是造成陸客產生從眾行為，進而影響他們衝動性購買行為的主要原因。 雖然台灣與大陸都屬大中華民族，在地域上屬於同一個文化區，然而，台灣受到日本百貨零售業的影響，零售銷售市場已經非常成熟，消費者比較早建立消費意識，銷售服務水準也比較進步；而大陸則到1979年才改革開放，仍屬於開發中國家，在消費習慣與銷售服務上與台灣的消費市場有一段差距，因此，中國顧客可能需要一段時間的改變，才能趕上已開發國家的消費模式與購物水準。 由於政府對於大陸觀光客的自由行可能會在近期開放，這個因觀光產業延伸出的商機與產值是非常可觀的；加上陸客普遍的衝動性購買行為，可能為台灣的旅遊零售業者帶來可觀的銷售金額。所以，本研究希望利用此次的研究調查結果，能幫助本地的旅遊零售業，更確實瞭解大陸顧客的消費特性與掌握他們的衝動性購買行為，並提供給旅遊零售業者，在訓練銷售團隊上的相關建議及策劃行銷活動時的參考，以期對於其營運管理與獲利有所助益。 / This study is mainly to explore the Chinese tourists’ consumer behavior and impulsive buying behavior at travel retailing stores while traveling in Taiwan. Different from other researches taking customer’ perspective, this study adopts sales associates’ point of view by conducting the questionnaire survey filled out by those who have experience in serving Chinese customers at travel retail stores. The questionnaires are targeting to collect the sales associates’ feedbacks and observations as an empirical research to find out the real causes of Chinese’ consumer behavior and impulse buying behavior in general. This research provides a comprehensive structure by starting an overall introduction of different theories about consumer behavior and impulse buying behavior, following by the elaboration of several topics, i.e. retail sales service, travel retail stores, luxury retails, the current status and development of both Taiwan travel retail industry and the Chinese tourists as consumers while traveling in Taiwan. Then, the quantitative and correlation analyses are made based upon the survey result of 143 questionnaires conducted in about two months and answered by about 150 sales associates from different travel retail stores. Therefore, the causes and the factors affecting the Chinese tourists’ consumer behavior and impulse purchase behavior while staying in Taiwan are thoroughly explored and overall understood. Basically, the findings from the questionnaire result are not quite the same as my initial hypotheses. First of all, Chinese customers are highly discount oriented as their purchase decisions are largely induced by discount offer and good pricing. Secondly, they are obviously affected by their tour companions (i.e. friends, family & members of group) and thus demonstrating so called the “herding” behavior, i.e. seeking the opinions from the group and usually conforming to the social norm. Moreover, Chinese customers do not really pay much attention to the performance of sales service provided by the sales associates. Therefore, the empirical results imply the social influence and culture background relatively cause Chinese customers’ herding behavior and thus bring out their impulse buying behavior. Regardless of the same nation, consumer shopping behavior in Taiwan and China may not be the same, given the different economic progress and retail development conditions. The retail industry, consumer awareness and sales services in Taiwan have reached a mature stage whereas that in China just taking off after 1979. Thus, it might take some time for Chinese to catch up with the customers of developed countries both in their consumption patterns and shopping behavior. With prospect of the opening of Chinese FIT (frequent individual traveler) market in the near future, Taiwan travel retail stores look forward to great expansion and substantial opportunities resulting from the impending growth of tourism business. Furthermore, the impulsive buying behavior will give the impetus to substantial sales revenue for those travel retail stores. Hence, the findings and evaluation from this research are expected to give some insights to their management team as well as to provide valuable information to their sales team for better understanding the Chinese consumers. Ultimately, it can practically assist travel retailers to effectively design their marketing activities and appropriately educate their sales team to provide Chinese tourists with the most satisfactory selling service