| Guiding Opinions of the Anti-monopoly Bureau of the State Administration for Market Regulation on the Notification of Concentrations Between Undertakings | | 国家市场监督管理总局反垄断局关于经营者集中申报的指导意见 |
| (Revised on September 29, 2018) | | （2018年9月29日修订） |
| In accordance with the Anti-monopoly Law of the People's Republic of China (the “Anti-monopoly Law”), the Provisions by the State Council on the Standards for the Notification of Concentrations Between Undertakings (the “Provisions”), the Measures for the Notification of Concentrations Between Undertakings (the “Measures”), and other relevant laws and regulations, the undertakings concerned by a concentration which meets the notification standards shall give a prior notification of the concentration to the State Administration for Market Regulation; otherwise, no concentration shall be implemented. For the purpose of facilitating a notification by the undertakings, the State Administration for Market Regulation has developed the relevant guiding opinions for the reference of undertakings. | | 依据《中华人民共和国反垄断法》（以下简称《反垄断法》）、《国务院关于经营者集中申报标准的规定》（以下简称《规定》）和《经营者集中申报办法》（以下简称《办法》）等相关法律法规，达到申报标准的经营者集中，经营者应当事先向国家市场监督管理总局申报，未申报的不得实施集中。为方便经营者申报，国家市场监督管理总局制订了相关指导意见，供经营者参考。 |
| Article 1 For the purposes of these Guiding Opinions, “concentrations between undertakings” includes the following circumstances as set out in Article 20 of the Anti-monopoly Law: | | 第一条 本指导意见所称经营者集中，是指《反垄断法》第20条所规定的下列情形： |
| (1) A merger of undertakings. | | （一）经营者合并； |
| (2) An undertaking's acquisition of control over other undertakings by acquiring equities or assets. | | （二）经营者通过取得股权或者资产的方式取得对其他经营者的控制权； |
| (3) An undertaking's acquisition of control over other undertakings or ability to exercise decisive influence on other undertakings by contract or other means. | | （三）经营者通过合同等方式取得对其他经营者的控制权或者能够对其他经营者施加决定性影响。 |
| Article 2 For the purposes of these Guiding Opinions, “notification standards” means the following standards as set out in Article 3 of the Provisions: | | 第二条 本指导意见所称申报标准，是指《规定》第三条所规定的下列标准： |
| (1) The aggregate worldwide turnover of all the undertakings concerned is more than 10 billion yuan in the preceding financial year, and the turnover within China of each of at least two of the undertakings concerned is more than 400 million yuan in the preceding financial year. | | （一）参与集中的所有经营者上一会计年度在全球范围内的营业额合计超过100亿元人民币，并且其中至少两个经营者上一会计年度在中国境内的营业额均超过4亿元人民币； |
| (2) The aggregate turnover within China of all the undertakings concerned is more than 2 billion yuan in the preceding financial year, and the turnover within China of each of at least two of the undertakings concerned is more than 400 million yuan in the preceding financial year. | | （二）参与集中的所有经营者上一会计年度在中国境内的营业额合计超过20亿元人民币，并且其中至少两个经营者上一会计年度在中国境内的营业额均超过4亿元人民币。 |
| Article 3 The control in the sense of concentrations between undertakings includes sole control and joint control. | | 第三条 经营者集中所指的控制权，包括单独控制权和共同控制权。 |
| A judgment on whether an undertaking acquires control over other undertakings or ability to exercise decisive influence on other undertakings by transaction (control and decisive influence are hereinafter collectively referred to as “control”) depends on a number of considerations of fact or law. Concentration agreements and the bylaws of other undertakings are an important but not the only basis of judgment. If acquisition of control cannot be judged based on the concentration agreements and bylaws but for the dispersion of other ownerships and other reasons, de facto control has been conferred on the undertaking, it is an acquisition of control in the sense of concentrations between undertakings. In the judgment on whether an undertaking has acquired control over other undertakings by transaction, generally, the following factors without limitation shall be considered: | | 判断经营者是否通过交易取得对其他经营者的控制权或者能够对其他经营者施加决定性影响（控制权和决定性影响以下统称为“控制权”），取决于大量法律和事实因素。集中协议和其他经营者的章程是重要判断依据，但不是唯一的依据。虽然从集中协议和章程中无法判断取得控制权，但由于其他股权分散等原因，实际上赋予了该经营者事实上的控制权，也属于经营者集中所指的控制权取得。判断经营者是否通过交易取得其他经营者的控制权，通常考虑包括但不限于下列因素： |
| (1) Purposes of transaction and further plans. | | （一）交易的目的和未来的计划； |
| (2) Equity structures of other undertakings prior to and after transaction and the changes thereof. | | （二）交易前后其他经营者的股权结构及其变化； |
