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Notice by the National Development and Reform Commission, the Supreme People's Court, the Ministry of Industry and Information Technology and Other Departments of Issuing the Reform Plan for Accelerating Improvement of the Exit System for Market Participants [Effective]
国家发展改革委、最高人民法院、工业和信息化部等关于印发《加快完善市场主体退出制度改革方案》的通知 [现行有效]
【法宝引证码】

Notice by the National Development and Reform Commission, the Supreme People's Court, the Ministry of Industry and Information Technology, the Ministry of Civil Affairs, the Ministry of Justice, the Ministry of Finance, the Ministry of Human Resources and Social Security, the People's Bank of China, the State-owned Assets Supervision and Administration Commission of the State Council, the State Taxation Administration, the State Administration for Market Regulation, the China Banking and Insurance Regulatory Commission, and the China Securities Regulatory Commission of Issuing the Reform Plan for Accelerating Improvement of the Exit System for Market Participants 

国家发展改革委、最高人民法院、工业和信息化部、民政部、司法部、财政部、人力资源社会保障部、人民银行、国资委、税务总局、市场监管总局、银保监会、证监会关于印发《加快完善市场主体退出制度改革方案》的通知

(No. 1104 [2019] of the National Development and Reform Commission) (发改财金〔2019〕1104号)

The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; all ministries and commissions of the State Council; and all institutions directly under the State Council: 各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
For the purposes of thoroughly studying Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, fully implementing the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee, unblocking the exit channels for market participants, reducing the exit cost of market participants, stimulating the competitive vitality of market participants, improving the market mechanism for the survival of the fittest, and promoting high-quality economic development, with the approval of the State Council, the Reform Plan for Accelerating Improvement of the Exit System for Market Participants is hereby issued to you for your conscientious organization of implementation and effective implementation of tasks. 为深入学习习近平新时代中国特色社会主义思想,全面贯彻党的十九大和十九届二中、三中全会精神,畅通市场主体退出渠道,降低市场主体退出成本,激发市场主体竞争活力,完善优胜劣汰的市场机制,推动经济高质量发展,经国务院同意,现将《加快完善市场主体退出制度改革方案》印发你们,请认真组织实施,抓好任务落实。
National Development and Reform Commission 国家发展改革委
Supreme People's Court 最高人民法院
Ministry of Industry and Information Technology 工业和信息化部
Ministry of Civil Affairs 民  政  部
Ministry of Justice 司  法  部
Ministry of Finance 财  政  部
Ministry of Human Resources and Social Security 人力资源社会保障部
People's Bank of China 人 民 银 行
State-owned Assets Supervision and Administration Commission of the State Council 国  资  委
State Taxation Administration 税 务 总 局
State Administration for Market Regulation 市场监管总局
China Banking and Insurance Regulatory Commission 银 保 监 会
China Securities Regulatory Commission 证  监  会
June 22, 2019 2019年6月22日
Reform Plan for Accelerating Improvement of the Exit System for Market Participants 加快完善市场主体退出制度改革方案
The exit system for market participants is an integral component of the modern economic system. For the purposes of unblocking the exit channels for market participants, reducing the exit cost of market participants, stimulating the competitive vitality of market participants, improving the market mechanism for the survival of the fittest, and promoting high-quality economic development, with the approval of the State Council, the following reform plan for accelerating improvement of the exit system for market participants is hereby offered. 市场主体退出制度是现代化经济体系的重要组成部分。为进一步畅通市场主体退出渠道,降低市场主体退出成本,激发市场主体竞争活力,完善优胜劣汰的市场机制,推动经济高质量发展,经国务院同意,现就加快完善市场主体退出制度提出如下改革方案。
I. General requirements   一、总体要求
1. Guiding ideology. (一)指导思想。
Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era shall be the guidance, the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee shall be comprehensively implemented, the overall layout for "economic, political, cultural, social, and ecological progress" shall be holistically advanced, the Four-Pronged Comprehensive Strategy shall be advanced in a coordinated manner, the general working tone of stable progress shall be adhered to, the new development concept shall be adhered to, the promotion of high-quality development shall be adhered to, the supply-side structural reform shall be adhered to as the theme, the promotion of the optimal allocation of resources and the improvement of the efficiency of resource use shall be the objective, an exit system for market participants shall be established and improved by the principles of market-oriented and law-based approaches, the quality and efficiency of market restructuring and clearing shall be improved, and the survival of the fittest of market participants and the optimal allocation of resources shall be boosted, so as to drive high-quality economic development and the building of a modern economic system. 以习近平新时代中国特色社会主义思想为指导,全面贯彻党的十九大和十九届二中、三中全会精神,统筹推进“五位一体”总体布局,协调推进“四个全面”战略布局,坚持稳中求进工作总基调,坚持新发展理念,坚持推动高质量发展,坚持以供给侧结构性改革为主线,以促进资源优化配置和提高资源使用效率为目标,按照市场化、法治化原则,建立健全市场主体退出制度,提高市场重组、出清的质量和效率,促进市场主体优胜劣汰和资源优化配置,推动经济高质量发展和现代化经济体系建设。
2. Basic principles. (二)基本原则。
—Adhering to market-oriented reforms: The decisive role of the market in allocating resources shall be maximized, the market competition order shall be regulated, market distortions shall be reduced, the market mechanism for survival of the fittest shall be improved, and the flow of production factors and resources from ineffective and inefficient market participants to efficient ones shall be promoted, so as to unleash the potential of various factors and resources to the maximum. The government shall be better brought into play, and regulatory, supervisory, and service modes shall be innovated, so as to create a good system environment for market participants to exit according to the law. --坚持市场化改革。充分发挥市场配置资源的决定性作用,规范市场竞争秩序,减少市场扭曲,完善优胜劣汰的市场机制,促进生产要素和资源由无效低效市场主体向高效市场主体流动,最大程度发挥各类要素和资源潜力。更好发挥政府作用,创新调控、监管、服务方式,为市场主体依法退出营造良好的制度环境。
—Adhering to the direction of the rule of law: The improvement on laws and regulations on the exit of market participants shall be accelerated, and the operating autonomy of market participants shall be respected and safeguarded. Various laws, regulations and related policies shall be effectively connected, and the cost for market participants to leave trading shall be effectively lowered. In fields where the market mechanism is unable to play its role effectively, by reasonably using public policies, ineffective and inefficient market participants shall be directed or forced to exit in an orderly manner, and remedy channels for exit shall be unblocked. --坚持法治化方向。加快完善市场主体退出的法律法规,尊重和保障市场主体自主经营权利。有效衔接各类法律法规和相关政策,有效降低市场主体退出交易成本。在市场机制不能有效发挥作用的领域,通过合理运用公共政策,引导或强制低效无效市场主体依法有序退出,同时畅通退出权利救济途径。
—Adhering to equal focus on restraint and incentives: Market discipline shall be strengthened, and market participants shall be promoted in operating prudently, so as to prevent blind and radical operations and excessive indebtedness. Good faith market participants mismanaged shall be appropriately tolerated, and exiting market participants shall be subject to reasonable and limited liability, so as to retain opportunities for re-entrepreneurship and protect enthusiasm for innovation and entrepreneurship. --坚持约束与激励并举。强化市场纪律,促进市场主体审慎经营,防止盲目激进经营和过度负债。对经营失败的诚实市场主体给予适当宽容,使退出市场主体承担合理有限责任,保留再创业机会,保护创新创业的积极性。
