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系統識別號 U0026-2101201513251700
論文名稱(中文) 臺灣金融自由化與國際化之政經研究:1980-2005
論文名稱(英文) The Political Economy of Financial Liberalization and Internationalization in Taiwan: 1980-2005
校院名稱 成功大學
系所名稱(中) 政治經濟研究所
系所名稱(英) Graduate Institute of Political Economy
學年度 103
學期 1
出版年 104
研究生(中文) 陳國輝
研究生(英文) Kok-Fay Chin
學號 U18957015
學位類別 博士
語文別 英文
論文頁數 110頁
口試委員 指導教授-陳欣之
口試委員-楊永年
口試委員-謝文真
口試委員-李秉正
口試委員-廖舜右
口試委員-辛翠玲
中文關鍵字 金融自由化與國際化  國家  制度  新自由主義全球化 
英文關鍵字 Financial Liberalization and Internationalization  State  Institution  Neoliberal Globalization 
學科別分類
中文摘要 隨著1980年代後新自由主義崛起,開發中國家受到來自貿易夥伴和國際制度方面強烈的政治與經濟壓力,希冀其能加速開放資本帳與金融服務貿易的自由化。「限制說」認為世界經濟朝向英美模式聚合是必然路徑,這就引伸出一個問題,在現今新自由主義金融自由化的浪潮下,臺灣是否能有不同的政策選擇權。臺灣是一個小型開放經濟體,與世界經濟有著極大的連動關係,卻因政治因素被所有國際組織屏除在外,其中也包括為因應1997-98東亞金融危機所興起的區域金融與貨幣合作機制。
臺灣的特殊地位提供了一個有趣的研究案例,因此作者以臺灣為個案,探討一個小型且孤立的政體,在國際金融市場與資本流動的龐大壓力下,其金管政策的自主性是否面臨嚴峻挑戰。
過去相關研究範疇多著重於國內金融自由化方面,本論文的研究主題則是臺灣的金融自由化與國際化,包括國際資本流動及服務業貿易自由化。作者也藉由檢視國際與國內政治錯綜複雜的互動方式,以了解臺灣自1980年代國內金融市場與資本帳加速開放之際,金融自由化與國際化的演進歷程,期使對臺灣金融自由化的政治經濟學作出貢獻。
金融服務貿易自由化的程度必須滿足全球性工業公司的需求,臺灣在這方面持續開放金融服務業,甚至比加入WTO時所許的承諾更多。但儘管臺灣的資本帳自由化始於1980年代,臺灣對於國際資本流動仍維持警戒和審慎的管制,其中以對有價證券和投機性資本流動的管制為多。
過去的研究顯示開發中國家一旦越民主,國內金融自由化的程度提高,則政府對國內金融管制的能力就越低。然而,本論文分析臺灣金融政策的制度強度,發現臺灣長期以來皆能成功控制外部金融自由化的速度與開放項目,這是因為臺灣保留發展型國家的中央集權制,因此在步入自由化之際仍能堅守資本帳管制,而中央銀行則是穩定臺灣金融發展與復甦的重要支柱,幫助臺灣經濟免於受到政治操縱和市場扭曲的影響。
英文摘要 Following the rise of neoliberalism since the 1980s, developing countries have come under strong economic and political pressures from trading partners and international institutions to accelerate capital account liberalization as well as liberalization of trade in financial services. The ‘constraint school’ argues that the convergence towards the Anglo-American model is inevitable. This gives rise to the question of whether Taiwan had policy choices with respect to financial liberalization in the presence of systemic pressures during this emerging neoliberal financial order.

Being a small open economy and excluded from membership in any international organizations as well as the regional financial and monetary cooperation that has emerged since the 1997-98 East Asian financial crisis, Taiwan provides a useful case study in examining whether its small size and diplomatic isolation posed serious problems and challenges to national policy autonomy, particularly related to its regulation of international financial markets and capital flows.

As most previous research to date has paid attention primarily on domestic financial liberalization, the thesis contributes to the literature by examining the political economy of Taiwan’s financial liberalization and internationalization, which include the liberalization of international capital flows and trade in financial services. The thesis also seeks to contribute to the literature on the political economy of financial liberalization in Taiwan by examining the complex interactions of international and domestic politics in order to understand Taiwan’s approach to financial liberalization and internationalization since the 1980s during which wider opening of the domestic financial markets and capital account began to gain momentum.

