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期刊论文 12

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2022 1

2020 3

2019 2

2018 1

2016 1

2015 1

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人工智能；金融智能 1

低碳发展 1

可持续工程 1

大型公共项目；融资风险；融资比例；建设工期；项目收益率 1

工业生态 1

新能源；财政政策；税收政策 1

绿色增长 1

绿色金融 1

金融智能；可信人工智能；风险管理；欺诈检测；财富管理 1

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An overview of the environmental finance policies in China: retrofitting an integrated mechanism for

LI Wei,HU Mengze

《环境科学与工程前沿（英文）》 2014年第8卷第3期页码 316-328 doi: 10.1007/s11783-014-0625-5

摘要： Considering the significant roles of the policies in developing environmental finance, an overview is conducted on the environmental finance policies (EFPs) in China. This paper analyzed the definition, scope, evolution and main instruments of EFPs. The implementation progress of financial activities on each instrument are investigated respectively. Then the experiences learned from and failures discovered in the development of the EFPs are discussed well recommendations for further improvement of the EFPs and their implementation are provided. Our study found that the EFPs have been established in China after a four-phase evolution since the early 1980s. The policies have played a critical role in leading to a rapid development in environmental finance by involving more financial instruments to accomplish the objective-led environmental plans. Driven by the policies, the new green credit (GC), green security (GS), and green insurance (GI) instruments have been phased in as supplements to the conventional command and control approaches to improve the environmental governance of financial activities and pollution sources. However, the market mechanism of financial institution is limited due to their defensive and incapable performance on implementation some of EFP instruments. To further strengthen the effectiveness of EFPs in facilitating environmental management, recommendations are made mainly on the aspects including developing more specific policy guidelines, enhancing information sharing and disclosure, providing sufficient economic incentives, establishing environmental liabilities with financial activities, and involving issues related to climate change, and biodiversity and ecosystem service.

关键词： environmental finance policy integrated mechanism phased evolution implementation progress financial institution environmental management

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Blockchain-driven supply chain finance solution for small and medium enterprises

Jian LI, Shichao ZHU, Wen ZHANG, Lean YU

《工程管理前沿（英文）》 2020年第7卷第4期页码 500-511 doi: 10.1007/s42524-020-0124-2

摘要： Blockchain has attracted much attention in recent years with the development of cryptocurrency and digital assets. As the underlying technology of cryptocurrency, blockchain has numerous benefits, such as de-centralization, collective maintenance, tamper-resistance, traceability, and anonymity. The potential of the blockchain technology (BT) is widely recognized in the financial field. Although some scholars have proposed the combination of blockchain and supply chain finance (SCF), the details of this combination is rarely mentioned. This study first analyzes the coupling between SCF and blockchain technology. Second, the conceptual framework of blockchain-driven SCF platform (BcSCFP) is presented. Third, the operation process of three SCF models on the BcSCFP is proposed. Finally, a case study combined with actual events is conducted. This paper has a positive practical significance in the operation and management of banks and loan enterprises.

关键词： blockchain technology supply chain finance risk management smart contract decentralization

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Multi-objective optimization for the multi-mode finance-based project scheduling problem

Sameh Al-SHIHABI, Mohammad AlDURGAM

《工程管理前沿（英文）》 2020年第7卷第2期页码 223-237 doi: 10.1007/s42524-020-0097-1

摘要： The finance-based scheduling problem (FBSP) is about scheduling project activities without exceeding a credit line financing limit. The FBSP is extended to consider different execution modes that result in the multi-mode FBSP (MMFBSP). Unfortunately, researchers have abandoned the development of exact models to solve the FBSP and its extensions. Instead, researchers have heavily relied on the use of heuristics and meta-heuristics, which do not guarantee solution optimality. No exact models are available for contractors who look for optimal solutions to the multi-objective MMFBSP. CPLEX, which is an exact solver, has witnessed a significant decrease in its computation time. Moreover, its current version, CPLEX 12.9, solves multi-objective optimization problems. This study presents a mixed-integer linear programming model for the multi-objective MMFBSP. Using CPLEX 12.9, we discuss several techniques that researchers can use to optimize a multi-objective MMFBSP. We test our model by solving several problems from the literature. We also show how to solve multi-objective optimization problems by using CPLEX 12.9 and how computation time increases as problem size increases. The small increase in computation time compared with possible cost savings make exact models a must for practitioners. Moreover, the linear programming-relaxation of the model, which takes seconds, can provide an excellent lower bound.

