Corporate governance has gained considerable prominence in the last decade as it has become a much more widely discussed and debated issue. The debate as to which model of corporate governance China should adopt continues as China forges a new era of interaction with the global market, especially since its accession to the World Trade Organization in 2001. The state-owned enterprise (SOE) sector in China is a significant contributing factor in China's endeavour to continue to develop its economy, provide employment and reduce poverty. Therefore, the success of SOE reform is important to China's future economic prosperity and ability to contend with social justice issues. The commencement of the reform process began in the late 1970s and many SOEs have attained significant progress in some important areas. However, all too many SOEs experience poor overall performance. Thus, the consequence of the corporate governance model and corporate structure selected will be considerable, especially as the country's market economy gains momentum. This thesis contributes to the ongoing body of work relating to corporate governance in China, and some clear results have been found. It also reviews the institutional setting in China and elements of the corporate governance literature in detail. As the ownership of firms is considered to be one of the key elements to enhance corporate governance, the empirical study considers issues relating to changes in ownership, concentration and ownership structures. It conducts an empirical study of the ownership and performance of listed corporations in China and based on these analyses, the thesis provides policy recommendations as to which model of corporate governance may best be suited to China during this transitional phase. The findings suggest that the ownership structure is a key element to enhancing corporate governance in China. The wealth affects of changes in listed firm ownership, which for the most part had the effect of reducing state ownership, were found to be positive. Concentration ownership structures per se were not found to enhance listed firm performance. The most significant findings were the following. Firstly, that institutional ownership, through the Legal Person holding companies, have a positive bearing on listed firm performance and thus by implication, upon improving corporate governance. Secondly, medium levels of Legal Person ownership were found to be the most effective. Thirdly, foreign institutions and individual investors were found to be positively correlated to performance. Similar results were found for offshore ownership, but to a lessor extent. Conversely, state ownership was found to be negatively correlated to performance. Other issues that were identified in the empirical analysis are that size does matter, in that large firms were found not to perform as well as smaller firms. Leverage appears to matter also, as highly leveraged firms were found not to perform well. The industry in which a firm operates was also found to have an affect on performance. The policy recommendations are based on the findings and observations of this thesis. The assumption is made that the present gradualist approach and regime will continue. As state ownership is shown to have a negative bearing on listed firm performance, the recommendation is that the state, at its various levels, should divest its holdings. This could be achieved through a privatization program in which the state denationalises a large proportion of its holdings. One of the keys would then be managing the change of ownership. Based on the observations and findings of this study, it is recommended that a privatization program should be instigated that supports blockholders and institutions, and does not focus purely on dispersing large proportions of holdings to diverse small shareholders. In addition, mergers and acquisitions that embrace economic efficiency should be encouraged and supported. The empirical study demonstrates that the ultimate ownership and control of tradeable shares ought to be channelled to pension funds, private institutional investors that should be encouraged to take strong stakes in the firms, to strategic investors, especially minority blockholders, and a proportion to international investors. This strategy would be in China's best interests in its present stage of development.

In recent years, ¡§China as an emerging superpower¡¨ becomes popular discussion issue, Japan as the neighboring country also makes response to this. However, Japan-China relation was not only the simple relations of country to country; two countries were influenced by Confucian culture very deep in history, having the complicated emotion each other. This topic of this article is the Japan academic circle how to think and regard China in epistemology and methodology form modern times to now. This article orders the Japanese scholars in modern times how to regard China in first, then using the train of thought to conjecture the visions that contemporary Japan face ¡§China as an emerging superpower¡¨. Finally, the author compares Japan academic circle how to regard China to find out those thought communicates or joins during that time.

這篇論文討論關於中國銀行部門國際化及競爭力的問題 共有三個問題: 1.國際化如何存於中國銀行體系 2.國際化是否成功地促進中國銀行的競爭力 3.如果有競爭力化下,中國銀行會變得如何? / This paper addresses the questions related to the internationalization of China’s banking sector and implications for the competitiveness in China’s banking sector: 1) How did internationalization exist in China’s banking sector? 2) Did internationalization successfully create the competitiveness in China’s banking sector? 3) With such phenomenon, what will be the implications towards China’s banking sector? Therefore, this paper first will propose a framework for recognizing the internationalization in the China’s banking sector by comparing the banking sector in China before and after its WTO entry. Secondly, it will examine the competitiveness in China’s banking sector by analyzing the four indicators: 1) financial liberalization, 2) technological progress, 3) rating by international rating agency, and 4) Economic Growth. Also this paper will examine the competitiveness of two major commercial banks: Bank of China (BOC) and China Construction Bank (CCB) as a case study by analyzing the three indicators. They are: 1) profitability, 2) non-performing loans ratio, and 3) expansion. Finally, this paper will discuss the prospects and challenges in China’s banking sector.

