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| Order of the Ministry of Commerce of the People's Republic of China | | 中华人民共和国商务部令 |
(No.5 [2009]) | |
（2009年第5号） |
The Measures for Overseas Investment Management, as deliberated and adopted at the 19th executive meeting of the Ministry of Commerce on March 4, 2009, are hereby issued and shall come into force on May 1, 2009. | |
《境外投资管理办法》已经2009年3月4日商务部第19次部务会议审议通过，现予公布，自2009年5月1日起施行。 |
Minister: Chen Deming | |
部长 陈德铭 |
March 16, 2009 | |
二00九年三月十六日 |
Measures for Overseas Investment Management | |
境外投资管理办法 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 To promote and regulate overseas investment, these Measures are formulated according to the Decision of the State Council on Setting Administrative Licensing for Necessarily Retained Matters Subject to Administrative Examination and Approval. | | 第一条 为促进和规范境外投资，根据《国务院对确需保留的行政审批项目设定行政许可的决定》，制定本办法。 |
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| Article 2 The term “overseas investment” as mentioned in these Measures means that an enterprise legally established in China (hereinafter referred to as the “enterprise”) sets up a new non-financial enterprise overseas or acquires the right to own, control or manage an existing non-financial enterprise overseas in the way of merger or acquisition. | | 第二条 本办法所称境外投资，是指在我国依法设立的企业（以下简称企业）通过新设、并购等方式在境外设立非金融企业或取得既有非金融企业的所有权、控制权、经营管理权等权益的行为。 |
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| Article 3 Enterprises making overseas investment shall earnestly learn and abide by the relevant domestic and foreign laws, regulations, rules and policies, and follow the principle of “mutual benefit and win-win”. | | 第三条 企业开展境外投资应当认真了解并遵守境内外相关法律法规、规章和政策，遵循"互利共赢"原则。 |
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| Article 4 The Ministry of Commerce shall be responsible for administering and supervising overseas investment. The competent departments of commerce of the 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 “provincial commerce departments”) shall be responsible for administering and supervising the overseas investment within their respective administrative regions. | | 第四条 商务部负责对境外投资实施管理和监督，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（以下简称省级商务主管部门）负责对本行政区域内境外投资实施管理和监督。 |
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| Chapter II Approval | | 第二章 核准 |
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| Article 5 The Ministry of Commerce and the provincial commerce departments shall apply an approval system to enterprises' overseas investment. The Ministry of Commerce shall maintain an “Overseas Investment Management System” (hereinafter referred to as the “system”). An Enterprise Overseas Investment Certificate (hereinafter referred to as the “Certificate”, see Annex 1 for its format) shall be issued to an approved enterprise. The Certificates shall be uniformly printed and coded by the Ministry of Commerce. | | 第五条 商务部和省级商务主管部门对企业境外投资实行核准。商务部建立"境外投资管理系统"（以下简称"系统"）。对予以核准的企业，颁发《企业境外投资证书》（以下简称《证书》，样式见附件一）。《证书》由商务部统一印制，实行统一编码管理。 |
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| Article 6 An enterprise making any of the following overseas investments shall submit the application materials according to Article 12 of these Measures, and obtain the approval of the Ministry of Commerce according to Article 13 of these Measures: | | 第六条 企业开展以下情形境外投资应当按本办法第十二条的规定提交申请材料，并按本办法第十三条的规定报商务部核准： |
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| 1. making overseas investment in a country which has not established a diplomatic relationship with China; | | （一）在与我国未建交国家的境外投资； |
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| 2. making overseas investment in a specific country or region (the list of such countries or regions shall be determined by the Ministry of Commerce in conjunction with the Ministry of Foreign Affairs and other relevant departments); | | （二）特定国家或地区的境外投资（具体名单由商务部会同外交部等有关部门确定）； |
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| 3. making overseas investment with the amount of investment of the Chinese party being USD 100 million or more; | | （三）中方投资额1亿美元及以上的境外投资； |
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| 4. making overseas investment which involves the interests of multiple countries or regions; or | | （四）涉及多国（地区）利益的境外投资； |
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| 5. setting up a special-purpose company overseas. | | （五）设立境外特殊目的公司。 |
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| Article 7 A local enterprise making any of the following overseas investments shall submit the application materials according to Article 12 of these Measures, and obtain the approval of the provincial commerce department according to Article 14 of these Measures: | | 第七条 地方企业开展以下情形的境外投资应当按照本办法第十二条要求提交申请材料，并按第十四条的规定报省级商务主管部门核准： |
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| 1. making overseas investment with the amount of investment of the Chinese party being USD 10 million up to USD 100 million; | | （一）中方投资额1000万美元及以上、1亿美元以下的境外投资； |
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| 2. making overseas investment in the field of energy or minerals; or | | （二）能源、矿产类境外投资； |
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| 3. making overseas investment which needs to attract capital from within China. | | （三）需在国内招商的境外投资。 |
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| Article 8 An enterprise making any overseas investment other than those prescribed in Articles 6 and 7 of these Measures shall submit an Application From for Overseas Investment (hereinafter referred to as the “Application Form”, see Annex 2 for its format), and handle the approval formalities according to Article 16 of these Measures. | | 第八条 企业开展本办法第六条、第七条规定情形以外的境外投资，须提交《境外投资申请表》（以下简称申请表，样式见附件二），并按第十六条规定办理核准。 |
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| Article 9 Where the overseas investment of an enterprise falls under any of the following circumstances, the Ministry of Commerce or the provincial commerce department shall disapprove it: | | 第九条 企业境外投资有以下情形之一的，商务部和省级商务主管部门不予核准： |
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| 1. endangering the state sovereignty, national security and public interests of China or violating a law or regulation of China; | | （一）危害我国国家主权、安全和社会公共利益，或违反我国法律法规； |
