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| Title: | 台灣、泰國與馬來西亞金融改革的政治分析：制度透明化與問責
The Politics of Financial Reform in Taiwan, Thailand, and Malaysia: Institutional Transparency and Accountability |
| Authors: | 陳尚懋
CHEN, Shangmao |
| Contributors: | 郭承天
KUO, Chengtian
陳尚懋
CHEN, Shangmao |
| Keywords: | 台灣
泰國
馬來西亞
金融改革
治理
Taiwan
Thailand
Malaysia
Financial Reform
Governance |
| Date: | 2003 |
| Issue Date: | 2009-09-19 15:39:54 (UTC+8) |
| Abstract: | 台灣、泰國與馬來西亞這三個國家分別在1997年與1998年遭受到了嚴重的金融危機，這三個國家也都分別採取了相關的政策進行金融改革。但是在危機發生五、六年的時間之後，這三個國家的金融改革成效卻出現了差異。因此本論文最主要的問題即在於：這三個國家金融改革成效出現差異的最主要原因為何？為了有效分析與解答這一問題，本研究透過三研究層次的建立：制度(治理結構)、組織(監理架構)與市場(金融體系)，以及四個主要概念的釐清：自主性(autonomy)、職能(capacity)、透明化(transparency)與問責(accountability)，建構出所謂的「ACTA理論」(ACTA Theory)。
本研究主要論點為：台灣、泰國與馬來西亞這三個國家金融改革成效出現差異的原因在於，這三個國家治理結構與監理架構的ACTA不同所導致。泰國在危機之後，有了一部新憲法，並啟動大規模的政治改革，大幅提昇了治理結構與監理架構的ACTA，使得泰國的金融改革成效為這三個國家中最好的。馬來西亞在危機發生之後，並未進行政治改革，治理結構與監理架構的ACTA與危機發生之前相比，並未有明顯的改進，也因此其金融改革的成效為三個國家中最差的。至於台灣雖然在危機發生之後，出現了首次的政黨輪替，順利啟動了相關的改革工作，治理結構與監理架構的ACTA也有些許的提升，但是改善的幅度不如泰國，也因此台灣的金融改革成效位居三個國家之中。因此，若要有效進行金融改革，相關的政治改革是必要的，只有當治理結構與監理架構的ACTA獲得提升，金融改革才得以發揮其效用。
The thesis focuses on the domestic institutional arrangements and relationships among key political and financial actors in Taiwan, Thailand, and Malaysia after the financial crisis. As we know, Thailand and Malaysia were attacked seriously by the Asian financial crisis in 1997. Meanwhile, also affected by the 1997 Asian financial crisis, many Taiwanese enterprises have reported serious problems in their financial structures and suspended their payments of loans to the banks.
What happened in Taiwan, Thailand and Malaysia after the crisis? Though these three countries were all attacked by the financial crisis, but with different hurts. Thailand seemed to be the worse, and Taiwan was better than Malaysia. In addition to, all these three countries adapted financial reform policies after the crisis, but still with different degrees of recovery. Malaysia had a fast recovery, but short-term and unstable. Thailand recovered slowly but strong and stable. Taiwan speeded up the reform after the first party turnover in 2000.
What are the causes of the financial reform differences in Taiwan, Thailand, and Malaysia? Why did these three countries go in different ways on recovery? In order to answer this question, I develop a theory, called “ACTA Theory”. I use these four institutional variables: autonomy, capacity, transparency, accountability (ACTA), and three analysis levels to analysis the financial reform in Taiwan, Thailand, and Malaysia.
The first level is the governance structure, including the bureaucracies, politicians, political parties, conglomerates, and local factions, etc. The second level is the regulatory framework, including the financial regulatory agency, like Central Bank, Ministry of Finance, or other financial restructuring authority, like FRA, CDRAC, TAMC in Thailand, Danaharta, Danamodal, CDRC in Malaysia, and Financial Supervisory Authority in Taiwan. The third level is the financial system, including the banks, finance companies, and merchant banks, also the performance of financial consolidation plan.