—Adhering to protecting the reasonable rights and interests of all parties: The relationship of rights and obligations among the employees, various creditors, shareholders and other stakeholders of enterprises shall be effectively handled, and moral hazards such as escaping from debts shall be effectively prevented, so as to ensure that all parties share the costs of exit in a lawful, fair and reasonable manner and guarantee that market participants exit safely, orderly, at a controllable risk. With a focus on the overall and long-term interests, the efficiency of exit shall be raised to prevent a lose-lose situation as a result of prolonged disputes over interests. --坚持保护各方合理权益。处理好企业职工、各类债权人、股东以及其他利益相关方之间的权利义务关系,切实防范逃废债等道德风险,确保各方依法公平合理分担退出成本,保障市场主体退出稳妥有序、风险可控。同时着眼全局和长期利益,提高退出效率,防止因利益纠葛久拖不决导致多输局面。
3. Overall objectives. (三)总体目标。
A facilitative, efficient and orderly exit system commensurate with the modern economic system, covering various market participants such as for-profit legal persons, non-profit legal persons, unincorporated organizations, farmers' professional cooperatives, individual industrial and commercial households, and natural persons, shall be gradually established, the channel for exit of market participants shall be further unblocked, the exit cost of market participants shall be significantly decreased, and ineffective and inefficient market participants shall exit at a faster pace, so as to provide strong support for building an economic system with an effective market mechanism, dynamic market participants, and appropriate macro-regulation. 逐步建立起与现代化经济体系相适应,覆盖企业等营利法人、非营利法人、非法人组织、农民专业合作社、个体工商户、自然人等各类市场主体的便利、高效、有序的退出制度,市场主体退出渠道进一步畅通,市场主体退出成本明显下降,无效低效市场主体加快退出,为构建市场机制有效、微观主体有活力、宏观调控有度的经济体制提供有力支撑。
II. Regulating the methods for exit of market participants   二、规范市场主体退出方式
In accordance with the principle of market-based and law-based approaches, the methods for exit of market participants shall be further specified, and conditions, standards and specific procedures for well-regulated exit shall be improved, so as to enable all types of market participants to have appropriate exit methods and channels. 按照市场化法治化原则,进一步明确市场主体退出方式,完善规范退出的条件、标准和具体程序,使各类市场主体均有适当的退出方式和渠道。
1. Regulating exit by voluntary dissolution. Enterprises such as for-profit legal persons, non-profit legal persons and unincorporated organizations shall stipulate the causes of dissolution in their articles of incorporation, according to the principle of autonomy, and when a cause of dissolution occurs, the market participant shall resolve to be dissolved according to the governance procedure and voluntarily leave the market, unless otherwise provided by law. (一)规范自愿解散退出。企业等营利法人、非营利法人和非法人组织在其设立章程中应按照意思自治原则依法对解散事由作出约定,当解散事由出现时,除法律另有规定外,由市场主体按照治理程序决议解散,自愿退出市场。
2. Establishing and improving exit by bankruptcy. On the basis of further improving the bankruptcy system for enterprises, the bankruptcy system for market participants such as non-profit legal persons, unincorporated organizations, individual industrial and commercial households, and natural persons shall be established, the coverage of the bankruptcy system shall be expanded, and the channels for exit of market participants in a creditor-debtor relationship shall be unblocked. (二)建立健全破产退出渠道。在进一步完善企业破产制度的基础上,研究建立非营利法人、非法人组织、个体工商户、自然人等市场主体的破产制度,扩大破产制度覆盖面,畅通存在债权债务关系的市场主体退出渠道。
3. Steadily and properly implementing exit by involuntary dissolution. The conditions for market participants to exit by involuntary dissolution arising from the provisions of the government's public policies shall be strictly defined, related post-exit matters shall be steadily and properly handled, and the property of market participants shall be protected according to the law. Standards and procedures for exit of market participants by involuntary dissolution shall be harmonized. A remedy procedure shall be established for exit by involuntary dissolution, so as to guarantee the lawful rights and interests of exiting market participants and stakeholders in accordance with the law. (三)稳妥实施强制解散退出。严格限定市场主体因政府公共政策规定而强制解散退出的条件,稳妥处置退出后相关事宜,依法保护市场主体产权。统一市场主体强制解散退出的标准和程序。对强制解散退出应设定救济程序,依法保障退出市场主体和利益相关方的合法权益。