O eixo central deste trabalho é a análise dos impactos que a ascensão da China poderá trazer ao Leste Asiático. Para cumprir esta tarefa, divide-se o desenvolvimento do trabalho em três capítulos. O primeiro investiga o fenômeno chamado de ascensão da China, que consiste no incremento das capacidades desse país e da consequente elevação de seu status relativo em âmbito regional (e global). Considera-se que este processo deve ser tomado em perspectiva histórica a partir do modo como o país e sua sociedade tradicionalmente se relacionaram com o exterior. Argumenta-se que a ascensão da China provoca uma alteração fundamental na polaridade e na polarização regionais, com implicações em âmbito global. Desta feita, o segundo capítulo consiste em examinar o contexto regional a partir de análises das políticas externa e de segurança dos principais atores regionais para o Leste Asiático. Isso é feito através de dois pontos de vista: a atuação regional e as relações com a China, incluindo a reação à ascensão da China. Constata-se que diante da rivalidade estratégica entre a potência hegemônica e a potência ascendente — respectivamente, Estados Unidos e China — os demais atores regionais buscam manter sua autonomia e margem de manobra entre as duas potências. O terceiro e último capítulo tem por propósito elaborar uma série de possíveis perspectivas para os desdobramentos regionais, baseado nas implicações para a polaridade, para a polarização e para as possibilidades de conflito e concertação regionais. Para tanto, utiliza-se os indicadores levantados nos capítulos anteriores e nas análises e proposições já feitas sobre o assunto. Considera-se três possíveis perspectivas: uma hegemonia chinesa sem ocorrência de guerra central; o acirramento das tensões entre Pequim e Washington, com possibilidade de guerra central; e concertação e criação de mecanismos de governança entre os atores regionais, podendo esta concertação ser anárquica — sem líderes aparentes — ou hierárquica — condomínio de potências —. Considera-se que a primeira e a terceira perspectivas apresentam a possibilidade do surgimento uma nova ordem regional sem guerra central, enquanto o segundo considera que não haverá novo tipo de governança no contexto da rivalidade estratégica entre China e Estados Unidos. Por fim, vislumbram-se algumas possibilidades para o Brasil e futuras agendas de pesquisa. / The central axis of this work is the analysis of the impacts of China's rise may have on East Asia. In order to accomplish this, research is divided in three chapters. The first explores the China's rise as a phenomenon which consists of the increase of Chinese capabilities and the consequent elevation of its relative status on a regional (and global) level. This process must be taken into account within a historical perspective, considering how the country and its society traditionally relate with the exterior. The proposed argument is that China's rise generates a fundamental change in the regional polarity and polarization, with global and regional-level implications. Thus, the second chapter consists of a study of the regional context based on an analysis of the foreign and defense policies of the main regional actors in East Asia. Two points are considered for this: their regional actions and their relations with China, more specifically, how they deal with the Chinese change of status. Accordingly, these regional actors seek to maintain their autonomy and leeway vis-à-vis the strategic rivalry between the hegemon and the rising power: the US and China respectively. The third and last chapter elaborates a series of possible regional scenarios, based on their implications to polarity, polarization, and the likelihood of conflict or regional concertation. To achieve this, this assessment uses indicators presented in the previous chapters and from analyses and propositions by other authors. Three main scenarios are considered: a Chinese hegemony without a central war, the intensification of tensions between Beijing and Washington (with a likely central war), and the creation of governance and concertation mechanisms between the regional actors. These mechanisms might be anarchical — without apparent leaders — or hierarchical. Further examination shows that the first and third scenarios present the possibility of the emergence of a new regional order without a central war, while the second scenario deems that there will not be a new governance type within the strategic rivalry context. Lastly, this work offers some of the opportunities this phenomenon may bring to Brazil, as well as suggests a further research agenda.