| (3) Matters to be voted on at the shareholders' meetings of other undertakings and the voting mechanisms thereof, as well as historical attendance rates and voting results. | | （三）其他经营者股东大会的表决事项及其表决机制，以及其历史出席率和表决情况； |
| (4) Compositions of the boards of directors and the boards of supervisors of other undertakings and the voting mechanisms thereof. | | （四）其他经营者董事会或监事会的组成及其表决机制； |
| (5) Appointment and removal, among others, of officers of other undertakings. | | （五）其他经营者高级管理人员的任免等； |
| (6) Relationships between shareholders and directors of other undertakings and whether there is any proxy voting or persons acting in concert, among others. | | （六）其他经营者股东、董事之间的关系，是否存在委托行使投票权、一致行动人等； |
| (7) Whether there is any major business relationship or cooperation agreement, among others, between the undertaking and other undertakings. | | （七）该经营者与其他经营者是否存在重大商业关系、合作协议等。 |
| Control may be acquired by the undertaking directly or indirectly through any other undertaking already controlled by the undertaking. | | 控制权取得，可由经营者直接取得，也可通过其已控制的经营者间接取得。 |
| Article 4 The creation of a joint venture shall constitute a concentration if it is jointly controlled by at least two undertakings; and shall not constitute a concentration if it is solely controlled by one undertaking and other undertakings exercise no control over it. | | 第四条 对于新设合营企业，如果至少有两个经营者共同控制该合营企业，则构成经营者集中；如果仅有一个经营者单独控制该合营企业，其他的经营者没有控制权，则不构成经营者集中。 |
| Article 5 The turnover includes the amounts derived by the undertakings concerned in the preceding financial year from the sale of products and the provision of services after deduction of relevant taxes and surcharges. | | 第五条 营业额包括相关经营者上一会计年度内销售产品和提供服务所获得的收入，扣除相关税金及其附加。 |
| “Within China” as mentioned in Article 2 of these Guiding Opinions means that the places of the buyers of the products or services of the undertakings are located in the territory of China. The definition includes products or services exported by the undertakings to China from a country or region outside China but excludes products or services exported by the undertakings from China to a country or region outside China. | | 本指导意见第二条所称“在中国境内”，是指经营者产品或服务的买方所在地在中国境内。包括经营者从中国之外的国家或地区向中国的出口，但不包括其从中国向中国之外的国家或地区出口的产品或服务。 |
| “Worldwide” as mentioned in Article 2 of these Guiding Opinions includes the turnover within China. | | 本指导意见第二条所称“在全球范围内”，包括在中国境内的营业额。 |
| The calculation of turnover in the financial industry shall be governed by the Measures for the Calculation of Turnover for the Notification of Concentrations Between Undertakings in the Financial Industry. | | 金融业营业额的计算，按照《金融业经营者集中申报营业额计算办法》执行。 |
| Article 6 The turnover of an undertaking concerned shall be calculated by adding together the respective turnovers of the following: | | 第六条 参与集中的单个经营者的营业额应当为下述经营者的营业额总和： |
| (1) The undertaking concerned. | | （一）该单个经营者； |
| (2) Those undertakings that are directly or indirectly controlled by the undertaking concerned as referred to in subparagraph (1). | | （二）第（一）项所指经营者直接或间接控制的其他经营者； |
| (3) Those undertakings that directly or indirectly control the undertaking concerned as referred to in subparagraph (1). | | （三）直接或间接控制第（一）项所指经营者的其他经营者； |
| (4) Those undertakings that are directly or indirectly controlled by an undertaking as referred to in subparagraph (3). | | （四）第（三）项所指经营者直接或间接控制的其他经营者； |
| (5) Those undertakings jointly controlled by two or more undertakings as referred to in subparagraphs (1) to (4). | | （五）第（一）至（四）项所指经营者中两个或两个以上经营者共同控制的其他经营者。 |
| The turnover of an undertaking concerned shall include neither the turnover occurring between any of the undertakings referred to in subparagraphs (1) to (5) above nor the turnover of an undertaking already sold by the undertaking concerned or over which the undertaking concerned no longer exercised control in or before the preceding financial year. | | 参与集中的单个经营者的营业额不包括上述（一）至（五）项所列经营者之间发生的营业额，也不包括其在上一会计年度或之前已出售或不再具有控制权的经营者的营业额。 |
If any other undertaking is jointly controlled by the undertakings concerned or by the undertakings concerned and any undertaking not involved in the concentration, the turnover of an undertaking concerned shall include the turnover occurring between the undertaking under joint control and any third undertakings, but such turnover may only be calculated once.
．．．．．． | | 参与集中的单个经营者之间或者参与集中的经营者和未参与集中的经营者之间有共同控制的其他经营者，参与集中的单个经营者的营业额应当包括被共同控制的经营者与第三方经营者之间的营业额，且此营业额只计算一次。
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