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1 42 7 Vol.42No JournalofFinanceandEconomics Jul.2016 * ( ; ) : :(1) (2) (3) (4) : ; : ; ; ; :F092.2 DOI: /j.cnki.jfe :A : (2016) (1962) : : (2011BJL002) : (1982-) ; (1956-) 1 (2000) : ; ; ; Davis-North(1971) 2 [ ] : ( )

2 Young( ) (1987) : ; ; (1963) (1978) (1991) (1995) (1999) (2004) (1989) (1996) (1983) (2008) (2007) ; (1996) 1 2 (2012) :

3 : ( 1992) 1 ; : Dorn(1998) 6 7 : 1 : ( 1999) :

4 : 9 瑏瑠瑏瑡瑏瑢 (simplesystem of naturalliberty) 1 2 ( ) 瑏瑠瑏瑡瑏瑢 (2001) 66

5 : : (Arrow1971; Young1996) Young(1996) (1972) : 1 : ; 2 3 : ; 3 ; ; ( ) : 4 : mannersandcustoms [ ] : ( ) (1988) 4 [ ] :

6 ; ( ) : : ( )

7 : : ; : 4 (Sugden1989) 5 ( ) ( ) LeslieYoung (2011) 69

8 ( ) 30 ; 70

9 : 1 (2000) ; ( ) ; 1 :

10 * ( ) ( ) : [1]. [J]. ( )1996(1): [2]. : [J]. 2007(2): [3][ ]. [M].. : [4]. ( )[M]. : [5][ ]. ( )[M].. : [6]. [A].. ( )[C]. : [7]. : [J]. 1996(3): [8]. [J]. 2012(3): [9]. [J]. 2001(1): [10]. [J]. ( )1989(6): [11]. [J]. 2015(5): [12]. [J]. 2000(5): [13]. [M]. : [14][ ]. ( )[M].. : [15][ ]. : [M].. : [16]. ( )[M]. : [17][ ]. [M]. :

11 : [18]. [J]. 1983(10): [19]. [J]. 1996(5): [20]. ( )[M]. : [21]. [M]. : [22]Arrow KJ.Politicalandeconomicevaluationofsocialefectsandexternalities[A].IntriligatorM.Frontiers ofquantitativeeconomics[c].amsterdam:north Holand1971. [23]DavisLNorthD CSmorodinC.Institutionalchangeand Americaneconomicgrowth[M].Cambridge: CambridgeUniversityPress1971. [24]DornJA.China sfuture:marketsocialismormarkettaoism [J].CatoJournal199818(1): [25]SmithA.Aninquiryintothenatureandcausesofthewealthofnations[M].New York:P.F.Colier & SonCompany1909. [26]SugdenR.Spontaneousorder[J].JournalofEconomicPerspective19893(4): [27]YoungH P.Theevolutionofconventions[J].Econometrica199361(1): [28]YoungH P.Theeconomicsofconvention[J].JournalofEconomicPerspectives199610(2): [29]YoungH P.Socialnormsandeconomicwelfare[J].EuropeanEconomicReview199842(3-5): [30]YoungL.TheTaoofmarkets:Sima Qianandtheinvisiblehand[J].PacificEconomicReview1996 1(2): [31]WiliamsonO E.Thenewinstitutionaleconomics:TakingstocklookingAhead[J].JournalofEconomic Literature200038(3): SimaQian seconomicthoughtofgovernanceby ConventionandItsContemporarySignificance ChenXudong 1 2 TianGuoqiang 1 2 (1.Schoolof EconomicsShanghai Universityof Financeand EconomicsShanghai200433China; 2.Institutefor Advanced ResearchShanghai Universityof Financeand EconomicsShanghai200433China) Abstract:Asaninformalinstitutionalarrangementconventionplaysaverysignificant roleinsocio-economicdevelopmentandstategovernanceespecialyinancientchinesesoci- ety.simaqiannotedtheinherentrelationshipbetween convention and governance but itsimportanceinhiseconomicthoughtisoftenneglectedinacademia.thispaperanalyzes thetwoimportantandinterrelatedcategoriesof convention and governance insima Qian seconomicideologicalsystemintroducestheoriginandviewsofsimaqian swayof governancebyconventionextendsitbymoderneconomictheory andexploresitscontem- porarysignificance.itarrivesattheconclusionsasfolows:firstly SimaQian swayofgov- ernanceencompassesdiferentaspectsofnon-interventiongovernanceofbothtaoismand Confucianismandhis masterwayoffolowingthenaturallaw emphasizesthat theones inpowershouldfulfilthewishesofthecommonpeople ;secondly thecoreofgovernance byconventionistofolowhumannatureof pursuingdesiresandbenefits andfolkcustom toachievemoreefectivegovernancebyobservingconventioninaccordancewithspecific 73