In conclusion, the ACTA of governance structure will influence the ACTA of regulatory framework from the top, and the institutional relationships between the governance structure and regulatory framework will influence the financial system jointly. Therefore the ACTA of governance structure and regulatory framework are critical for financial reform. |
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Narayan, Francis B., Ted Godden, Barry Reid, and Maria Rosa P. Ortega, Financial Management and Governance Issues in Selected Developing Member Countries: A Study of Cambodia, China (People’s Republic of), Mongolia, Pakistan, Papua New Guinea, Uzbekistan and Viet Nam (Manila: Asian Development Bank, 2000).
National Economic Action Council, National Economic Recovery Plan: Agenda for Action (Kuala Lumpur: Prime Minister’s Department, 1998).
Nor Aizurawati Aminudin, Corporate Performance and Ownership Structure: A Comparative Analysis Between Bumiputera and Non-Bumiputera Controlled Companies (MA Thesis: University of Malaya, 2000).
Nor Azizan bte Che Embi, The Performance of Bumiputera-Controlled Companies at the KLSE, Before and During The Currency Crisis (MA Thesis: University of Malaya, 2000).
North, Douglas C., Structure and Change in Economic History (New York: W.W. Norton, 1981).
North, Douglas C., Institutions, Institutional Change and Economic Performance (Cambridge: Cambridge University Press, 1990).
Ockey, James, “Political Parties, Factions, and Corruption in Thailand”, Modern Asian Studies, Vol. 28, No. 2, (1994), pp.251-277.
Ockey, James, “Change and Continuity in the Thai Political Party System”, Asian Survey, Vol. 43, No. 4 (2003), pp. 663-680.
OECD, Public Sector Transparency and Accountability: Making it Happen (Paris: OECD, 2002).
Okposin, Samuel Bassey, and Cheng Ming Yu, Economic Crises in Malaysia: Cause, Implications and Policy Prescriptions (Subang Jaya: Pelanduk Publications, 2000).
Onis, Z., “The Logic of the Developmentalist State”, Comparative Politics, No. 24 (1991), pp. 109-121.
Ostrom, Elinor, “Institutional Rational Choice: An Assessment of the IAD Framework”, paper presented at the 1996 American Political Science Association Meetings, San Francisco, California.
Palmier, Leslie, The Control of Bureaucratic Corruption: Case Studies in Asia (New Delhi: Allied Publishers, 1985), pp. 271-272.
Pakorn Vichyanond, Non-Performing Loans (NPL) and Debt Restructuring in Thailand (Bangkok: TDRI, 2002).
Pakorn Vichyanond, Financial Reforms in Thailand (Bangkok: TDRI, 2000).
Pakorn Vichyanond, Complicated Difficulties behind Financial Resolution: The Case of Thailand (Bangkok: TDRI, 2001).
Park, Jong H., “Globalization of Financial Markets and the Asian Crisis: Some Lessons for Third World Developing Countries”, Journal of Third World Studies, Vol. XIX, No. 2 (Fall, 2002), pp. 141-164.
Pasuk Phongpaichat, “Corruption: Is There Any Hope at All?”, paper for Prajadhipok Institute Workshop on Governance, Pattaya, November 1999.
Pasuk Phongpaichit, “Good Governance: Thailand’s Experience”, paper for Asia Pacific Finance Association annual conference, Bangkok. July 2001.
Pasuk Phongpaichit and Sungsidh Piriyarangsan, Corruption and Democracy in Thailand (Chiang Mai: Silkworm Books, 1999).
Pasuk Phongpaichit, and Chris Baker, Thailand’s Boom and Bust (Chiang Mai: Silkworm Books, 1998).
Pasuk Phongpaichit and Chris Baker, Thailand’s Crisis (Chiang Mai: Silkworm Books, 2000).
Pasuk Phongpaichit, and Chris Baker, Thailand: Economy and Politics (Kuala Lumpur: Oxford University Press, 2002).
