台商赴海外投資，早期因政治因素考量，對東南亞的投資較為熱衷。然隨 著兩岸日漸開放，中國大陸地理位置、血緣關係及勞力優勢，已成為台商 投資的最愛。不過由於兩岸關係目前仍屬敏感，所以當大批的台商前往大 陸投資，帶走了巨額的資金，自然會對台灣產業產生不少影響，如公司營 運狀況，兩岸分工方式，產業升級調整等。 @ 為針對上述問題，本研 究以經濟部投審會所登記的赴大陸投資廠商名單裡，挑出電子、機械、紡 織與成衣等四種產業，進行深入調查，以求能獲得這個問題的解答。研究 結果顯示，若從台灣整體產業來看，並無產業空洞化的情形發生，但若從 個別產業來看，電子業與機械業在產業升級上，表現不錯，而紡織業與成 衣業就不是很好。尤其是近幾年來，台灣紡織業與成衣業在國際市場上， 面臨了許多來自開發中國家強大的競爭壓力，若其在台灣的產業升級腳步 上不能放快，而只一味消極的前往海外尋找更適合的投資地點，如此下去 ，這兩個產業未來在台灣將很不樂觀。

Abstract The Mainland China has been the global newest economic body, having the fastest growth in economy. It is now being developed and built by way of internationalization. It further combines itself with the entire development of the great East Asia economic circle and tries to become the next international economic center all over the world. Its economy fast grows at a speed of almost annual two-digit. It will become the third economic body in the whole world in scale. Because it nears Taiwan, so reasonably turns into one of the favorite destinations which Taiwanese enterprises prefer moving out overseas in recent years. However, the investment risk in Mainland China is very high. When it comes to finance, it is not easy to ask for the loan of bank. When human matter is concerned, it is closing of information and the difficulty about management. As for marketing, you have to face the obstacle with regard to market opening and collecting market information. Concerning about production, the insufficiency of traffic facility and the restraint of electric power supply exist. As to law, the inconsistency about the explanation of rule among the responsible officials and the unpredictable changes in policy often occur. When it comes to general operation management, not only does the administrative efficiency lower, but extra social fees and concoct expenses flood. According to the statistical data of the communication foundation between straits, the number of dispute cases having been received by the foundation is 127 in 1998, almost twice, 70 in 1997. To sum up, the problems happening among Taiwanese merchant about investing in Mainland China are full of all kinds. Therefore, it is sure to raise the rate of success in business only by way of finding out the key success factor¡]KSF¡^about investing and operating. The main procedures of this study consist of the followings: ¤@¡BTo collect and manipulate the concerning domestic, foreign reference in order to analyze the operating mode of steel industry between straits. ¤G¡BTo try to find out the KSF about operating steel industry among Taiwanese merchant forward to Mainland China operate steel industry supervision according to the theoretical mode of habitual domains¡]HD¡^. ¤T¡BProfessional questionnaire - to use the professional questionnaire to collect the KSF. ¥|¡BAHP questionnaire - to make use of analytical hierarchy process¡]AHP¡^ to proceed to the analysis study in priority for the KSF. ¤­¡BAccording to the result of the second questionnaire to discuss, analyze and suggest. Anticipate providing Taiwanese merchant forward to Mainland China operate steel industry the great strategy decision and utilization basis in priority about the KSF from the conclusion of this study.

近年來，內線交易成為困擾兩岸證券市場發展的一個重要問題，兩岸學界與實務界對於該問題都有高度重視。兩岸具有以中文為媒介的共同文化背景，而且兩岸證券市場都是以散戶投資人為主，因此相較於歐美等地，兩岸在證券法規方面，特別是內線交易的法律規制方面更具有相互借鑒的意義。本文從內線交易的主體、主觀、客觀、法律責任及豁免條款四方面切入，在分析兩岸現有規制的基礎上，得出對於彼此有借鑒意義的規定。 / In recent years, Insider Trading has been a major distraction for the development of stock markets in both Taiwan and mainland China. As a result, many scholars and businessmen are increasingly concerned with this topic. It is important to note that stock markets in Taiwan and Mainland China are reasonably similar that retail investors are the major players in both markets. Compared with the United States and European jurisdictions, however, the markets in Taiwan and mainland China have a significant weakness in laws on insider trading. This thesis will first explain subject parts , subjective and objective of insider trading, then go on discussing its legal liabilities and exemption clauses. Finally, based on the analysis of the legal systems of Taiwan and mainland China, the thesis will suggest possible references which maybe beneficial to each systems.

