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Measures for the Administration of Overseas Investment (2014) [Effective]
境外投资管理办法(2014) [现行有效]
【法宝引证码】

Order of the Ministry of Commerce 

中华人民共和国商务部令

(No. 3 [2014]) (2014年第3号)

The Measures for the Administration of Overseas Investment, as deliberated and adopted at the 27th executive meeting of the Ministry of Commerce on August 19, 2014, are hereby issued, and shall come into force on October 6, 2014. 境外投资管理办法》已经2014年8月19日商务部第27次部务会议审议通过,现予发布,自2014年10月6日起施行。
Minister: Gao Hucheng 部长 高虎城
September 6, 2014 2014年9月6日
Measures for the Administration of Overseas Investment 境外投资管理办法
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of promoting and regulating overseas investment and raising the level of facilitation of overseas investment, these Measures are developed in accordance with the Decision of the State Council on Reforming the Investment System, the Decision of the State Council on Establishing Administrative Licensing for the Administrative Approval Items Really Necessary To Be Retained, and other relevant laws.   第一条 为了促进和规范境外投资,提高境外投资便利化水平,根据《国务院关于投资体制改革的决定》、《国务院对确需保留的行政审批项目设定行政许可的决定》及相关法律规定,制定本办法。
Article 2 For the purposes of these Measures, “overseas investment” means the acts of an enterprise legally formed in China (hereinafter referred to as an “enterprise”) to own a non-financial enterprise or obtain the ownership, control, or right of business management of or any other interest in an existing non-financial enterprise outside of China by formation, acquisition or merger, or other means.   第二条 本办法所称境外投资,是指在中华人民共和国境内依法设立的企业(以下简称企业)通过新设、并购及其他方式在境外拥有非金融企业或取得既有非金融企业所有权、控制权、经营管理权及其他权益的行为。
Article 3 Enterprises making overseas investment shall make decisions independently and be responsible for their own profits and losses according to the law.   第三条 企业开展境外投资,依法自主决策、自负盈亏。
Article 4 When making overseas investment, an enterprise may not:   第四条 企业境外投资不得有以下情形:
(1) endanger the state sovereignty, national security, or public interest of the People's Republic of China, or violate any law or regulation of the People's Republic of China; (一)危害中华人民共和国国家主权、安全和社会公共利益,或违反中华人民共和国法律法规;
(2) jeopardize the relationship between the People's Republic of China and the related country (or region); (二)损害中华人民共和国与有关国家(地区)关系;
(3) violate any international treaty or agreement concluded or acceded to by the People's Republic of China; or (三)违反中华人民共和国缔结或者参加的国际条约、协定;
(4) export any product or technology prohibited by the People's Republic of China from export. (四)出口中华人民共和国禁止出口的产品和技术。
Article 5 The Ministry of Commerce and the departments of commerce of provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning, and Xinjiang Production and Construction Corps (hereinafter referred to as the “commerce departments of provinces”) shall be responsible for the administration and supervision of overseas investment.   第五条 商务部和各省、自治区、直辖市、计划单列市及新疆生产建设兵团商务主管部门(以下称省级商务主管部门)负责对境外投资实施管理和监督。
Chapter II Recordation and Confirmation 