Pempel, T. J., ed., Politics of the Asian Economic Crisis (Ithaca: Cornell University Press, 1999).
Peters, B. Guy, Institutional Theory in Political Science: The New Institutionalism (London: Pinter, 1999).
Pichet Soontronpipit, “Is a Culture of Accountability Developing in Thailand?”, paper presented in the International Conference hosted by Center for Democratic Institute (CDI), Canberra, Australia, April 23, 2002.
Pierre, Jon, and B. Guy Peters, Governance, Politics and the State (London: Macmillan Press, 2000).
Preffer, Jeffery, and Gernal R. Salanick, The External Control of Organizations: A Resource Dependence Perspective (New York: Harper&Row Publishers, 1978).
Ramseyer, J. Mark, and Frances McCall Rosenblush, Japan’s Political Marketplace (Cambridge: Harvard University, 1993).
Richter, Frank-Jurgen, ed., The East Asian Development Model: Economic Growth, Institutional Failure and the Aftermath of the Crisis (London: Macmillan Press, 2000).
Robinson, Joan, The Rate of Interest and Other Essay (London: Macmillian, 1952).
Rowlinson, Michael, Organizations and Institutions: Perspectives in Economics and Sociology (London: Macmillan Press, 1997).
Rudolph, Jurgen, and Indira Arumugam, “More than Meets the Eye: The Political Causes of the Asian Economic Crisis”, Copenhagen Journal of Asian Studies, Vol. 14 (2000), pp. 42-73
Radelet, Steven, and Jeffery D. Sachs, “The Onset of the East Asian Financial Crisis”, NBER Working Papers 6680 (1998).
Radelet, Steven, and Jeffery D. Sachs, “The East Asian Financial Crisis: Diagnosis, Remedies, Prospects”, Brookings Papers on Economic Activity, 1:1998, pp. 1-90
Rajan, Ramkishen S., (Ir)relevance of Currency-Crisis Theory to the Devaluation and Collapse of the Thai Baht (Princeton: International Economics Section, Department of Economics, Princeton University, 2001).
Rhodes, R.A.W., Understanding Governance: Policy Networks, Governance, Reflexivity and Accountability (Buckingham: Open University Press, 1997).
Riggs, Fred W., Thailand: The Modernization of a Bureaucratic Polity, (Honolulu: East-West Center Press, 1966).
Rosenbluth, Frances McCall, Financial Politics in Contemporary Japan (Ithaca: Cornell University Press, 1989).
Huntington, Samuel P., The Third Wave: Democratization in the Late Twentieth Century (Norman: University of Oklahoma Press, 1991).
Schedler, Andreas, Larry Diamond, and Marc F. Plattner, eds., The Self-Restraining State: Power and Accountability in New Democracies (Boulder: Lynne Rienner, 1999).
Schumpeter, Joseph, The Theory of Economic Development (Oxford: Oxford University Press, 1969).
Scott, W. Richard, Institutions and Organizations (Thousand Oaks: Sage Publications, 2000).
Scott, W. Richard, and John W. Meyer, Institutional Environments and Organizations: Structural Complexity and Individualism (Thousand Oaks: Sage Publications, 1994).
Scott, W. Richard, and Soren Christensen eds., The Institutional Construction of Organizations: International and Longitudinal Studies (Thousand Oaks: Sage Publications, 1995).
Searle, Peter, The Riddle of Malaysian Capitalism: Rent-seekers or Real Capitalists? (Honolulu : Asian Studies Association of Australia in association with Allen & Unwin and University of Hawai`i Press, 1999).
Shaw, Edward S., Financial Deepening in Economic Development (New York: Oxford University Press, 1973).
Shleifer, Andrei, and Robert W. Vishny, The Grabbing Hand: Government Pathologies and their Cures (Cambridge: Harvard University Press, 1998).
Simon, Herbert A., Administrative Behavior: A Study of Decision-making Processes in Administrative Organization, third edition, (New York: Macmillan, 1976).