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2009年6月30日政府開放陸資來台投資，經濟部統計至2012年4月止，累計核准陸資來臺投資件數為246件，核准投(增)資金額計2億8千萬美元。陸資來台基本上仍處小規模、試探性階段。在兩岸經貿關係逐步深化之後，政府未來是否有比照僑外投資方式開放陸資來台投資之可能，使陸資來台投資，轉化為我國經濟發展的正面能量，值得探討。因而，本研究之目的如下：(一)探討陸資來台投資之動機(二)陸資與外資來台投資政策及規範之比較分析(三)提出具體建議提供政府擬定陸資來台投資政策之參考。 本研究以文獻分析及個案深度訪談方法，就陸資來台投資之製造業、服務業中選出具代表性個案，計4家陸資企業進行訪談；另為陸資與外資來台投資政策及規範之比較分析，選定2家具代表性外資企業進行訪談，以為本研究之目的進行探討，並提出具體政策建議。 研究發現陸資來台投資動機主要為獲取先進技術與經營管理經驗、響應中國大陸政府對台投資政策、拓展市場，擴大出口，進行全球化佈局等，來台投資除企業對外投資經濟層面動機外，尚有響應中國大陸政策，積極推動陸資企業來台投資佈局之政策性動機存在。而就陸資與外資來台投資政策差異，政府主要對陸資採「先緊後鬆、循序漸進、先有成果、再行擴大」的原則政策，對外資則採獎勵投資、減少外人投資障礙之開放政策；在陸資來台投資項目係採正面表列，所開放的項目係以國內發展成熟且不會對國內經濟造成負面衝擊的產業為主；而外資來台投資項目則採負面表列方式管理，除少數基於國家安全、公共秩序、善良風俗或國民健康考量及法律明定或國際協定予以禁止以及部分特許行業加以有條件限制外，均予以開放，開放程度已達95％以上。 本研究提出具體建議提供政府擬定陸資來台投資政策之參考，建議政府可參照開放外資投資政策，擴大開放陸資來台投資政策，將陸資來台投資項目從正面表列改以開放的負面表列管理，惟就擴大開放陸資來台投資政策下，政府對相關可能造成負面衝擊之影響，建議亦應有相關配套產業政策：如推動兩岸新型產業合作、輔導弱勢產業轉型與升級，以因應未來擴大開放趨勢、關鍵技術產業智慧財產權之保障、儘速簽署投資保障協議等，以為因應，降低衝擊之影響。另就陸資來台投資法令規範，建議建立完善投資審查機制，以防衛國家安全及因應關鍵技術流失之不利衝擊，另建議放寬大陸人員來台進出之法令、陸資購置不動產相關法令，以利陸資來台投資。 / Taiwan’s Government deregulated the investment capital of Mainland China in Taiwan on June 30, 2009. According to the statistical data of Ministry of Economic Affairs, up to April 2012, Mainland China investment in Taiwan has accumulated to 246 cases and the accumulated amount of investment (incl. capital increase) is US$280 million. Basically, the Mainland China capital investment in Taiwan is still in small scale. Following the gradual deepening of cross-strait economic and trading relationship, it is worthwhile to probe into the possibility of treating the Mainland China capital investment in Taiwan as ordinary foreign investment in Taiwan and turning it into positive energy of the economic development of Taiwan. The purposes of this research are such as following: 1) The motive of Mainland China capital investing in Taiwan, 2) Comparison and analysis of the policies and regulation of Mainland China capital and traditional foreign investment, and 3) Proposing practical suggestions for reference of the government in formulating Mainland China capital investment policy. By Literature Analysis Approach and in Case Interview Method, the research selected representing cases of Mainland China investment in manufacturing and in services industries. There were 4 Mainland China capital enterprises interviewed. Also by comparative analysis on the policies and regulations of traditional foreign investment and Mainland China capital investment, two representing foreign invested enterprises were interview. The efforts pointed directly to the purposes of the research as well as providing practical policy suggestions. It is found that the motives of Mainland China capital investment in Taiwan are mainly in obtaining advance techniques and operating and management experience, echoing the Taiwan Investment Policy of Mainland China government, developing market, expanding export and globalization deployment. Besides the economic motives in foreign investment of the Mainland China enterprises, they are also echoing the policy of mainland China government and actively to deploy their investment in Taiwan. In the difference of policies of Taiwan Government toward Mainland China capital and traditional foreign capital, Taiwan government is working in the principle of “Tight firstly then loose, Moving progressively, See the result before expansion” to the Mainland China capital investment, while it is in encouraging and reducing barrier to foreign investment to the traditional foreign investment. Under the control of Mainland China capital, it is subject to positive listing, and the items opened is the industries that are matured and will not result in negative impact on the domestic economy. In addition, under the control of foreign capital investment, it is rather in negative listing, that only the industries are excluded based on national security, public order, decent customs or national health, or those forbidden specifically under law or international treaty, or the charter business, all