To the extent that liberalization of trade in financial services was necessary to meet the growing needs of its.increasingly globalized industrial firms, Taiwan continues to liberalize its financial services even beyond its WTO accession commitments. However, Taiwan continues to maintain a precautionary and prudential regulatory framework for managing international capital flows, in particular the portfolio and speculative capital flows despite liberalization of the capital account since the 1980s.

The previous studies show the diminishing institutional capacities of the developmental state in financial policymaking with respect to domestic financial liberalization due to increasing democratization. However, our analysis of Taiwan’s institutional strength of financial policymaking shows that Taiwan had been largely successful in sustaining control over the pace of a gradual and selective external financial liberalization. Retained developmental statist capacities continue to set the tone for Taiwan's liberalization with re-regulation and management of its capital account liberalization. The Central Bank of the Republic of China became the important institutional pillar safeguarding Taiwan’s financial stability and resilience that was largely kept intact, insulating the economy from politically manipulation and market distortion.
論文目次 摘要 i
Abstract iii
Acknowledgments v
Table of Contents vii
List of Tables ix
List of Figures x
List of Abbreviations/Acronyms xi
Chapter 1 Introduction 1
1.1 Background of the Study 1
1.2 Purpose of the Study 3
1.3 Research Questions and Statement of the Problem 4
1.4 Significance of Study 10
1.5 Research Methodology 11
1.6 Definitions 13
1.7 Limitations of Study 14
Chapter 2 Literature Review 15
2.1 The Dominance of Neoliberal Financial Order 15
2.2 The Political Economy of Financial Liberalization and Internationalization in Taiwan 21
2.3 Lacuna 28
Chapter 3 Analytical and Conceptual Framework 32
3.1 Analytical Framework 32
3.2 Conceptual Framework 39
3.2.1 State 39
3.2.2 Institutions and Domestic Institutions of Financial Policymaking in Taiwan 41
3.2.3 Neoliberal globalization 44
3.2.4 Financial Liberalization and Internationalization 46
Chapter 4 External Pressures 49
4.1 The US Influence 50
4.2 The WTO Factor 54
4.3 Discussions 59
Chapter 5 Domestic Pressures 61
5.1 The Influence of Business Interests 61
5.2 Legislative Influence 66
5.3 Discussions 67
Chapter 6 Institutional Foundation of Financial Policymaking in Taiwan 69
6.1 Financial Policymaking in Taiwan 69
6.2 Discussions: Taiwan’s Approach to External Financial Liberalization 76
Chapter 7 Conclusion 87
7.1 Summary and Theoretical Implications 87
7.3 Future Research 90
References 92
Appendix 1 Semi-Structured Interview with Dr. Eugene C.M. Tsai (蔡炯民), Senior Economist, CBC, November 2012 105
Appendix 2 Semi-Structured Interview with Former Taiwan’s Minister of Finance, Dr Ho Chih-Chin (何志欽), January 2010. 106
Appendix 3 Organization Structure of the CBC. 107
Appendix 4 Organization Structure of the FSC. 108
Appendix 5 Regulation and Liberalization of Cross-Strait Capital Flows and Trade in Financial Services. 109
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Wade, Robert, Governing the Market: Economic Theory and the Role of Government in East Asian Industrialization, (Princeton, N.J.: Princeton University Press, 2nd Paperback Edition, 2004).
Wang, Wen-yeu and Christopher Chen Chao-hung, ‘Liberalization of Taiwan’s Securities Markets – The Case of Cross-Taiwan-Strait Listings’, Research Collection School of Law (Open Access) Paper 979, 2011. Website: http://ink.library.smu.edu.sg/sol_research/979 (Viewed on October 15, 2013).
Weiss, Linda, The Myth of the Powerless State: Governing the Economy in a Global Era, (Cambridge: Polity Press, 1998).
Weiss, Linda, ’Globalization and National Governance: Antinomy or Interdependence?’, Review of International Studies, (1999): pp. 59-88.
Weiss, Linda, 'Introduction: Bring Domestic Institutions Back In’, in Linda Weiss (ed.), States in the Global Economy: Bringing Domestic Institutions Back In, (Cambridge: Cambridge University Press, 2003).
Weiss, Linda, 'Guiding Globalisation in East Asia: New Roles in Old Developmental States', in Linda Weiss (ed.), States in the Global Economy: Bringing Domestic Institutions Back In, (Cambridge: Cambridge University Press, 2003).
Wu, Rong-I, 'Entry into the WTO and the Internationalization of the Taiwan Financial Industry', Review of Pacific Basin Financial Markets and Policies, Vol. 4, No. 3 (2001) pp.325-328.
Wu Chung-Shu and Hu Sheng-Cheng, 'Interest Rates, Credit Rationing, and Banking Deregulation in Taiwan', in Takatoshi Ito and Anne O. Krueger (eds), Deregulation and Interdependence in the Asia-Pacific Region, NBER-EASE Volume 8, (University of Chicago Press, 2000). Website: http://www.nber.org/chapters/c8483 (Viewed on May 20, 2013)
Wu Rong-I, 'Entry into the WTO and the Internationalization of the Taiwan Financial Industry', Review of Pacific Basin Financial Markets and Policies, Vol. 4, No. 3 (2001)
World Bank, The East Asian Miracle: Economic Growth and Public Policy, (New York: Oxford University Press, 1993)
Yang, Guang-hwa Connie, 'Taiwan's Approach to WTO', Taiwanese Journal of WTO Studies, Vol. 1 (2005), pp.23-61.
Yang, Ya-Hwei, 'The Fiancial System and Financial Reform', in Mai Chao-Cheng and Shih Chien-Sheng (ed) Taiwan's Economic Success since 1980, (Cheltenham: Edward Elgar, 2001).
Zhang, Xiaoke, ‘Political Structures and Financial Liberalization in Pre-Crisis East Asia’, Studies in Comparative International Development, (2003), Vol. 38, No. 1, pp. 64-92.
Zhang, Xiaoke, ‘Political Institutions and Central Bank Autonomy in Taiwan’, European Journal of East Asian Studies, Vol. 4, No. 1, pp. 87-113.