Steinmo, Sven, Kathleen Ann Thelen, and Frank Langstreth, eds., Structuring Politics: Historical Institutionalism in Comparative Analysis (Cambridge: Cambridge University Press, 1992).
Stiglitz, Joseph E., and Shahid Yusuf, eds., Rethinking the East Asia Miracle (New York: Oxford University Press, 2001).
Suchit Bunbongkarn, “Thailand’s Successful Reforms”, Journal of Democracy, Vol. 10, No. 4 (October, 1999), pp. 54-68.
Suchitra Punyaratabandhu, “Thailand in 1998: A False Sense of Recovery”, Asian Survey, Vol. XXXIX, No. 1 (January/February, 1999), pp. 80-88.
Tan Chwee Huat, Financial Sourcebook for Southeast Asia & Hong Kong (Singapore: Singapore University Press, 2000).
Tankersley, William B., “The Impact of External Control Arrangements on Organizational Performance”, Administration & Society, Vol. 32, No. 2 (July, 2000), pp. 282-304.
Thawilwadee Bureekul, and Stithorn Thananithichot, “The Thai Constitution of 1997: Evidence of Democratization”, paper presented at an International Conference on “Governance in Asia: Culture, Ethics, Institutional Reform and Policy Change”, 5-7 December 2002 at City University of Hong Kong, Hong Kong.
The Commission Tasked with Making Recommendations to Improve the Efficiency and Management of Thailand’s Financial System, Analysis and evaluation on facts behind Thailand`s economic crisis: Nukul Commission report (Bangkok: Nation Multimedia Group, 1998).
Thitinan Pongsudhirak, “Genesis of the Crisis?: The Politicisation of the Bank of Thailand”, paper presented at the 7th International Conference on Thai Studies, Amsterdam, July 4-8, 1999.
Thitinan Pongsudhirak, Crisis From Within: The Politics of Macroeconomic Management in Thailand, 1947-97 (Ph.D. Thesis: LSE, 2001).
Van Hoa, Tran, ed., The Causes and Impact of the Asian Financial Crisis (London: Macmillan Press, 2000).
Vogel, Steven K., Freer Markets, More Rules: Regulatory Reform in Advanced Industrial Countries (Ithaca: Cornell University Press, 1996).
Ukrist Pathmanand, “The Taksin Shinawatra Group: A Study of the Relationship between Money and Politics in Thailand”, The Copenhagen Journal of Asian Studies, Vol. 13 (1998), pp. 60-81.
UNDP, Governance for Sustainable Human Development (New York: UNDP, 1997).
Unger, Daniel, “Government and Business in Thailand”, Journal of Northeast Asian Studies, Vol. 12, No. 3 (Fall, 1993).
Veerathai Santiprabhob, “The Thai Framework for Financial Sector Restructuring: How Has It Supported Economic Recovery?”, Ministry of Finance Working Paper (2000).
Veerathai Santiprabhob, Lessons Learned from Thailand’s Experience with Financial-Sector Restructuring (Bangkok: TDRI, 2003).
Veliyath, Raj, Heather M. Hermanson, and Dana R. Hermanson, “Organizational Control Systems: Matching Controls with Organizational Levels”, Review of Business, Vol. 18, No. 2 (Winter, 1997), pp. 20-24.
Vishwanath, Tara, and Daniel Kaufmann, “Towards Transparency in Finance and Governance”, World Bank Research Working Paper (1999).
Vittas, Dimitri, ed., Financial Regulation: Changing the Rules of the Game, (Washington, D. C.: The World Bank, 1992).
Wade, Robert, Governing the Market: Economic Theory and the Role of Government in East Asian Industrialization (Princeton: Princeton University Press, 1990).
Wade, Robert, “The Asian Debt-and-development Crisis of 1997-?: Causes and Consequences”, World Development, Vol. 26, No. 8 (1998), pp. 1535-1553.
Wade, Robert and Frank Veneroso, “The Asian Crisis: The High Debt Model VS. The Wall Street-Treasury-IMF Complex”, New Left Review, (March/April, 1998).