关键词： multi-objective optimization finance-based scheduling multi-mode project scheduling mixed-integer linear programming CPLEX

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Conceptualising the nexus of projects, finance and capacity in construction business

Arun BAJRACHARYA, Stephen Olu OGUNLANA, Cheng Siew GOH, Hai Chen TAN

《工程管理前沿（英文）》 2018年第5卷第3期页码 289-297 doi: 10.15302/J-FEM-2018021

摘要：

This paper addresses a research question on why construction companies fail in their business. Starting with the concept of growth and capacity underinvestment archetype, a new and operational systems thinking model is developed. The conceptual systems thinking model includes a set of causal structure that can explain various modes (including the growth and failure modes) of business performance of small and medium construction companies. Mainly the three components – projects, finance and capacity – and the understanding of their nexus (or causal inter-relationships) are found to be sufficient to reveal different performance modes in construction business. Further, the three operational aspects, namely, the business growth or decline process; the situation of financial and other capacity resource consumption; and the management of projects, finance and other capacity resources have been identified as the inter-related core and integral aspects of construction business. The three inter-related core aspects could actually include and explain different possible range of business situations, policies and practices in a construction company.

关键词： performance of construction business projects finance capacity systems thinking

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Toward energy finance market transition: Does China’s oil futures shake up global spots market?

《工程管理前沿（英文）》页码 409-424 doi: 10.1007/s42524-022-0207-3

摘要： China is breaking through the petrodollar system, establishing RMB-dominating crude oil futures market. The country is achieving a milestone in its transition to energy finance market internationalization. This study explores the price leadership of China’s crude oil futures and identifies its price co-movement to uncover whether it truly shakes up the global oil spots market. First, we find that for oil spots under different gravities, China’s oil futures is only a net price information receiver from light-, medium-, and heavy-gravity oil spots, but it has a relatively stronger price co-movement with these three spots. Second, for oil spots under different sulfur contents, China’s oil futures still has weak price leadership in sweet, neutral, and sour oil spots, but it has strong co-movement with them. Third, for oil spots under different geographical origins, China’s oil futures shows price leadership in East Asian and Australian oil spots at the medium- and long-run time scales and strong price co-movement with East Asian, Middle Eastern, Latin American and Australian oil spots. China’s oil futures may not have good price leadership in global spots market, but it features favorable price co-movement.

关键词： China’s oil futures price information spillover price co-movement BK spillover index BDECO model

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Finance infrastructure through blockchain-based tokenization

Yifeng TIAN, Zheng LU, Peter ADRIAENS, R. Edward MINCHIN, Alastair CAITHNESS, Junghoon WOO

《工程管理前沿（英文）》 2020年第7卷第4期页码 485-499 doi: 10.1007/s42524-020-0140-2

摘要： The infrastructure finance gap has long-standing implications for economic and social development. Owing to low efficiency, high transaction costs, and long transaction time, conventional infrastructure financing instruments are considered to be major contributors to the increasing mismatch between the need for infrastructure development and available financing. Implemented through smart contracts, blockchain tokenization has shown characteristics that are poised to change the capital stack of infrastructure investment. This study analyzed the first SEC-compliant energy asset security token, ZiyenCoin, from the perspective of the key participants, relevant regulations, and token offering procedures. Results show that tokenization can improve infrastructure assets liquidity, transaction efficiency, and transparency across intermediaries. Conventional infrastructure financing instruments were compared with blockchain tokenization by reviewing the literature on infrastructure finance. The benefits and barriers of tokenizing infrastructure assets were thoroughly discussed to devise ways of improving infrastructure financing. The study also found that the potential of tokenization has not yet been fully realized because of the limited technical infrastructures, regulation uncertainties, volatilities in the token market, and absence of the public sector. This study contributes to the present understanding of how blockchain technology can be implemented in infrastructure finance and the role of tokenization in the structure of public–private partnership and project finance.

关键词： infrastructure asset blockchain tokenization security token offering smart contract public–private partnership project finance

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Financing climate-resilient infrastructure: Determining risk, reward, and return on investment

Peter B. MEYER, Reimund SCHWARZE

《工程管理前沿（英文）》 2019年第6卷第1期页码 117-127 doi: 10.1007/s42524-019-0009-4

摘要：

Urban infrastructure investment is needed for both, mitigation of climate risks and improved urban resiliency. Financing them requires the translation of those benefits into measurable returns on investment in the context of emerging risks that capital markets can understand and appreciate. This paper develops a generic framework to identify what are the necessary and sufficient factors to economically favor climate-change resilient infrastructure in private investment decisions. We specifically demonstrate that carbon pricing alone will not generate the needed will, because market prices at present systematically fail to account for climate change risks such as the costs of stranded assets and the national and local co-benefits of investments in climate resiliency. Carbon pricing is necessary, but not sufficient for an enhanced private financing of climate-resilient infrastructure. The Paris Agreement and other supra-local policies and actors including city networks can concretely help to generate the sufficient social and political will for investments into climate change mitigation and resiliency at the city level.