others are opened and the level of open reached 95%. This research provided practical suggestions for the reference of government in formulating the Mainland China capital investment. We suggest that the government shall take reference of policy for opening foreign investment to expand the scope for Mainland China capital investment and turn the positive listing to negative listing in administration, but under the expanding liberalization of Mainland China capital investment, the government shall guard off the negative impacts with packaged industry policy such as new cross-strait industry cooperation, assisting the transformation or upgrading of disadvantage industry to cope with future expansion, Key techniques industry and intellectual property right protection and speed up investment protection treaty, so as to reduce the impact. In the part of legislation and regulatory of investments of Mainland China Capital, it is suggested to build complete investment review mechanism to defend national security and to cope with the unfavorable impact resulted from loss of key techniques. We will also suggest deregulating the purchasing of real estate to induce the investment of Mainland China capital under the control of the entry and exit of Mainland China people.

臺灣與中國大陸加入WTO後，其貿易互動將更趨頻繁，此現象除了帶來兩岸經濟的活絡外，也將提高兩岸貿易糾紛發生的可能性，因此熟悉WTO爭端解決機制的運作是臺灣做為一個經貿小國必學的課題；又兩岸糾紛不同於一般國際經貿糾紛，牽涉到敏感的政治因素，臺灣面臨的是對我主權不尊重也不認同之國家，在這樣的情況下，臺灣必須學習如何訴諸WTO爭端解決機制的法律途徑以保障臺灣經貿。 WTO爭端解決機制包含諮商、斡旋等雙邊協商，協商不成則可提請爭端解決機構(DSB)成立爭端解決小組(panel)以為因應，透過小組對兩造意見之書面審查、口頭辯論等意見表達，及蒐集相關資訊蒐集後，最後由小組做成「期中報告」，若成員國無其他意見表述，則「期中報告」即為「最終報告」，DSB有權要求被控訴履行裁決。 在整個WTO爭端解決過程中，臺灣必須面臨的挑戰有：中國大陸認定臺灣無提請訴訟資格的主權抗議、國際現實的壓力、龐大的訴訟費用，以及曠日費時的訴訟期間等。倘最後中國拒絕履行義務，臺灣雖可請求DSB授權對中國大陸進行貿易制裁，但其亦將蒙受本身產業在貿易制裁過程中的損失。這些因素使得臺灣政府在對中國大陸發動WTO爭端解決程序時有所顧忌。 但將兩岸爭端訴諸WTO爭端解決程序有一好處，即使兩岸貿易 回歸到規則導向的互動，亦可嚇阻中國大陸不尊重我為WTO會員國之相關行動，使兩岸貿易走向法制化的互動。 / After Taiwan and China accession to the WTO, the activities of bilateral trade will be more frequent. Besides the busy business, the possibility of trade disputes between cross-strait parties will be arisen as well. Therefore Taiwan needs to have more intimate knowledge of WTO dispute settlement mechanism. On the other hand, the disputes between cross-strait is different to other international disputes. The opponent that Taiwan faces to is a country which doesn’t respect Taiwan’s state sovereign. In such a circumstances, Taiwan have to learn how to protect the benefits of domestic industries through resorting to the legal access of WTO dispute settlement mechanism. The procedures of WTO dispute settlement mechanism contains bilateral negotiation like consultation、good-offices etc. If the consultation is in vain, the complaining party could request the DSB to establish the panel. The panel has the rights to review the written requests、consider the rebuttal submissions、and seek concerning information, then the panel should issue an “interim report ”.If no other Member State has different requests, the “interim report ”shall be considered “ the final panel report “, and the DSB has the right to ask the defendant party to practice the recommendations. During the whole process of WTO dispute settlement, Taiwan has to face these challenges as follows: the sovereign protest from China、the pressure from international reality、huge expenses of the proceedings, long time in the proceedings etc....If China refuse the recommendations, Taiwan could request the authorization from the DSB to suspend the application to Taiwan concerned of trade sanction. But the sanction will also injury Taiwan’s own domestic industries. Those consideration make Taiwan feel fearful of operating the WTO dispute settlement procedures against China. There is an advantage of resorting to the WTO dispute settlement procedures against China, that is lead the trade activities between cross-strait to the operation of rule-oriented access ,and it also can stop China continue using the measures that will violate Taiwan’s sovereign. Those changes can legalize the trade activities between cross-strait.

