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| Order of the Ministry of Commerce | | 商务部令 |
(No. 8 [2012]) | |
（2012年第8号） |
The Interim Provisions of the Ministry of Commerce on Equity Contributions Involving Foreign-funded Enterprises, as deliberated and adopted at the 68th executive meeting of the Ministry of Commerce on August 24, 2012, are hereby issued and shall come into force on October 22, 2012. | |
《商务部关于涉及外商投资企业股权出资的暂行规定》已经2012年8月24日商务部第68次部务会议审议通过，现予公布，自2012年10月22日起施行。 |
Chen Deming, Minister | |
部 长：陈德铭 |
September 21, 2012 | |
2012年9月21日 |
Interim Provisions of the Ministry of Commerce on Equity Contributions Involving Foreign-funded Enterprises | |
商务部关于涉及外商投资企业股权出资的暂行规定 |
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| Article 1 To regulate equity contributions involving foreign-funded enterprises, improve the level of investment facilitation and promote foreign investment in China, these Provisions are formulated in accordance with the foreign investment laws, Company Law and relevant administrative regulations of the People's Republic of China. | | 第一条 为规范涉及外商投资企业的股权出资行为，提高投资便利化水平，促进外国投资者来华投资，根据中华人民共和国外商投资法律、《公司法》以及相关行政法规的规定，制定本规定。 |
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| Article 2 These Provisions shall apply to the formation and modification of a foreign-funded enterprise (hereinafter referred to as the “investee enterprise”) by domestic and foreign investors (hereinafter referred to as the “equity contributors”) with equities held by them in enterprises within the territory of China (hereinafter referred to as the “equity enterprises”) as capital contributions, including: | | 第二条 境内外投资者（以下统称股权出资人）以其持有的中国境内企业（以下统称股权企业）的股权作为出资，设立及变更外商投资企业（以下统称被投资企业）的行为适用本规定，包括： |
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| (1) formation of a new foreign-funded enterprise; | | （一）以新设公司形式设立外商投资企业； |
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| (2) modifying a non-foreign-funded enterprise into a foreign-funded enterprise through capital increase; and | | （二）增资使非外商投资企业变更为外商投资企业； |
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| (3) modifying the equity structure of a foreign-funded enterprise through capital increase. | | （三）增资使外商投资企业股权发生变更。 |
“Enterprise” as mentioned above means a limited liability company or a joint-stock limited company legally formed within the territory of China. | |
以上所称企业是指在中国境内依法设立的有限责任公司或股份有限公司。 |
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| Article 3 For the purposes of these Provisions, “approval authority” means the Ministry of Commerce of the People's Republic of China or a local commerce department. | | 第三条 本规定所称审批机关为中华人民共和国商务部或地方商务主管部门。 |
Except those subject to approval of the Ministry of Commerce in accordance with the relevant administrative provisions on foreign investment approval, the commerce departments of the provinces, autonomous regions, municipalities directly under the Central Government and cities under separate state planning where the investee enterprises are located (hereinafter referred to as the “provincial approval authorities”) shall be responsible for approval of the formation and modification of foreign-funded enterprises by investors with equity contributions. | |
投资者以股权出资设立及变更外商投资企业，除按照有关外商投资审批管理规定由商务部批准的之外，其余由被投资企业所在省、自治区、直辖市和计划单列市的商务主管部门（以下简称省级审批机关）负责批准。 |
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| Article 4 The equity used for capital contribution shall be clear in ownership, complete in rights and transferable according to law. If an equity enterprise is a foreign-funded enterprise, it shall be legally formed with approval and comply with the industry policies for foreign investment. | | 第四条 用作出资的股权应当权属清晰、权能完整，依法可以转让；股权企业为外商投资企业的，该企业应依法批准设立，符合外商投资产业政策。 |
Equity under any of the following circumstances shall not be used for capital contribution: | |
属于以下情形的，股权不得用于出资： |
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| (1) The registered capital of the equity enterprise has not been paid in full. | | （一）股权企业的注册资本未缴足； |
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| (2) The equity has been pledged. | | （二）股权已被设立质权； |
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| (3) The equity has been legally frozen. | | （三）股权已被依法冻结； |