Walter, Andrew, “Financial Liberalization and Prudential Regulation in East Asia: Still Perverse?”, IDSS Working Paper, No. 36 (2002).
Warr, Peter G., ed., The Thai Economy in Transition (Cambridge: Cambridge University Press, 1993).
Warr, Peter G, and Bhanupong Nidhiprabha, Thailand’s Macroeconomic Miracle: Stable Adjustment and Sustained Growth (Washington, D.C.: The World Bank, 1996).
Weiss, Linda, The Myth of the Powerless State (Ithaca: Cornell University Press, 1998).
Weller, Christian E., “Financial Crises After Financial Liberalization: Exceptional Circumstances or Structural Weakness?”, The Journal of Developmental Studies, Vol. 38, No. 1 (October, 2001), pp. 98-127.
White, Gordon, Developmental States in East Asia (New York: St. Martin’s Press, 1988).
Williamson, Oliver E., Markets and Hierarchies: Analysis and Antitrust Implications (New York: The Free Press, 1975).
Williamson, Oliver E., The Economic Institutions of Capitalism (New York: The Free Press, 1985).
Woo-Cummings, Meredith, ed., The Developmental State (Ithaca: Princeton University Press, 1999).
Woo, Wing Thye, Jeffrey D. Sach, and Klaus Schwab, eds., The Asian Financial Crisis: Lessons for a Resilient Asia (Cambridge: The MIT Press, 2000).
World Bank, World Development Report 2002: Building Institutions for Markets (Washington, D. C.: The World Bank, 2001).
World Bank, Sub-Saharan Africa: From Crisis to Sustainable Growth: The Long-Term Perspective Study (Washington, D.C.: The World Bank, 1989).
World Bank, Governance and Development, (Washington, D.C.: The World Bank, 1992).
World Bank, World Development Report 1997: The State in a Changing World (Washington, D.C.: World Bank, 1997).
World Bank, East Asia: Recovery and Beyond (Washington, D.C.: World Bank, 2000).
World Bank, World Development Report 2002: Building Institutions for Markets (Washington, D. C.: The World Bank, 2001).
Wyplosz, Charles, “How Risky is Financial Liberalization in the Developing Countries”, Comparative Economic Studies, Vol. 44, No. 2/3 (summer, 2002), pp. 1-26.
Yeap Kim Teck A Comparative Study of the Performance of Commercial Banks, Finance Companies and Merchant Banks in Malaysia 1990-1998 (MA Thesis: University of Malaya, 2000).
Yin, Norman, “Taiwan Financial Crisis?: The Nature of the Banking Problems in Taiwan”, paper presented at the Seminar on Taiwan’s Banking Problems: Lessons from the Japanese Experience, Tokyo, April 17, 2001.
Yu, Tzong-shian, and Dianqing Xu, eds., From Crisis to Recovery: East Asia Rising Again? (Singapore: World Scien tific, 2001).
Zhang, Peter G., IMF and the Asian Financial Crisis (Singapore: World Scientific, 1998).
Zhang, Xiaoke, “Political Structures and Financial Liberalization in Pre-Crisis East Asia”, Studies in Comparative International Development, Vol. 38, No. 1 (Spring, 2003), pp. 64-92.
Zhang, Xiaoke, The Changing Politics of Finance in Korea and Thailand: From Deregulation to Debacle (London: Routledge, 2003).
Zucker, Lynne G., ed., Institutional Patterns and Organizations: Culture and Environment (Cambridge: Ballinger Publishing, 1988).
Zysman, John, Governments, Markets, and Growth: Financial Systems and the Politics of Industrial Change (Oxford: Martin Roberson, 1983).
