摘 要

如今世界经济发展的主流趋势是经济一体化，自从2008年的金融大风暴，世界经济形势发生了巨大变化，传统的金融格局也在一定程度上开始重新定义。以美国为首的发达国家正在谋划建立新的世界经济秩序。中国（上海）自由贸易实验区（以下简称上海自贸区）在这样的背景下应运而生，是我国改革开放的新一轮尝试。本文详述了上海自贸区的建设背景和意义，从服务业开放、金融自由化改革、投资领域改革以及政府管理四个方面分析了上海自贸区的建设现状并提出合理建议。从服务业开放来看，服务贸易有了长足发展但仍存在结构不合理和质量不高问题，要加强服务业开放的立体化建设；从推进金融自由化进程来看，上海自贸区正在对传统敏感的金融领域尝试新的改革；从投资领域来看，此次上海自贸区引进的国际通行的“负面清单”和“准入前国民待遇”模式，推动了投资便利化；从政府监管来看，政府职能一定程度进行升级，政府和市场的协调定位需要更加明确。

关键词：服务贸易、金融、投资、政府管理

Abstract

Nowadays economic integration is the mainstream trend of the world.After the financial crisis in 2008,the situation of economy and financial structure both hugely changed.A new world economic order is under planning by developed countries leading by America.Shanghai Free Trade Zone is a new try for China to responding to this challenge.This article details the background and significance of Shanghai Free Trade Zone.The author tries to offer advice for the construction of Shanghai Free Trade Zone through analyzing the four important parts of it.On the openness of service sector,service trade developed greatly but there are still problems such as unreasonable structure and low quality,Shanghai Free Trade needs to enhance three-dimensional construction on service sector.On financial liberalization,Shanghai Free Trade Zone is exploring a new round of financial reform.On investment field,two new pattern for China known as Negative List and Post-Establishment National Treatment are being practiced and have driving investment facilitation forward.On government regulation part,government functions have upgraded but the position between government and market still needs balancing.

Key Words：service trade、finance、investment、government regulation

目 录

第1章 绪论..................................................................................................................................1

1.1 选题背景、目的和意义.....................................................................................................1

1.2 文献综述.............................................................................................................................1

1.3 研究思路.............................................................................................................................2

1.4 研究方法.............................................................................................................................2

1.4.1 资料收集......................................................................................................................2

1.4.2 定性分析与理论研究相结合......................................................................................2

1.4.3 经验与对比研究方法..................................................................................................2

1.5 创新之处与不足.................................................................................................................3

1. 服务业开放现状与问题..................................................................................................4

2.1 服务业开放现状.................................................................................................................4

2.1.1 服务贸易收支增长不平衡，逆差持续扩大..............................................................4

2.1.2 服务贸易稳步快速增长，结构有所优化..................................................................4

2.1.3 服务贸易伙伴集中度高..............................................................................................5

2.1.4 上海市服务业开放概况..............................................................................................5

2.2 服务业开放问题.................................................................................................................7

2.2.1 服务业开放的体制和机制壁垒重重..........................................................................7

2.2.2 开放不足与过度开放并存..........................................................................................7

2.3 服务业进一步开放措施建议 ...........................................................................................8

2.3.1 坚持对内对外统一开放..............................................................................................8

2.3.2 薄弱领域的重点关注和服务业全面开放的点面结合..............................................8

2.3.3 以“负面清单”为范例试推政府监管体制新尝试..................................................9

第3章 金融自由化进程中的挑战............................................................................................10

3.1 上海自贸区金融改革现状...............................................................................................10

3.2 人民币国际化...................................................................................................................10

3.2.1 人民币国际化现状....................................................................................................10

3.2.2 人民币国际化进程中的问题....................................................................................11

3.3 推进金融改革的建议......................................................................................................11

3.3.1 注意防范金融风险....................................................................................................11

3.3.2 自贸区的金融开放和金融创新要同步推进............................................................12

3.3.3 借鉴其他自贸区发展的经验的教训........................................................................12

1. 投资领域的现状及问题................................................................................................13

4.1 投资领域现状...................................................................................................................13

4.1.1 “负面清单”模式....................................................................................................13