Desde que foi proclamada em 1949, a República Popular da China passa por um intenso processo de transformação política e econômica. Essa pesquisa analisa alguns aspectos desse processo, tomando como referencial a questão camponesa. Para isso, discorre sobre o papel do campesinato na revolução chinesa, na edificação da República Popular e sobre sua contribuição para a industrialização. Enfatiza que os benefícios econômicos advindos com a intensificação das reformas iniciadas em 1978 são distribuídos de forma assimétrica. De um lado, o Estado é cada vez mais forte, principalmente no plano externo. Por outro, grande parte da população, especialmente na zona rural onde ainda vive a maioria da população, enfrenta uma situação social bastante adversa. A crescente desigualdade econômica é apenas uma das muitas fraturas sociais gestadas pelo processo de modernização. Por ameaçar permanentemente a estabilidade política essas fraturas são vistas pelo governo como grandes obstáculos morais, políticos e econômicos. E colocam mais uma vez os camponeses no centro dos debates sobre o futuro da modernização chinesa. / Since the promulgation in 1949, the Popular Republic of China (PRC) experiments an intense political and economic transformation process. This resource analyses some aspects of this process, to take as a reference a peasant question. In order to, discourses about the role of peasant on Chinese revolution, on PRC building and its contribution for individual individualization. It stand out that economic profits get holds in improvements reforms started in 1978 have asymmetrical distribution. On one hand, the State is stronger before than, principally abroad. On other hand, a larger part of people, especially on rural area where live most that, is face to a social adverse situation. The increasing economic inequality is only one among many social ruptures developed by modernization process. These ruptures that permanently threaten political stability are perceptible by government just moral, political, and economic barriers. Put once more peasants at the center of debates about the future of Chinese modernization.

Orientador: Antonio Carlos Paulillo / Banca: Ângela Cleusa de Fátima Banzatto de Carvalho / Banca: Márcia Nishizawa / Resumo: Parâmetros clínicos, imunitários, proteinograma sérico e epidemiológicos da vacinação em gansos-da-China foram avaliados por três experimentos. Amostras vacinais Ulster 2C, B1 e La Sota do VDN foram utilizadas. A importância epidemiológica e pesquisa do estado de portador do VDN também foram avaliadas. No experimento 1, foram utilizados 120 gansos-da-China de um dia a 60 dias de idade, distribuídos em 4 tratamentos com 30 animais, submetidos a diferentes esquemas imunoprofiláticos. Os resultados dos títulos de anticorpos (HI) mostraram que os programas imunoprofiláticos ensaiados foram igualmente eficientes no estímulo da resposta imune humoral. Após o desafio frente a uma estirpe patogênica do VDN, aos 60 dias de vida das aves, em todos os grupos, realizou-se a extração de RNA viral através da reação de cadeia de polimerase pós Transcrição Reversa (RT-PCR). No experimento 2, foram utilizadas aves SPF conviventes com gansos-da-China inoculados com uma estirpe patogênica do VDN, decorridos seis, 10 e 20 dias da infecção experimental, após a infecção com o VDN, nas duas espécies, empregou-se a técnica do RT-PCR. Observou-se a transmissão de vírus patogênico (VDN) dos gansos-da- China para as aves SPF conviventes decorridos até 14 dias da infecção experimental com este patógeno, o que vem realçar a importância do ganso-da-China como fonte potencial de infecção de VDN para aves domésticas No experimento 3, foram determinadas as concentrações séricas das proteínas totais, albumina e globulinas das aves vacinadas e não vacinadas contra a doença de Newcastle. Notou-se que aos 42 dias de idade, de forma geral, os gansos vacinados com as estirpes Ulster 2C, B1 e Lasota apresentaram diferença de forma significativa em relação ao grupo controle para as concentrações séricas de albumina, especialmente o grupo vacinado com a estirpe LaSota. / Abstract: The clinical, epidemiological, immunological parameters and the serum proteinogram of vaccination in Chinese geese were investigated using 3 experiments. Ulster 2C, B1 and LaSota vaccines strains of the NDV were used. In experiment 1, 120 one-day-old Chinese geese were used, and divided into 4 different groups with 30 birds per group. They were submitted to different vaccination programs. The immunological responses in these birds were measured by HI test. These birds were also challenged with a pathogenic VDN strain at 60 days of age. After challenge, in all the groups, tracheal and cloacal swabs were collected for RT-PCR. Independent of the group, clinical signs of reaction to the vaccine were not observed. The antibody titers (HI) results showed that the immune vaccine programs adopted were equally efficient in stimulating protective levels of humoral immune responses. Challenged Chinese geese were refractory to the NDV clinical disease. However, a NDV carrier state was shown in this species until 20 days after experimental infection. The vaccinated groups of Chinese geese did not present any genetic material of virus in the RT-PCR. Therefore, these results show the relevance of vaccination in suppressing a NDV carrier state in the Chinese geese. In experiment 2, SPF chickens housed with Chinese geese which were previously inoculated with a pathogenic NDV strain, developed severe and characteristic NDV lesions and died, after five and 14 days. In experiment 3, the serum proteinogram showed significantly differences for albumin concentrations between the vaccinated and the control group at 42 days of age, especially the birds vaccinated with LaSota strain. / Mestre