关键词： infrastructure urban finance climate low carbon economy

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金融大脑 2.0: 当金融遇到可信人工智能 Review

周俊1,2,陈超超1,李龙飞2,张志强2,郑小林1

《信息与电子工程前沿（英文）》 2022年第23卷第12期页码 1747-1764 doi: 10.1631/FITEE.2200039

摘要：人工智能通过从数据中识别隐藏模式以提高金融决策质量，从而加速金融服务的发展。然而，除了通常需要的属性，如模型准确性，金融服务还需要可信赖的人工智能，但其属性尚未充分实现。这些可信人工智能的属性是可解释性、公平性和包容性、稳健性和安全性，以及隐私保护。在本文中，我们回顾人工智能应用于金融服务各领域的最新进展和局限性，包括风险管理、欺诈检测、财富管理、个性化服务和监管技术。基于这些进展和局限性，介绍了金融大脑2.0，一个走向可信人工智能的研究框架。我们认为，在金融服务中，我们离真正可信人工智能还有很长的路要走，并呼吁人工智能和金融业的社区一同努力。

关键词：金融智能；可信人工智能；风险管理；欺诈检测；财富管理

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中国生态文明的基础设施

Chris Kennedy, Ma Zhong, Jan Corfee-Morlot

《工程（英文）》 2016年第2卷第4期页码 414-425 doi: 10.1016/J.ENG.2016.04.014

摘要：

预计到2020 年，中国的绿色投资需求将达到每年1.7 万亿~2.9 万亿元人民币( 折合2740 亿~4680 亿美元)。对经济需求的评估已经提供给了众多的行业，包括可持续能源、基础设施建设( 包括环境保护)、环境修复、工业污染控制、能源和水资源效率以及绿色产品。中国的绿色财政的背景已经在讨论之中，覆盖了城镇化、气候改变、基础设施交互以及工业模式的转变。很多基础设施建设的融资发生在城市中，聚焦在《国家新型城镇化规划(2014—2020 年)》下的公平、环境保护以及生活质量问题。中国在建筑行业已经实施了很多成功的政策，但是中国的建筑节能仍有相当大的提升空间。中国目前正在追求低碳的增长战略，这与中国的整体环境和生活质量目标一致。到2020 年之后，中国作为一个生态文明国家的未来将建立在一个中央基础设施政策的实施上，这个政策就是《中国2050 高比例可再生能源发展情景暨路径研究》。以《循环经济发展战略及近期行动计划》为例，中国绿色工业转型的关键一步涉及节约材料的工程系统，以此减少甚至清除废料。为了更好地理解中国经济在其绿色转型中的改变，以及释放其巨大的潜在资金来源，有必要对中国所有的基础设施部门进行更加全面的研究，尤其是货运铁路的基础设施和港口。要清理土壤和地下水中的环境污染残留物，以及减少工业污染，都需要巨大的投资。电力行业摒弃煤炭的转型将会避免一些工业治理成本。工程师在计划、设计和构造中国新绿色基础设施中的贡献，也同样会在理解了宽松的政策环境以及土地利用、基础设施和环保成效间的相互作用后更进一步。

关键词：可持续工程绿色增长工业生态低碳发展绿色金融

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支持新能源发展的财税政策研究

魏向杰

《中国工程科学》 2015年第17卷第3期页码 67-74

摘要：

财税政策是促进新能源发展的一种重要政策手段。美国等发达国家在利用财税政策支持新能源发展方面积累了丰富经验。我国开发利用新能源的时间较短，相关财税政策尚不完善，因此需要借鉴国外有益经验，进一步健全新能源财税政策体系，促进新能源发展。

关键词：新能源；财政政策；税收政策

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金融大脑：当金融遇见AI 2.0 Review Articles

Xiao-lin ZHENG, Meng-ying ZHU, Qi-bing LI, Chao-chao CHEN, Yan-chao TAN

《信息与电子工程前沿（英文）》 2019年第20卷第7期页码 914-924 doi: 10.1631/FITEE.1700822

摘要：人工智能（AI）是技术革命和产业转型的核心技术。金融智能作为AI 2.0时代新需求之一，引起学术界和工业界广泛关注。在当前充满活力的资本市场中，金融智能展示了快速准确的机器学习能力，可处理复杂数据，并有潜力逐渐成为“金融大脑”。我们对现有金融智能进行总结和综述：首先，论述金融智能概念，阐述其在金融技术领域的地位。其次，介绍金融智能的细分领域，回顾财富管理、风险管理、金融安全、金融智能客服和区块链等领域的最新技术。最后，提出一个称作“金融大脑”（FinBrain）的研究框架，总结了4个开放性问题，即可解释的金融代理和因果关系、不确定性下的感知和预测、风险敏感和稳健决策以及多智能体博弈和机制设计。相信这些研究方向可为AI 2.0在金融领域的发展奠定基础。

关键词：人工智能；金融智能

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大型公共项目融资风险与控制研究

陈守科,韦灼彬

《中国工程科学》 2007年第9卷第12期页码 57-62

摘要：

在大型公共项目的运作过程中，融资已经成为解决资金缺口的主要手段。笔者在界定项目融资结构、项目资金流量及其内涵的基础上，通过建立定量模型，从融资比例、建设工期和项目收益率三个方面对大型公共项目运作中的融资风险进行了分析，并通过算例对该模型进行了验证。

关键词：大型公共项目；融资风险；融资比例；建设工期；项目收益率

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An overview of the environmental finance policies in China: retrofitting an integrated mechanism for

LI Wei,HU Mengze