近年中國大陸在全球各地簽訂原油供應與相關原油探勘、開採合約，引起部分西方國家對此不滿，中國大陸能源外交的本質、目的、型態與手段亦成為學政界辯論的焦點，歐洲國家更將其對非洲的能源外交批評為新殖民主義，但中國大陸學者則認為僅止於重商主義。本文的研究目的在於檢視中國大陸外交政策屬於古典或新現實主義、能源是否為中國大陸對非洲外交政策的重心，與其對非洲能源外交的型態究竟是重商主義或新殖民主義；並回顧現實主義、國際政治經濟學、新殖民主義等相關理論，建構不同指標以檢驗本文的研究假設。 本文的研究成果可歸納為四個面向：其一，中國大陸對非洲政策為相當典型的新現實主義風格，追求優於非洲地主國的相對利得、政策佈局亦受國際體系權力結構制約；其次，能源為目前中國大陸對非洲政策的重心，中國大陸企業對非洲的投資亦以能源為主要考量；第三，包括中海油、中石油與中石化在內等三家中國大陸石油企業在非洲的投資以原油的探勘、開採權為主，符合其國內能源安全政策辯論的結果；第四，中國大陸在非洲的能源投資實無助於非洲國家的經濟發展，但亦無延滯非洲國家經濟發展，藉此擴張中國大陸在非洲的政經影響力的目的在內。 / In recent years, Mainland China has tried to sign oil supply and related exploration and exploitation contracts around the world, which has caused some western countries dissatisfaction. The essence, purpose, and means of Mainland China’s energy diplomacy have become the focus of debate in the academic and political circles. Some European countries even judged that Mainland China’s energy diplomacy toward Africa is a kind of neo-colonialism, but scholars from Mainland China consider it as mercantilism. The purposes of this thesis are to examine three assumptions: whether Mainland China’s foreign policy belongs to classical realism or neo realism; whether energy is the core of Mainland China’s foreign policy toward Africa; and whether the type of energy diplomacy toward Africa is neo- colonialism or mercantilism. The related theories including realism, international political economy and Neo-colonialism will also be reviewed of this thesis in order to establish four dimensions and twelve indictors to examine my assumptions. The conclusions of this thesis could be summarized into four dimensions: Firstly, Mainland China’s Africa policy is the typical neo-realism, seeking the better relative gain than African countries, and its policy arrangement is restricted by the power structure of the international system. Secondly, energy, especially oil, is the core concern of the Mainland China’s African policy. The investments of Mainland China’s enterprises in Africa also take energy as the main consideration. Thirdly, investments derived from three oil enterprises including China National Petroleum Corporation (CNPC), China National Offshore Oil Corporation (CNOOC) and China Petroleum & Chemical Corporation (SINOPEC) focus on the right of oil exploration and exploitation, which conforms to the result of its domestic debates about energy security. Finally, Mainland China’s investments toward Africa can not help the economic development in Africa, but will not slow down the Africa’s economic development nor extend its ability to influence Africa.

