厦门大学学位论文原创性声明兹呈交的学位论文, 是本人在导师指导下独立完成的研究成果本人在论文写作中参考的其他个人或集体的研究成果, 均在文中以明确方式标明本人依法享有和承担由此论文产生的权利和责任声明人 ( 签名 ): 年月日

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1 学校编码 :10384 学号 :B 分类号密级 UDC 博士学位论文 17 世纪上半叶东亚海域的商业竞争 Commercial Competitions in the East Asian Waters in the 1st Half of the 17th Century 指导教师姓名 : 李德霞杨国桢教授专业名称 : 中国古代史 ( 海洋文明史 ) 论文提交日期 : 2006 年 3 月论文答辩日期 : 2006 年 5 月学位授予日期 : 2006 年月答辩委员会主席 : 评阅人 : 2006 年 3 月

2 厦门大学学位论文原创性声明兹呈交的学位论文, 是本人在导师指导下独立完成的研究成果本人在论文写作中参考的其他个人或集体的研究成果, 均在文中以明确方式标明本人依法享有和承担由此论文产生的权利和责任声明人 ( 签名 ): 年月日

4 厦门大学学位论文著作权使用声明本人完全了解厦门大学有关保留使用学位论文的规定厦门大学有权保留并向国家主管部门或其指定机构送交论文的纸质版和电子版, 有权将学位论文用于非赢利目的的少量复制并允许论文进入学校图书馆被查阅, 有权将学位论文的内容编入有关数据库进行检索, 有权将学位论文的标题和摘要汇编出版保密的学位论文在解密后适用本规定本学位论文属于 1 保密( ), 在年解密后适用本授权书 2 不保密( ) ( 请在以上相应括号内打 ) 作者签名 : 日期 : 年月日导师签名 : 日期 : 年月日

6 中文摘要从 16 世纪下半叶开始, 随着世界政治经济形势的改变, 东亚海域的国际贸易格局亦发生了巨大的变化 : 一方面, 此时的中国正处于明代后期, 明朝统治阶级在平定倭寇的基础上, 不得不改弦易辙, 在福建漳州月港部分开放海禁, 准许私人海外贸易商出海贸易, 中国的海外交通随之激增, 私人海外贸易达到高潮东亚另一重要国家日本自结束战国时代的煎熬实现统一以来, 较为重视海外贸易, 在极力招徕外国商人的同时, 也积极鼓励本国的朱印船向南拓展贸易渠道, 日本的外贸呈现出了如火如荼的新气象小国林立的东南亚地区受欧洲殖民者东侵的影响较大, 贸易局势也产生了变化 ; 另一方面, 以葡萄牙西班牙荷兰为主的西方殖民者为了开拓远东的国际贸易市场, 在东亚水域展开了激烈的竞争就这样, 西方的殖民主义势力与东方的航海势力在东亚海域发生了在所难免的接触交往与碰撞从此, 西方殖民者之间东西方商人之间, 以及东方商人本身之间在东亚的几大主要贸易港口开始了剧烈的商业角逐, 揭开了东亚乃至世界贸易史上的新篇章本文围绕东西方几大商业力量在远东海域的一些较具代表性的港口 : 长崎平户大员澳门马尼拉和巴达维亚的商业纷争展开论述, 再现了 17 世纪上半叶东亚水域热闹非凡的贸易盛况和硝烟弥漫的商业较量, 并在此基础上思考了与本论题相关的几大问题 :(1) 西方殖民者缘何来到东方? 是什么东西吸引了他们?(2) 欧洲殖民者是如何撞开远东大门的? 东方商人为何愿意与他们做生意? (3) 基督教在东西方交往中在西方殖民者的竞争中扮演着什么样的角色? 有何影响?(4) 欧洲中心论是否符合 17 世纪上半叶东亚海域的商业竞争情况? 关键词 :17 世纪上半叶 ; 东亚海域 ; 商业竞争

8 Abstract Since the beginning of the 2 nd half of the 16 th century, with the changes of the world political and economic situation, the international trade structure of the East Asian waters had changed a lot accordingly. On the one hand, the then China was in the late Ming Dynasty. On the basis of the suppression of the Wo-kou (Japanese pirates), the Ming ruling class was forced to change its course and lift its ban on maritime trade conditionally in the Moon Port of Chincheo, Fujian, allowing private traders to trade abroad. As a result, China s overseas traffic increased a great deal and the private maritime trade reached a peak. Japan, another key nation in the East Asia, paid more attention to its maritime trade since it ended the Period of Warring States and unified, Japan tried its best to solicit foreign traders. Meanwhile, it encouraged its own Go-shuin-sen or August red-seal ships (Japanese merchant-ships) to expand their trade channels in the southern direction. Japanese foreign trade thus took on a new look. Southeast Asia, which was full of small states, was more influenced by the European colonists. Its trade situation was also altered. On the other hands, in order to explore the international trade market in the Far East, the western colonists, mainly represented by the Portuguese, the Spanish and the Dutch competed fiercely in the East Asian waters. Thus the western colonial forces contacted, interacted and collided with the eastern maritime forces. From then on, heated commercial competitions started among the western colonists, the eastern and western traders, and the eastern businessmen in the main trading ports of the East Asia. A new chapter was opened in the annals of the East Asian the world trade. This thesis expounds the commercial competitions among the eastern and western commercial forces in a few representative ports of the Far East seas Nagasaki, Hirado, Formosa, Macao, Manila and Batavia (Jakarta). It describes the prosperous trade and intense commercial struggles in the East Asian waters during the 1 st half of the 17 th century. Based on this, it considers the following questions related to the main topic: (1) why would the western colonists come to the Orient? What allured them? (2) How could the European colonists open the gate of the Far East? Why were the eastern businessmen willing to do business with them? (3) What kind of roles did the

