导　　师： 冷东

学科专业： 060105

授予学位： 硕士

作　　者： ;

机构地区： 广州大学

摘　　要： 本论文以清代前中期的行商制度和清末至民初的买办制度为视角，论述两种制度变迁的继承和发展关系，并对此作出简单地评价，论述的主体内容包括： 一，阐述行商制度与买办制度产生、内容、特征。二，论述行商制度到买办制度的继承与变迁，揭示两者内在的联系。三，分析行商制度到买办制度的影响及评价，窥视两者在商品经济流通、涉外经济法制、对外贸易中介、社会地位等变迁及特点，进而论证行商与买办在经济管理、中外交流、转型分化、近代化进程中的地位与作用。 本文通过对行商制度到买办制度变迁的分析，得出以下认识：第一，行商与买办从传统牙行发展而来，作为对外贸易中介人，一脉相承，是中国清代至近代社会经济发展中的重要组成部分，而买办在中介职能上被赋予双重色彩，既有依附性，又有独立性；第二，十三行行商承担对外贸易责任，担当了国内商品经济流通的媒介，买办在瓦解封建经济结构，促进近代城市社会变迁中起到关键作用；第三，行商制度时期涉外法律是中国古代涉外法律发展的顶峰，而买办制度成为晚清涉外经济法律制度的重要组成部分；第四，行商难以改变传统商人地位低下的事实，难以摆脱制度约束的现实，更缺乏独立的人格，在激烈的社会转型中沉浮，逐渐消亡，买办逐渐改变“俸优而业卑”的处境，逐渐游离于中外势力，由外国资本主义侵略中国的帮凶，向民族资本和官僚资本过渡。 本文从阐述论文的研究目的与意义，研究方法与资料来源，行商与买办研究回顾入手，进一步明确本文所要解决的问题在于从制度层面上考察行商与买办的继承关系，从地缘角度分析行商与买办的发展关系，从职责内容和工作性质上评价行商与买办的历史作用及意义。本文从近代化及其范式情况进行分析，引用和借鉴制度经济学关于制度变迁的理论，采用林毅夫所提出的强制性制度变迁和诱致性制度变迁的理论框架，认为行商与买办研究应该遵循着历史的动态发展，要看到历史发展的延续性，更要看到近代社会发展的复杂性和艰巨性。笔者认为中国的近代化，就是中国的资本主义化与民主化，是“后发外生型”的近代化，是与民族独立息息相关的近代化，笔者将行商制度与买办制度放在这一范畴内加以考察。 了解和掌握行商制度到买办制度的变迁，行商与买办在中国近代化过程中的作用，有助于学术工作者和民众了解清政府的对外贸易政策和中外关系的变迁，有助于人们更加客观地认识和评价行商与买办在近现代化过程中所发挥的重要作用，为今天的发展提供借鉴。 The thesis is to view the Cohong system of early and middle Qing Dynasty andthe Comprador system of the late Qing Dynasty, and to discusses two kinds ofinstitutional change for the inheritance and development of relations, as well as tomake a simple evaluation. the main contents include： Firstly, this thesis expounds the Cohong system and the Comprador system inproduces, content, character. Secondly, the paper discusses the inheritance and changeof the Cohong system and the Comprador system, and reveals the internal relationsbetween them. Thirdly, it analysis the influence and the evaluation of the Cohongsystem to the Comprador system, it also peeps their changes and characteristis in thecommodity economy circulation, foreign economic legal system, foreign trade agency,social status. And then it demonstrates the status and role of the Cohong andComprador in economic management, Chinese and Foreign exchange, thetransformation in the process of modernization differentiation. This article draws the conclusions through the analysis of the change from theCohong system to the Comprador system. First, the Cohong and the Comprador weredeveloped from traditional Broker-house. It is regarded as foreign trade intermediaries,also it is the important component of the social economic development from Qingdynasty to the modern period. The Comprador is endowed with two characters whichare dependence and independence. Second, the thirteen Cohongs is responsible forforeign trade. It is regarded as the medium of domestic commodity economycirculation. The Comprador plays a key role in collapsing feudal economic structureand promoting modern urban society vicissitudes. Third, the legal affairs in theCohong system period reached the peak during the ancient Chinese foreign-relatedlaw development. And the Comprador system became an important part of foreigneconomic law system in late Qing dynasty; Fourth, it is quite hard for the Cohongmerchants to change their traditional of status and to get rid of the institutional constraints. What’s more, they lacked of independent personality so that theygradually disappeared in the fierce social transformation. The comprador used to gethigh income but very low social class. They dissociated the Chinese and Foreignforces by degrees, and changed from foreign capitalist accomplice to national capitaland bureaucratic capital. This thesis has firstly discussed the aim and significance of the research, thestudy methods and data sources, as well as the study review of the Cohong and theCompradors. And it further defined the problem to be solved is the inheritancerelationship between the Cohong to the Comprador in a system level. It also analysedthe relationship in the perspective of geopolitics and evaluate the historical effect andsignificance from the content and nature of work duties. The thesis analysesmodernization paradigm situation, cite and mirror system change theory， usetheoretical frame about imposed institutional change and induced institutionalchange， consider the Cohong and the Comprador study should follow as thedevelopment of history and dynamic, should note the continuity of the historicaldevelopment, what is more, pay attention to the complexity and arduous of modernsocial development. The development of modern China is its capitalization anddemocratization, is 'Late-development exogenous type', is closely linked to thenational independence. The author studies the Cohong system and the Compradorsystem under this category. It helps academic workers and people to understand Foreign trade policy of theQing government and the changes of Sino-foreign relationship, it also helps people toobjectively understand and evaluate the important impact which the Cohong and theComprador give play to near the process of modernization, by realizing and graspingthe vicissitude of the Cohong system and the Comprador system, and their function inChina's modernization. we can offer use for reference in the development of today.

关 键 词： 十三行 行商制度 买办制度 近代化

分 类 号： [K249 F129]

领　　域： [历史地理] [历史地理] [经济管理]