當前全球金融海嘯導致經濟步入衰退期，亦使得銀行業的競爭格局和經營業態發生重大的變化，中國銀行業者趁勢崛起，台灣銀行業所處的金融環境則愈趨嚴峻。外資銀行在中國逐漸拓展業務多年後，受限於兩岸法令，台資銀行仍積極尋求進入大陸市場之發展契機；台灣雖然未能趕在中國入世後的第一時間進入大陸市場，錯過登陸的最佳時機，不過2009年，兩岸可望簽署MOU，簽署後，台資銀行至少可以透過下列五種形式進入中國國內銀行業市場，分別是: (1)成立外資獨資銀行；(2)與中國國內銀行機構合資建立新銀行，即建立合資銀行；(3)在中國設立銀行分支機搆；(4)購買並持有中國國內銀行機構的股份；(5)與中國銀行機構策略聯盟進入業務合作。台灣金融業有機會突破現況，加快其赴大陸投資之腳步。本論文即以當前台灣銀行業為主題，針對本議題加以探討分析，探討其在前進中國市場時，可能採取的經營及投資策略。 全文共五章，分別為：第一章緒論：就本論文之研究背景、動機及目的進行簡單扼要之說明。第二章係相關文獻之探討。第三章說明本研究之研究架構及方法。第四章則為個案探討，先就中國經濟及金融制度之發展、外資銀行在中國的策略與發展歷程，以及其與中資銀行的競合關係進行分析，接著探討台資銀行進入中國之途徑與策略，並藉實務訪談之方式，分析台資銀行進入大陸市場的發展策略，探討目前台資銀行運作方式及困境，期盼於分析研究中尋求一個較佳之模式；最後本研究透過文獻探討及實務訪談經驗，加以整理評析，對台灣銀行業者提出建議，做為其進入中國大陸營運的參考，以俾有所助益，完成本研究之目的。

自1980年代末期以來，政府宣佈開放大陸探親，並逐步解除外匯管制等相關限制，兩岸之「經貿互動」於焉展開。台商到中國大陸投資二十餘年，由克服地域障礙、轉移企業資源，進而遂行經營管理的當地化，其融合速度快得驚人。現今，隨著08年「520」馬政府的上任，兩會協商、包機直航、兩岸開放大三通、陸客來台觀光…，「常居對岸」或「兩岸流動」的人數，亦隨之持續攀升，兩岸之間的互動更加日益密切。大陸台商面對因文化與生活習慣的差距所產生的生活適應問題，也成為台商赴大陸投資管理或台商個人生涯規劃上的重大考驗。過往，針對此主題之經驗研究如鳳毛麟角。因此，本研究聚焦於大陸台商生活層面當地化的情形，以及生活適應之現況，務其爬梳出具學術價值之研究論述。 本研究採取深度訪談的方式，以大陸台資企業負責人或高階幹部為訪談對象，對其生活適應及當地化的情況進行研究。雖然台商當地化的進展速度很快，但在其「安居落戶」方面，未來似乎仍充滿了變化，此乃今日極敏感、極富爭議的議題，值得台灣官方與學界高度關切。冀望透過本研究，使吾人對於「大陸台商生活層面當地化」問題，得到較完整、確切的廓清。 / The economy and trade between Taiwan and China has been continuously expanding since Taiwan Government allowed people on the island to visit their family relatives in China and gradually relieved some restrictions on Foreign Exchange Control Regulations in 1980s. It has been over 20 years since the first wave of Taiwan business people overwhelmingly entered China and started their own business. Demonstrated by their way of how to overcome any geographic barriers, how to successfully transfer desired business resources and how to localize and globalize their business, the acceleration speed of emerging in China for Taiwan business people these years has been so amazing. After President Ma’s taking office on May 20, 2008, never in the past six decades have relations between Taiwan and China been as good as they are today. Furthermore, with the help from affair negotiations between Strait Exchange Foundation (SEF) and Association for Relations Across the Taiwan Straits (ARATS), cross-straits direct charter flight(s), direct transportation across the Taiwan Strait and the increasing number of China tourists in Taiwan, the population of Taiwan business people nowadays in China (either they are permanent residents in China or frequent flyers between Taiwan and China) has been growing drastically. Due to the cultural difference in business and life style between Taiwan and China, it has also become a great challenge for most Taiwan business people to figure out how to live, work or do business in China. In the past, the research or study for “The localization of Taiwan business people’s life in China” has been very rare in Taiwan. My research and study here will primarily focus on the localization and adaptation analysis for Taiwan business people’s life in China. This research analysis provides a thorough overview of in-depth interviewing of Taiwan business owners or upper management executives for their localization process in China. Also, a list of further readings that provide you with more detailed information on conducting interviews is included in this paper. Despite the fast pace of the localization process of today’s Taiwan business people in China, it is believed that the ever-changing challenges of how to live and settle in China for them are still increasing. Some sensitive and controversial issues addressed in this paper will be definitely worth the close attention of government officials and academic scholars in Taiwan. Hopefully, this research paper will also provide us a complete understanding of how to help sweep away some barriers to the localization of Taiwan business people’s life in China.