Dissertation

Tsai, Chang-hsien, Law Market Forces Underlying International Jurisdictional Competition: The Case Of Taiwan’s Regulatory Evolution On Outward Investment In Mainland China, 1997-2008, Dissertation Submitted in partial fulfillment of the requirements for the degree of Doctor of the Science of Law in Law in the Graduate College of the University of Illinois at Urbana-Champaign, (2010),

Organization/Government Reports/Documents

AmCham, AmCham Special Luncheon - Deregulation of China-Taiwan Banking: Where's the Beef?, (Taipei: American Chamber of Commerce In Taipei, 2010 February 2).
CBC, Annual Report 1999, (Taipei: Central Bank of China, 2000).
CBC, Annual Report 2005, (Taipei: Central Bank of China, 2006).
CBC, Annual Report 2013, (Taipei: Central Bank of China, 2014).
Darvas, Zsolt and Jean Pisani-Ferry, 'The Threat of 'Currency Wars': A European Perspective, Brussels: Policy Department Economic and Scientific Policies, European Parliament, November 17, 2010.
FSC, Annual Report 2004, (Taipei: Financial Supervisory Commission, Taiwan, 2005).
FSC, Organic Act Governing the Establishment of the Financial Supervisory Commission Promulgated on July 23, 2003, (Taipei: Financial Supervisory Commission, Taiwan 2013 Jan 14), Website: http://www.fsc.gov.tw/en/home.jsp?id=50&parentpath=0,1 (Viewed on January 15, 2015).
Shieh, Samuel C., Collected Speeches and Articles (June 1989-June 1993) of Dr. Samuel C. Shieh, Compiled and designed by Se-Mei Lee, (Taipei: The Central Bank of China, 1993).
US Department of the Treasury, Report to Congress on International Economic and Exchange Rate Policies, (Washington, DC: US Department of the Treasury, 2013), April 12. Website: http://www.treasury.gov/resource- center/international/exchange- rate-policies/Documents/Foreign%20Exchange%20Report%20April%202013.pdf (Viewed on May 30, 2013).
US Department of the Treasury, Report to Congress on International Economic and Exchange Rate Policies, (Washington, DC: US Department of the Treasury, 2014), April 15. Website: http://www.treasury.gov/resource-center/international/exchange- rate-policies/Documents/2014-4-15_FX REPORT FINAL.pdf (viewed on Nov 10, 2014),
USITC, U.S.-Taiwan FTA: Likely Economic Impact of a Free Trade Agreement Between the United States and Taiwan, (Washington, DC: United States International Trade Commission, 2002).
USTR, 2005 National Trade Estimate Report on Foreign Trade Barriers, (Washington, DC: United States Trade Representative, 2005), Website: http://www.ustr.gov/archive/Document_Library/Reports_Publications/2005/2005_NTE _Report/Section_Index.html (Viewed November 10, 2014).
USTR, 2013 National Trade Estimate Report on Foreign Trade Barriers, (Washington, DC: United States Trade Representative, 2013). Website: http://www.ustr.gov/sites/default/files/2013%20NTE.pdf (Viewed December 1, 2014).
WTO, Trade Policy Review - Separate Customs Territory of Taiwan, Penghu, Kinmen and Matsu 2014, (Geneva: World Trade Organization, 2014 July 29).
Zoellick, Robert B., ‘U.S. Trade,’ U.S. Trade Representative in Statement Before the Senate Finance Committee, Washington, DC, March 5, 2003.