4. Specifying the rules of exit in particular fields. As needed for the public interest such as public security, industry regulation, regional development, technical standards, and environmental protection, the relevant authorities may force or direct market participants to leave particular production fields and business fields. The further specification of triggering conditions and compensatory mechanisms for leaving particular fields in the relevant regulations and policies shall be researched. (四)明确特定领域退出规则。因公共安全、产业调控、区域发展、技术标准、环境保护等公共利益需要,有关机关可以依法强制或引导市场主体从特定生产领域、业务领域退出。研究在相关法规和政策中进一步明确特定领域退出的触发条件、补偿机制。
III. Improving liquidation and deregistration systems   三、健全清算注销制度
If a market participant has a cause of dissolution, a liquidation group shall be organized according to the procedure and the law to carry out liquidation. If no agreement is able to be reached on the voluntary liquidation of the market participant, or the relevant responsible entities neglect to perform their liquidation obligation, the shareholders or creditors of the market participant such as enterprise may apply to the court for appointing a liquidation group for compulsory liquidation. After the liquidation, the liquidation group shall apply for deregistration in a timely manner in accordance with the law. If bankruptcy conditions are met during the liquidation process, the bankruptcy proceedings shall be instituted in a timely manner according to the law. 市场主体出现解散事由,应按程序依法组织清算组开展清算。市场主体无法就自行清算达成一致或相关责任主体怠于履行清算义务的,企业等市场主体的股东或债权人可以依法申请法院指定清算组进行强制清算。清算结束后,清算组应依法及时申请注销登记。清算过程中符合破产条件的,应依法及时转入破产程序。
1. Improving the liquidation mechanism for market participants. (一)完善市场主体清算机制。
The responsibility of market participants for performing their liquidation obligation shall be strengthened, and conditions for instituting the liquidation proceedings, term of liquidation, and the rights and obligations of liquidation obligors shall be specified according to the different nature and types of market participants. A legal liability enforcement mechanism shall be established with respect to liquidation obligors' negligence of performing their liquidation obligation. The mechanism for the connection between liquidation in dissolution and liquidation in bankruptcy proceedings of companies shall be improved. (The Supreme People's Court, the National Development and Reform Commission, the Ministry of Justice, and the State Administration for Market Regulation shall be responsible based on the division of duties) 强化市场主体履行清算义务的责任,根据市场主体不同性质和类型,明确清算程序的启动条件和清算期限、清算义务人的权利义务。建立清算义务人怠于履行清算义务时的法律责任追究机制。完善公司解散清算与破产清算程序的衔接机制。(最高人民法院、国家发展改革委、司法部、市场监管总局等按职责分工负责)
2. Improving the deregistration system. (二)完善注销登记制度。
The facilitation of the deregistration system shall be improved, inputs in technology platforms shall be increased, and modern information technology shall be used to reduce or remove physical processing links, so as to significantly lower the trading costs in the exit of market participants. The simplification of the ordinary deregistration procedures shall be further explored, and the further improvement of the ordinary deregistration system by reforming channels for publishing announcements on liquidation, reducing waiting time for announcement, exempting eligible market participants from submitting liquidation reports, or otherwise shall be researched. The necessity and feasibility of adding relevant regulations on procedure for summary deregistration of enterprises to the laws and regulations shall be researched and explored. The establishment of an involuntary exit system for market participants shall be researched, the relevant laws and regulations shall be improved, and involuntary exit shall be enforced in accordance with the statutory procedures against market participants such as enterprises and individual industrial and commercial households that have their business licenses suspended because of abnormal operations, violation of law or dishonesty, or are ordered to close down. (The State Administration for Market Regulation shall take the lead and be responsible) 提高注销登记制度的便利程度,加大技术平台投入,利用现代信息技术减少或取消现场办理环节,大幅降低市场主体退出的交易成本。进一步探索简化普通注销程序,研究通过改革清算公告发布渠道、减少公告等待时间、对符合条件的市场主体豁免提交清算报告等方式,进一步完善普通注销制度。研究探索在法律法规中增加关于企业简易注销登记程序等相关规定的必要性和可行性。研究建立市场主体强制退出制度,完善相关法律法规,对因经营异常、违法失信而被吊销营业执照、责令关闭的企业和个体工商户等市场主体,依照法定程序实施强制退出。(市场监管总局牵头负责)