9 Christianity play during the interaction between the East and the West, and in the competitions among the westerners? What influence did the Christianity have? (4) Did the Europe-centered theory fit the commercial competitions of the East Asian waters in the 1 st half of the 17 th century? Key Words: the 1 st half of the 17 th century; the East Asian waters; commercial competitions

10 目录第一章导论...1 第一节选题说明...1 第二节国内外相关课题研究回顾...8 第三节有助于本课题研究的重要文献资料...17 第四节本论题研究的意义目标方法和结构...23 一意义目标...23 二研究方法...24 三论文结构...24 第二章 17 世纪初东亚海域的贸易形势...26 第一节漳州月港的崛起和中国私人海外贸易的发展...26 第二节日本的海外贸易概况...30 第三节殖民者的东来...33 一葡萄牙...33 二西班牙...37 三荷兰...42 第三章长崎平户的商业竞争...46 第一节德川幕府积极发展海外贸易...46 一力图恢复对华贸易...46 二鼓励与旧教国的贸易...52 三招徕新教国...58 第二节日本朱印船贸易盛极一时...61 一朱印状制度的确立...62 二朱印船贸易的运作...63 三朱印船的竞争力...66 四朱印船的衰落与终止...68 第三节日本锁国政策的冲击...71

11 一赶出旧教国...71 二限制荷中在日本的贸易...78 第四章吧城大员的贸易较量...80 第一节荷兰东印度公司把巴达维亚作为亚洲贸易总部...80 一建立巴达维亚...80 二吸引华商前来贸易...85 第二节荷兰殖民者在中国东南沿海一带的骚扰...90 一企图打开直接对华贸易的大门...90 二二占澎湖, 骚扰福建东南沿海一带...93 第三节荷兰殖民者在台湾的贸易...98 一把台湾南部作为贸易基地...98 二荷西之对峙三荷日之冲突四荷郑之商业关系第五章澳门的商业争夺第一节葡萄牙在澳门的贸易一澳葡与广东的贸易二澳葡与长崎的贸易三澳葡与果阿的贸易四澳葡与马尼拉的贸易五澳葡与东南亚其他地区的贸易第二节其他西方殖民者对澳门的觊觎一西班牙对澳门的侵扰二荷英对澳门的侵夺第六章马尼拉的贸易角逐第一节大帆船贸易一历史背景二蓬勃发展三限制...169

12 四历史意义和地位第二节商业竞争一对华商的利用和打击二荷兰殖民者的破坏第七章对本论题相关问题的思考第一节东方商品的魅力第二节白银的威力第三节基督教的影响第四节欧洲中心论的检讨参考文献后记...262

14 Contents Chapter 1 Introduction 1 Section 1 Explanations on topic selection 1 Section 2 Research both at home and abroad on related subjects in retrospection 8 Section 3 Important documents and data contributory to this dissertation 17 Section 4 Significance, methods and structure of this dissertation Significance Research methods Structure 24 Chapter 2 Trading Situation in the East Asian Waters in the Early 17 th Century 26 Section 1 Rise of the Moon Port, Zhangzhou and development of China s private overseas trade 26 Section 2 A survey on Japan s Overseas Trade 30 Section 3 European Colonists coming to the Orient The Portuguese The Spanish The Dutch 42 Chapter 3 Commercial Competitions in Nagasaki and Hirado 46 Section 1 Tokugawa Shogunate s active development of overseas trade Trying hard to resume Chinese trade Encouraging trade with the Rome Catholic nations Attracting the Protestant nations 58 Section 2 Prosperity of Japan s Go-shuin-sen trade Establishment of the system of Go-shuin-sen trade Run of the Go-shuin-sen trade Competitive ability of the Go-shuin-sen Decline and annulment of the Go-shuin-sen trade 68 Section 3 Shock of Japan s Isolation Policy Banishing the Rome Catholic nations Limiting VOC and the Chinese trade in Japan 78

15 Chapter 4 Trade Contests in Formosa 80 Section 1 VOC s Selection of Batavia as its headquarter Establishing Batavia Attracting Chinese traders 85 Section 2 Dutch harassment along the Southeastern Coasts of China Attempting to set up direct trade relations with China Occupying the Pescadores again and molesting the southeastern coasts of Fujian 93 Section 3 VOC s overseas trade in Formosa VOC s establishment of trading base in Teyouwan Dutch-Spanish confrontation Dutch-Japanese conflicts Business relationship between VOC and Zheng s bloc 113 Chapter 5 Commercial Scrambles in Macao 122 Section 1 Portugal s trade in Macao Macao-Guangdong Trade Macao-Nagasaki Trade Macao-Goa Trade Macao-Manila Trade Macao-Southeast Asian (except Manila) Trade 142 Section 2 Other European colonists coveting Macao Spanish harassment Dutch and English invasion 151 Chapter 6 Trade Rivalries in Manila 161 Section 1 The Galleon Trade Historical background Flourishing development Limitation Historical significance 174

16 Section 2 Commercial Competitions Utilization and attack to the Sangleys Troubles made by the Dutch 193 Chapter 7 Thinking of Questions Related to the Topic 203 Section 1 Glamour of some oriental goods 203 Section 2 Power of silver 219 Section 3 Influence of Christianity 226 Section 4 Check of Europe-centered theory 242 Bibliography 253 Postscript 262

17 Degree papers are in the Xiamen University Electronic Theses and Dissertations Database. Full texts are available in the following ways: 1. If your library is a CALIS member libraries, please log on and submit requests online, or consult the interlibrary loan department in your library. 2. For users of non-calis member libraries, please mail to etd@xmu.edu.cn for delivery details.

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