二、中文書目
Edmund Terence Gomez (哥默茲)著，林光、謝娥譯，巫統的商業王朝(吉隆坡：論壇出版社，1991年)。
Jan-Erik Lane, and Svante Ersson著，何景榮譯，新制度主義政治學 (台北：韋伯文化，2002)。
Susan Strange著，李紅梅譯，賭場資本主義 (北京：社會科學文獻出版社，2000)。
Susan Strange著，楊雪冬譯，瘋狂的金錢—當市場超越了政府的控制 (北京：中國社會科學出版社，1999)。
Michael R. J. Vatikiotis著，林若雩譯，東南亞政治與發展（台北：韋伯文化事業出版社，1999）。
行政院研究發展考核委員會，各國行政革新策略及措施比較分析 (台北：行政院研究發展考核委員會，1998)。
行政院研究發展考核委員會，各國對於金融危機處理策略及我國因應之道 (台北：行政院研究發展考核委員會，1999年)。
沈中華，「金融重建基金必須透明化及有監督機制」。
宋鎮照，東協國家之政經發展 (台北：五南出版社，1996)。
林寶安，「台灣1990年代的金融擠兌、合併與金融秩序」，論文發表於台灣社會學會年會，台中東海大學，2002年12月14-15日。
林享能，「論農漁會信用部之改革」，國家政策論壇 春季號 (2003年1月)。
華英惠，贏戰金融危機 (台北：聯經，2003)。
孫玥，「現代貨幣危機理論的發展與比較」，國際金融研究，第九期 (1999)。
郭承天，新制度論與政治經濟學，論文發表於審視政治學的發展研討會，臺北，中國政治學會主辦，2000。
郭承天，東亞制度調適：國際化的挑戰與回應—比較台灣與東亞國家的制度調適 (臺北：國科會研究報告，1999)。
郭承天、陳尚懋、黃宗昊，「有錢大家賺？民主化對金融體系的影響」，見朱雲漢、包宗和主編，民主轉型與經濟衝突—九○年代台灣經濟發展的困境與挑戰 (台北：桂冠出版社，2000)，頁75-112。
陳尚懋，「我國銀行政策的政治經濟分析」，東海學報， 第40卷 第5期 (1999)，頁73-96。
陳尚懋，「2001年泰國大選的政經分析」，問題與研究，第40卷 第5期 (2001)，頁65-80。
陳博志，「加速金融改革 促進經濟發展—勿再踏出金融改革問題錯誤的第七步」，台灣經濟論衡 (2003年7月)，頁1-10。
陳明通、朱雲漢，「區域性聯合獨佔經濟、地方派系與省議員選舉」(國科會研究報告，1992)。
陳佩修，「當代泰國政黨政治之發展：民主黨的角色」，海華與東南亞研究，第4卷 第1期 (2004年1月)，頁18-42。
許甘霖，「政治支配或市場邏輯--『黨營事業』概念的再檢討」，台灣社會研究季刊，第28期(1997年12月)，頁175-208。
盛杏湲，「立法委員的立法參與：概念、本質與測量」，邁入新世紀的台灣政治學術研討會論文集 (台北：中國政治學會，1997)。
張曉威，「馬來西亞華人公會」與馬來西亞華人社會之研究(中壢：國立中央大學歷史研究所碩士論文，1998)。
葉秋南，國際金融危機剖析 (台北：財團法人金融聯合徵信中心，1999)。
彭錦鵬主編，文官體制之比較研究 (台北：中央研究院歐美研究所，1996)。
詹碧霞，買票懺悔錄 (台北：商周出版社，1999)。
三、報紙資料
中國時報
聯合報
自由時報
中央日報
經濟日報
工商時報
金融時報(中國)
大公報(香港)
世界日報(泰國)
南洋商報(馬來西亞)
東方日報(馬來西亞)
中國報(馬來西亞)
Straits Times(新加坡)
Bangkok Post(泰國)
The Nation(泰國)
四、雜誌資料
商業週刊
新新聞
財訊
亞洲週刊
遠東經濟評論(Far Eastern Economic Review) |
| Description: | 博士
國立政治大學
政治研究所
87252504
92 |
| Source URI: | http://thesis.lib.nccu.edu.tw/record/#G0087252504 |
| Data Type: | thesis |
| Appears in Collections: | [政治學系] 學位論文
|
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