12 situations;thirdlyassimaqian seconomicthoughthadstrongcharacteristicsofempiri- cismandsimplicityandtheancientchinesesocietylackedafavorable marketenviron- menthisthoughthadnotbeenvaluednorbeenadopteduntilthemoderntimes;fourthly SimaQian sgovernancebyconventioninspiresmodernstategovernanceinthefolowing aspects:respectingandfolowingconventionandcustomemphasizingthecompatibility betweeninformalinstitutions(suchascustom)andformalinstitutionsandconsolidating nomicthoughtbutalsoprovidesvaluablehistoricalreferencetotheenhancementofstate governancecapability. cance andpromotinggoodcustoms.thispapernotonlyextendstheresearchonsimaqian seco- Keywords:SimaQian;wayofgovernance;stategovernance;contemporarysignifi- ( ) 櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒櫒 ( 62 )throughfinancialsystems.andthenitestablishesanasymmetryevolutionary gamemodelwithheterogeneityagentstoanalyzethedynamicevolutionaryprocessofthe relationshipbetweennon-financialandfinancialagentsfrom ordinaryeconomicrelationsto financialrelationsanditsefectmechanism.theresultsareshownasfolows:firstly the dynamicrelationevolutionamongeconomicagentsindicatesthatnon-financialfirmsobtain profitsmainlythroughfinancialpracticesfinancialfirmsfocusonintermediarybusinessand of-balance-sheetbusinessandincorporateordinaryhouseholdsintotheirsystemto make fitsharingfrompowerfuleconomicagents;thechangesintheserelationsleadtoeconomic financializationandevenafinancialcrisisinacountry ; secondly economicdevelopmentstate financialagentsplaysadominantrole;underthegivenassumptionswhennon-financial tectionanationaleconomymaybepromotedtoanewstablestateorameltdown;whennon?financialagentsafectpredatorytechnologyoffinancialagentsthroughtheirownresources protectionand predatorytechnology theeconomycanenterintoanevolutionarystable state;thirdly theimpactsoffinancializationbehaviorofeconomicagentscanbedividedinto threedimensions:financializationbehaviorofeconomicagentspromotetheirownexcess them newprofitsresourcesandordinaryhouseholdsareforcedtoacceptthetwo-timebene- dependsontheinteractionoffinancialandnon-financialagentsandthebehaviorofnon- agentsafectpredatorytechnologyoffinancialagentsonlythroughtheirownresourcespro- capitalaccumulationintheshortrunthepredatorybehavioroffinancialagentsandthepro- ductionbehaviorofnon-financialagentsalwayspresentanoppositeeconomicrelationwhich iseasilyintensifiedandfreemarketwithoutgovernmentinterventioninevitablyleadstothe intensificationofconflictsandfalsintocrises.thereforedeepunderstandingofthenatureof economicfinacializationanditsmechanism ofafectingtheeconomyisofgreatsignificance tobotheconomictransformationandfinancialreforminchina. Keywords:finacialization;evolutionarygametheory;politicaleconomics;predatory technology;evolutionarystablestrategy 74 ( )

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