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| 2. damaging the relationship between China and a relevant country or region; | | （二）损害我与有关国家（地区）关系； |
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| 3. likely violating any international treaty concluded by China with a foreign party; or | | （三）可能违反我国对外缔结的国际条约； |
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| 4. involving any technology or goods prohibited by China from import. | | （四）涉及我国禁止出口的技术和货物。 |
The economic and technical feasibility of an overseas investment shall be the sole responsibility of the enterprise. | |
境外投资经济技术可行性由企业自行负责。 |
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| Article 10 Before the Ministry of Commerce approves an overseas investment prescribed in Article 6 of these Measures, the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region shall be solicited. If a central enterprise is involved, the Ministry of Commerce shall be responsible for soliciting the opinion; if a local enterprise is involved, the provincial commerce department shall be responsible for soliciting the opinion. | | 第十条 商务部核准第六条规定的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。 |
To approve an overseas investment prescribed in paragraph 2 of Article 7 of these Measures, the provincial commerce department shall solicit the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region; to approve any other overseas investment, the provincial commerce department may, as the case may be, solicit the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region. | |
省级商务主管部门核准第七条第二款规定的境外投资应当征求驻外使（领）馆（经商处室）意见；其他情形的境外投资核准，省级商务主管部门可视情征求驻外使（领）馆（经商处室）意见。 |
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| Article 11 To solicit opinions, the Ministry of Commerce or the provincial commerce department shall provide (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region with the basic information on the investment and other relevant information. | | 第十一条 商务部和省级商务主管部门征求意见时应当向驻外使（领）馆（经商处室）提供投资事项基本情况等相关信息。 |
The (economic and trade counselor's office of the) embassy or consulate of China in the foreign country or region shall put forward its opinion in such respects as the security status of the host country and the impact of the investment on the bilateral political, economic and trade relationships, and make a reply within 10 workdays after receiving the letter of request for opinion. | |
驻外使（领）馆（经商处室）主要从东道国安全状况、对双边政治和经贸关系影响等方面提出意见，并自收到征求意见函之日起10个工作日内予以回复。 |
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| Article 12 An enterprise making any overseas investment prescribed in Article 6 or 7 of these Measures shall submit the following materials: | | 第十二条 企业开展本办法第六条、第七条规定情形的境外投资须提交以下材料： |
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| 1. an application form, which shall mainly cover the name, registered capital, amount of investment, scope of business and duration of business of the overseas enterprise, an explanation of sources of investment capital, the specific contents of the investment, the equity structure, the analysis and assessment of the investment environment, and a statement of lack of any of the circumstances prescribed in Article 9 of these Measures; | | （一）申请书，主要内容包括境外企业的名称、注册资本、投资金额、经营范围、经营期限、投资资金来源情况的说明、投资的具体内容、股权结构、投资环境分析评价以及对不涉及本办法第九条所列情形的说明等； |
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| 2. a photocopy of the business license of the enterprise; | | （二）企业营业执照复印件； |
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| 3. the bylaw of the overseas enterprise and the relevant agreement or contract; | | （三）境外企业章程及相关协议或者合同； |
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| 4. the approval or filing document issued by the relevant state department; | | （四）国家有关部门的核准或备案文件； |
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| 5. a Pre-report on Overseas Merger or Acquisition (see Annex 3 for its format) if it is an overseas investment in the category of merger and acquisition; and | | （五）并购类境外投资须提交《境外并购事项前期报告表》（样式见附件三）； |
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| 6. other documents as specified by the competent department. | | （六）主管部门要求的其他文件。 |
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| Article 13 To make any overseas investment prescribed in Article 6 of these Measures, a central enterprise shall directly apply to the Ministry of Commerce, while a local enterprise shall apply to the Ministry of Commerce through the provincial commerce department at the place where the enterprise is located. | | 第十三条 企业开展第六条规定的境外投资，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。 |
The provincial commerce department shall, within 10 workdays after receiving the application (excluding the time needed for soliciting the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region), make a preliminary examination of the authenticity of the application materials submitted by the enterprise and whether the application falls under any of the circumstances prescribed in Article 9 of these Measures, and after approving the application, submit its preliminary examination opinion and all application materials to the Ministry of Commerce. | |
收到申请后，省级商务主管部门应当于10个工作日内（不含征求驻外使（领）馆（经商处室）的时间）对企业申报材料真实性及是否涉及本办法第九条所列情形进行初审，同意后将初审意见和全部申请材料报送商务部。 |
The Ministry of Commerce shall, within five workdays after receiving the application submitted by a provincial commerce department or a central enterprise, decide whether to accept it or not. If the application materials are incomplete or not prepared in the statutory form, the Ministry of Commerce shall notify the applicant within five workdays of all necessary supplements and corrections at one time. If it decides to accept the application, it shall make a decision on approval or disapproval within 15 workdays after acceptance (excluding the time needed for soliciting the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region).
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商务部收到省级商务主管部门或中央企业的申请后，于5个工作日内决定是否受理。申请材料不齐全或者不符合法定形式的，应当在5个工作日内一次告之申请人；受理后，应当于15个工作日内（不含征求驻外使（领）馆（经商处室）的时间）做出是否予以核准的决定。
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