O eixo central deste trabalho é a análise dos impactos que a ascensão da China poderá trazer ao Leste Asiático. Para cumprir esta tarefa, divide-se o desenvolvimento do trabalho em três capítulos. O primeiro investiga o fenômeno chamado de ascensão da China, que consiste no incremento das capacidades desse país e da consequente elevação de seu status relativo em âmbito regional (e global). Considera-se que este processo deve ser tomado em perspectiva histórica a partir do modo como o país e sua sociedade tradicionalmente se relacionaram com o exterior. Argumenta-se que a ascensão da China provoca uma alteração fundamental na polaridade e na polarização regionais, com implicações em âmbito global. Desta feita, o segundo capítulo consiste em examinar o contexto regional a partir de análises das políticas externa e de segurança dos principais atores regionais para o Leste Asiático. Isso é feito através de dois pontos de vista: a atuação regional e as relações com a China, incluindo a reação à ascensão da China. Constata-se que diante da rivalidade estratégica entre a potência hegemônica e a potência ascendente — respectivamente, Estados Unidos e China — os demais atores regionais buscam manter sua autonomia e margem de manobra entre as duas potências. O terceiro e último capítulo tem por propósito elaborar uma série de possíveis perspectivas para os desdobramentos regionais, baseado nas implicações para a polaridade, para a polarização e para as possibilidades de conflito e concertação regionais. Para tanto, utiliza-se os indicadores levantados nos capítulos anteriores e nas análises e proposições já feitas sobre o assunto. Considera-se três possíveis perspectivas: uma hegemonia chinesa sem ocorrência de guerra central; o acirramento das tensões entre Pequim e Washington, com possibilidade de guerra central; e concertação e criação de mecanismos de governança entre os atores regionais, podendo esta concertação ser anárquica — sem líderes aparentes — ou hierárquica — condomínio de potências —. Considera-se que a primeira e a terceira perspectivas apresentam a possibilidade do surgimento uma nova ordem regional sem guerra central, enquanto o segundo considera que não haverá novo tipo de governança no contexto da rivalidade estratégica entre China e Estados Unidos. Por fim, vislumbram-se algumas possibilidades para o Brasil e futuras agendas de pesquisa. / The central axis of this work is the analysis of the impacts of China's rise may have on East Asia. In order to accomplish this, research is divided in three chapters. The first explores the China's rise as a phenomenon which consists of the increase of Chinese capabilities and the consequent elevation of its relative status on a regional (and global) level. This process must be taken into account within a historical perspective, considering how the country and its society traditionally relate with the exterior. The proposed argument is that China's rise generates a fundamental change in the regional polarity and polarization, with global and regional-level implications. Thus, the second chapter consists of a study of the regional context based on an analysis of the foreign and defense policies of the main regional actors in East Asia. Two points are considered for this: their regional actions and their relations with China, more specifically, how they deal with the Chinese change of status. Accordingly, these regional actors seek to maintain their autonomy and leeway vis-à-vis the strategic rivalry between the hegemon and the rising power: the US and China respectively. The third and last chapter elaborates a series of possible regional scenarios, based on their implications to polarity, polarization, and the likelihood of conflict or regional concertation. To achieve this, this assessment uses indicators presented in the previous chapters and from analyses and propositions by other authors. Three main scenarios are considered: a Chinese hegemony without a central war, the intensification of tensions between Beijing and Washington (with a likely central war), and the creation of governance and concertation mechanisms between the regional actors. These mechanisms might be anarchical — without apparent leaders — or hierarchical. Further examination shows that the first and third scenarios present the possibility of the emergence of a new regional order without a central war, while the second scenario deems that there will not be a new governance type within the strategic rivalry context. Lastly, this work offers some of the opportunities this phenomenon may bring to Brazil, as well as suggests a further research agenda.