IV. Improving the system for bankruptcy laws   四、完善破产法律制度
When a market participant fulfills the statutory bankruptcy conditions, it shall be wound up through bankruptcy proceedings according to the law, or stakeholders shall be promoted in conducting restructuring by extrajudicial agreement, so as to revitalize stock assets and release resource factors. For an enterprise experiencing financial difficulty which is of operating value and has prospect of recovery, creditors, debtors and stakeholders shall be supported in promoting the restructuring of enterprise debts, ownership structure and business by bankruptcy reorganization, restructuring by extrajudicial agreement, or otherwise, so as to resume production and operation. For enterprises without operating value and prospect of recovery, market clearing shall be promptly effected by bankruptcy proceedings. 市场主体达到法定破产条件,应当依法通过破产程序进行清理,或推动利益相关方庭外协议重组,以尽快盘活存量资产,释放资源要素。对陷入财务困境但仍具有经营价值和再生希望的企业,支持债权人、债务人及利益相关方利用破产重整或庭外协议重组等方式,推动企业债务、股权结构和业务重组,恢复生产经营。对丧失经营价值和再生无望的企业,要及时通过破产程序实现市场出清。
1. Improving the bankruptcy system for enterprises. (一)完善企业破产制度。
The institution and trial procedures for enterprise bankruptcy shall be improved. The institution system for bankruptcy proceedings shall be improved, and the rights and obligations of the government, courts, debtors, creditors and bankruptcy administrators in the bankruptcy proceedings shall be specified. When an enterprise meets the bankruptcy conditions, the bankruptcy proceedings shall be instituted in a timely manner according to the law, and conditions and procedures exceeding the provisions of the law may not be imposed. The necessity and feasibility of provisions that the senior management and other relevant responsible persons of enterprises have an obligation to apply for bankruptcy liquidation or reorganization in a timely manner when the enterprises experience financial difficulty shall be researched. The practice of and experience in shifting from enforcement to bankruptcy shall be summarized, and the legal status of the system for shifting from enforcement to bankruptcy shall be specified. The rules of rankings of debts in bankruptcy proceedings shall be improved. A summary procedure for bankruptcy trial shall be established, and the separation of simple bankruptcy cases from complicated ones shall be implemented. Rules of cross-border bankruptcy and bankruptcy of affiliate enterprises shall be improved, and the resolution of cross-border bankruptcy and bankruptcy of complicated entities shall be promoted. The legal liability system for relevant persons of bankrupt enterprises shall be improved, and illegal and irregular conduct such as bad faith escape from debts shall be severely cracked down on. (The Supreme People's Court, the National Development and Reform Commission, the Ministry of Justice, and the China Banking and Insurance Regulatory Commission shall be responsible based on the division of duties)
......
 完善企业破产启动与审理程序。完善破产程序启动制度,厘清政府、法院、债务人、债权人和破产管理人在破产程序中的权利义务。企业符合破产条件时,应依法及时启动破产程序,不得设定超出法律规定的条件和程序。研究规定企业和企业高级管理人员等相关责任主体在企业陷入财务困境时负有及时申请破产清算或重整义务的必要性和可行性。总结执行转破产实践经验,明确执行转破产制度的法律地位。完善破产程序中债权清偿顺位规则。建立破产简易审理程序,实行破产案件繁简分流。完善跨境破产和关联企业破产规则,推动解决跨境破产、复杂主体破产难题。完善破产企业有关人员法律责任制度,严厉打击恶意逃废债等违法违规行为。(最高人民法院、国家发展改革委、司法部、中国银保监会等按职责分工负责)
......

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