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| (4) The equity is not transferrable as agreed on in the bylaws (contract) of the equity enterprise. | | （四）股权企业章程（合同）约定不得转让的股权； |
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| (5) It is equity of a foreign-funded enterprise which fails to participate in, according to relevant provisions, or fails to pass the joint annual inspection of foreign-funded enterprises in the previous year. | | （五）未按规定参加或未通过上一年度外商投资企业联合年检的外商投资企业的股权； |
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| (6) It is equity of a real estate enterprise, a foreign-funded investment company, or a foreign-funded venture capital (equity) investment enterprise. | | （六）房地产企业、外商投资性公司、外商投资创业（股权）投资企业的股权； |
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| (7) The equity transfer is subject to approval in accordance with laws, administrative regulations or decisions of the State Council and is not approved. | | （七）法律、行政法规或者国务院决定规定股权转让应当报经批准而未经批准； |
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| (8) The equity is otherwise not transferrable as provided for by laws, administrative regulations or decisions of the State Council. | | （八）法律、行政法规或者国务院决定规定不得转让的其他情形。 |
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| Article 5 After equity contribution, the investee enterprise, the equity enterprise, and the enterprises in which they directly or indirectly hold shares shall comply with the Provisions on Guiding the Direction of Foreign Investments, the Catalogue of Industries for Guiding Foreign Investment and other relevant foreign investment provisions; and if the relevant provisions are not complied with, the relevant assets or businesses shall be striped off or an equity transfer shall be conducted before application for equity contribution. Domestic and foreign investors shall not circumvent foreign investment administration through equity contribution. | | 第五条 股权出资后，被投资企业和股权企业及其直接或间接持股企业应符合《指导外商投资方向规定》、《外商投资产业指导目录》以及其他外商投资相关规定；不符合有关规定的，应在申报股权出资之前剥离相关资产、业务或转让股权。境内外投资者不得以股权出资方式规避外商投资管理。 |
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| Article 6 The equity used for capital contribution shall be subject to appraisal by a legally formed domestic appraisal institution. | | 第六条 用作出资的股权应当经依法设立的境内评估机构评估。 |
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| Article 7 An equity contributor may, on the basis of equity appraisal, negotiate with the shareholders or other investors of the investee enterprise regarding the equity price and the amount of equity contribution. | | 第七条 股权出资人与被投资企业的股东或其他投资者可在股权评估的基础上协商确定股权作价金额、股权出资金额。 |
“Equity price” means the trading price of the equity used for capital contribution as jointly determined by all the parties above on the basis of equity appraisal, and “amount of equity contribution” means the part of the equity price included in the registered capital of the investee enterprise, which shall not exceed the appraised value of the equity. | |
股权作价金额是指以上各方在股权评估基础上共同认定的用于出资股权的交易作价，股权出资金额是指股权作价金额中计入被投资企业注册资本的部分，股权出资金额不得高于股权评估值。 |
For subscription to capital increase of an investee enterprise with equity, the equity price shall be included in the amount of merger or acquisition transaction. | |
对于以股权作价认购被投资企业增资的，股权作价金额计入并购交易额。 |
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| Article 8 The total amount of capital contributions made with equity and other non-monetary property by all shareholders of an investee enterprise shall not exceed 70% of the registered capital of the enterprise. | | 第八条 被投资企业全体股东的股权出资金额和以其他非货币财产作价出资金额之和不得高于其注册资本的70%。 |
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Article 9 Where the investee enterprise is a limited liability company, the amount of total investment in the enterprise shall, in accordance with the Interim Provisions of the State Administration for Industry and Commerce on the Ratio of Registered Capital to Total Investment of Chinese-foreign Equity Joint Ventures, be determined on the basis of the registered capital of the enterprise after equity contribution.
．．．．．． | | 第九条 被投资企业为有限责任公司的，其投资总额应根据《国家工商行政管理局关于中外合资经营企业注册资本与投资总额比例的暂行规定》，按照股权出资后被投资企业的注册资本进行确定。
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