第二章 备案和核准

Article 6 The Ministry of Commerce and the commerce departments of provinces shall subject the overseas investment of enterprises to recordation or confirmation management, depending on the actual circumstances of investment.   第六条 商务部和省级商务主管部门按照企业境外投资的不同情形,分别实行备案和核准管理。
Overseas investment involving any sensitive country or region or any sensitive industry shall be subject to confirmation management. 企业境外投资涉及敏感国家和地区、敏感行业的,实行核准管理。
Overseas investment under other circumstances shall be subject to recordation management. 企业其他情形的境外投资,实行备案管理。
Article 7 Countries where overseas investment is subject to confirmation management shall be countries without a diplomatic relation with China or subject to international sanctions. If necessary, the Ministry of Commerce may publish a list of other countries and regions where overseas investment is subject to confirmation management.   第七条 实行核准管理的国家是指与中华人民共和国未建交的国家、受联合国制裁的国家。必要时,商务部可另行公布其他实行核准管理的国家和地区的名单。
Industries where overseas investment is subject to confirmation management are industries involving the export of products and technologies restricted by the People's Republic of China from export or involving the interests of at least one country (or region). 实行核准管理的行业是指涉及出口中华人民共和国限制出口的产品和技术的行业、影响一国(地区)以上利益的行业。
Article 8 The Ministry of Commerce and the commerce departments of provinces shall handle recordation and confirmation matters according to the law, improve work efficiency, and provide quality services.   第八条 商务部和省级商务主管部门应当依法办理备案和核准,提高办事效率,提供优质服务。
The Ministry of Commerce and the commerce departments of provinces shall regulate the overseas investment of enterprises through the “Overseas Investment Management System” (hereinafter referred to as the “Management System”), and issue the Overseas Investment Certificate for Enterprises (hereinafter referred to as the “Certificate”; see Annex 1 for the format) to enterprises granted recordation or confirmation. The Certificate shall be printed by, and bear the seal of, the Ministry of Commerce and the commerce departments of provinces, respectively, and shall be subject to unified coding. 商务部和省级商务主管部门通过"境外投资管理系统"(以下简称"管理系统")对企业境外投资进行管理,并向获得备案或核准的企业颁发《企业境外投资证书》(以下简称《证书》,样式见附件1)。《证书》由商务部和省级商务主管部门分别印制并盖章,实行统一编码管理。
As the certification of recordation or confirmation of an enterprise's overseas investment, the Certificate shall be issued according to the final destination of the overseas investment. 《证书》是企业境外投资获得备案或核准的凭证,按照境外投资最终目的地颁发。
Article 9 For an overseas investment subject to recordation, a central enterprise shall undergo recordation with the Ministry of Commerce, while a local enterprise shall undergo recordation with the commerce department of the province where it is located.   第九条 对属于备案情形的境外投资,中央企业报商务部备案;地方企业报所在地省级商务主管部门备案。
The central enterprise or local enterprise shall fill out the Overseas Investment Recordation Form (hereinafter referred to as the “Recordation Form”; see Annex 2 for the format) as required, print it, affix its seal to it, and submit it together with a photocopy of the enterprise's business license to the Ministry of Commerce or the commerce department of the province for recordation, respectively. 中央企业和地方企业通过"管理系统"按要求填写并打印《境外投资备案表》(以下简称《备案表》,样式见附件2),加盖印章后,连同企业营业执照复印件分别报商务部或省级商务主管部门备案。
If the Recordation Form has been truthfully and completely filled out in the statutory format, and the enterprise has declared in the Recordation Form that its overseas investment is not under any of the circumstances specified in Article 4 of these Measures, the Ministry of Commerce or the commerce department of the province shall grant recordation and issue the Certificate within three working days of receipt of the Recordation Form. If the enterprise fails to truthfully and completely fill out the Recordation Form, the Ministry of Commerce or the commerce department of the province shall not grant recordation. 《备案表》填写如实、完整、符合法定形式,且企业在《备案表》中声明其境外投资无本办法第四条所列情形的,商务部或省级商务主管部门应当自收到《备案表》之日起3个工作日内予以备案并颁发《证书》。企业不如实、完整填报《备案表》的,商务部或省级商务主管部门不予备案。
Article 10 For overseas investment subject to confirmation, a central enterprise shall apply to the Ministry of Commerce for confirmation, while a local enterprise shall apply to the commerce department of the province where it is located for confirmation.   第十条 对属于核准情形的境外投资,中央企业向商务部提出申请,地方企业通过所在地省级商务主管部门向商务部提出申请。
To apply for confirmation of its overseas investment, an enterprise shall submit the following materials: 企业申请境外投资核准需提交以下材料:
(1) An application form, which shall mainly cover the basic information on the investor, the name, equity structure, amount of investment, scope of business, and duration of business of the overseas enterprise, the sources of investment funds, and the specific content of the investment, among others. (一)申请书,主要包括投资主体情况、境外企业名称、股权结构、投资金额、经营范围、经营期限、投资资金来源、投资具体内容等;
(2) The Application Form for Overseas Investment (see Annex 3 for the format), which shall be filled out and printed through the “Management System” as required and bear the seal of the enterprise. (二)《境外投资申请表》(样式见附件3),企业应当通过"管理系统"按要求填写打印,并加盖印章;
(3) The overseas investment contracts or agreements. (三)境外投资相关合同或协议;
(4) The materials issued by the competent authority to approve the export of the product or technology involved in the overseas investment which is restricted by the People's Republic of China from export (四)有关部门对境外投资所涉的属于中华人民共和国限制出口的产品或技术准予出口的材料;
(5) A photocopy of the business license of the enterprise. (五)企业营业执照复印件。
Article 11 The opinion of the embassy or consulate of China (the economic and trade counselor's office) in the foreign country or region where an overseas investment is made shall be solicited before confirmation. If the investment is made by a central enterprise, the Ministry of Commerce shall be responsible for soliciting the opinion; or if the investment is made by a local enterprise, the commerce department of the province where it is located shall be responsible for soliciting the opinion. In soliciting the opinion, the Ministry of Commerce or the commerce department of the province shall provide the basic information on the investment and other relevant information. The embassy or consulate of China (the economic and trade counselor's office) in the foreign country or region shall give a reply within seven working days of receipt of the request for an opinion.
......
   第十一条 核准境外投资应当征求我驻外使(领)馆(经商处室)意见。涉及中央企业的,由商务部征求意见;涉及地方企业的,由省级商务主管部门征求意见。征求意见时,商务部和省级商务主管部门应当提供投资事项基本情况等相关信息。驻外使(领)馆(经商处室)应当自接到征求意见要求之日起7个工作日内回复。
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