Newspapers/Magazines

Chung, Amber, 'Foreign Bankers Want More Opening-Up', Taipei Times, Dec 09, 2005, Website: http://www.taipeitimes.com/News/biz/archives/2005/12/09/2003283673 (Viewed March 29, 2010).
China Economic News Service (CENS), ‘Exchange Rate More Important Than Interest Rate: Perng’, Taiwan Industry Updates Oct. 27, 2005, Website: http://cens.com/cens/html/en/news/news_inner_9007.html (Viewed on May 30, 2011).
China Economic News Service (CENS), 'Taiwan's central bank to keep NT$ from rising sharply', Taiwan Industry Updates, Sept. 26, 2003, Website: http://cens.com/cens/html/en/news/news_inner_12186.html (Viewed on May 30, 2011).
Chou, Stanley, 'Foreign Exchange Rules May Be Relaxed', Taipei Times, (March 6, 2002). Website: http://www.taipeitimes.com/News/twbiz/archives/2002/03/06/126619 (Viewed on March 28, 2010)
Ho, Jessie, ‘Rockefeller Issues Call for Reform’, Taipei Times, May 31, 2005, Website: http://www.taipeitimes.com/News/biz/archives/2005/05/31/2003257360 (Viewed on March 29, 2010).
Huang, Joyce, 'PFP's Forex Plan Stalls in Committee', Taipei Times, (May 02, 2002). Website: http://www.taipeitimes.com/News/biz/archives/2002/05/02/134307 (Viewed on March 28, 2010)
Taipei Times Editorial, 'Seeking Government Aid Is Futile', Taipei Times, 2011, Sep 5, Website: http://www.taipeitimes.com/News/editorials/print/2011/09/05/2003512474 (Viewed Nov 3, 2014)
Taipei Times Editorial, ‘Navigating Cross-Strait Banking’, Taipei Times, 2013, April 07, Website: http://www.taipeitimes.com/News/editorials/print/2013/04/07/2003558977 (Viewed on November 7, 2013).
The China Post, 'Central bank is not planning to devaluate: Perng', November 13, 2014. Website: http://www.chinapost.com.tw/print/421720.htm (Viewed on November 5).
The China Post, ‘MOEA eyes upgrades after S. Korea FTA’, November 17, 2014. Website: http://www.chinapost.com.tw/print/421997.htm (Viewed on December 3, 2014)
Tollefson, Erik, 'Taiwanese Monetary Policy: Between a Rock and Hard Place', The Diplomat, (January 09, 2014) Website: http://thediplomat.com/2014/01/taiwanese- monetary-policy-between-a-rock-and-hard-place/ (Viewed on Oct. 31, 2014).

Interviews

Interview with Ho, Chih-Chin, former Minister of Finance (2006-2008) and Executive Vice President of National Cheng Kung University, January 2010.
Interview with Tsai, C.M., Central Bank of the Republic of China, November 2012.
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