O eixo central deste trabalho é a análise dos impactos que a ascensão da China poderá trazer ao Leste Asiático. Para cumprir esta tarefa, divide-se o desenvolvimento do trabalho em três capítulos. O primeiro investiga o fenômeno chamado de ascensão da China, que consiste no incremento das capacidades desse país e da consequente elevação de seu status relativo em âmbito regional (e global). Considera-se que este processo deve ser tomado em perspectiva histórica a partir do modo como o país e sua sociedade tradicionalmente se relacionaram com o exterior. Argumenta-se que a ascensão da China provoca uma alteração fundamental na polaridade e na polarização regionais, com implicações em âmbito global. Desta feita, o segundo capítulo consiste em examinar o contexto regional a partir de análises das políticas externa e de segurança dos principais atores regionais para o Leste Asiático. Isso é feito através de dois pontos de vista: a atuação regional e as relações com a China, incluindo a reação à ascensão da China. Constata-se que diante da rivalidade estratégica entre a potência hegemônica e a potência ascendente — respectivamente, Estados Unidos e China — os demais atores regionais buscam manter sua autonomia e margem de manobra entre as duas potências. O terceiro e último capítulo tem por propósito elaborar uma série de possíveis perspectivas para os desdobramentos regionais, baseado nas implicações para a polaridade, para a polarização e para as possibilidades de conflito e concertação regionais. Para tanto, utiliza-se os indicadores levantados nos capítulos anteriores e nas análises e proposições já feitas sobre o assunto. Considera-se três possíveis perspectivas: uma hegemonia chinesa sem ocorrência de guerra central; o acirramento das tensões entre Pequim e Washington, com possibilidade de guerra central; e concertação e criação de mecanismos de governança entre os atores regionais, podendo esta concertação ser anárquica — sem líderes aparentes — ou hierárquica — condomínio de potências —. Considera-se que a primeira e a terceira perspectivas apresentam a possibilidade do surgimento uma nova ordem regional sem guerra central, enquanto o segundo considera que não haverá novo tipo de governança no contexto da rivalidade estratégica entre China e Estados Unidos. Por fim, vislumbram-se algumas possibilidades para o Brasil e futuras agendas de pesquisa. / The central axis of this work is the analysis of the impacts of China's rise may have on East Asia. In order to accomplish this, research is divided in three chapters. The first explores the China's rise as a phenomenon which consists of the increase of Chinese capabilities and the consequent elevation of its relative status on a regional (and global) level. This process must be taken into account within a historical perspective, considering how the country and its society traditionally relate with the exterior. The proposed argument is that China's rise generates a fundamental change in the regional polarity and polarization, with global and regional-level implications. Thus, the second chapter consists of a study of the regional context based on an analysis of the foreign and defense policies of the main regional actors in East Asia. Two points are considered for this: their regional actions and their relations with China, more specifically, how they deal with the Chinese change of status. Accordingly, these regional actors seek to maintain their autonomy and leeway vis-à-vis the strategic rivalry between the hegemon and the rising power: the US and China respectively. The third and last chapter elaborates a series of possible regional scenarios, based on their implications to polarity, polarization, and the likelihood of conflict or regional concertation. To achieve this, this assessment uses indicators presented in the previous chapters and from analyses and propositions by other authors. Three main scenarios are considered: a Chinese hegemony without a central war, the intensification of tensions between Beijing and Washington (with a likely central war), and the creation of governance and concertation mechanisms between the regional actors. These mechanisms might be anarchical — without apparent leaders — or hierarchical. Further examination shows that the first and third scenarios present the possibility of the emergence of a new regional order without a central war, while the second scenario deems that there will not be a new governance type within the strategic rivalry context. Lastly, this work offers some of the opportunities this phenomenon may bring to Brazil, as well as suggests a further research agenda.

This thesis introduces China's contemporary history especially the period 1949-1976 based on the analysis of selected British and American historiography. Through the criticism and comparison of British and American scholars' discourse, this thesis will obtain a deeper understanding of China's history. This thesis regards Mao Zedong as the main China's historical figure, as well as the construction of new China as the main line of writing. So the position of Mao and the Chinese Communist Party during the period of the construction of new China is an important part to discuss in this thesis. The thesis mainly talks about the period 1949-76 of China from the perspective of political and economic policies and movements, international relations, social issues, military actions and cultural movements. In addition, this thesis also emphasizes on discussing the angles, methodology and terminology of British and American historiography on China's contemporary history.

This thesis investigates the factors that can sufficiently explain China's policy change on climate change issue. We utilize interest-based theory in environmental politics and constructivism to explore the drivers behind China's climate change policy formulation. The theories are tested by process tracing the historical development of China's policy on climate change. The analysis is further complemented by other explanatory factors based on empirical findings, including domestic policy process and the impact of non-state actors. The study finds out that China's climate change policy has experienced positive changes with growing policy stringency. The result shows that China's climate change policy cannot be sufficiently explained by the interest-based theory, the factor regarding ecological vulnerability can be only partially confirmed. Instead, international norms can provide plausible incentives for policy change through the process of socialization. The final policy outcomes are also connected to the interest of the most influential domestic political actor. The study results help us to better understand the environmental politics in China and provides guidelines to predict China's role in international climate change negotiation after the Conference of Parties in Paris.