| Guiding Opinions of the Anti-monopoly Bureau of the Ministry of Commerce on the Declaration of Concentrations Between Undertakings | | 商务部反垄断局关于经营者集中申报的指导意见 |
| (2014) | | （2014年） |
| In accordance with the Anti-monopoly Law of the People's Republic of China (hereinafter referred to as the “Anti-monopoly Law”), the Provisions of the State Council on the Standards for the Declaration of Concentrations Between Undertakings (hereinafter referred to as the “Provisions”), the Measures for the Declaration of Concentrations Between Undertakings (hereinafter referred to as the “Measures”), and other relevant laws and regulations, for any concentration between undertakings which reaches the standards for declaration, the participating undertakings shall make prior declarations to the Ministry of Commerce; otherwise, no concentration is allowed. To facilitate declaration by undertakings, the Anti-monopoly Bureau of the Ministry of Commerce revised the Guiding Opinions on the Declaration of Concentrations Between Undertakings issued by it on January 5, 2009, which, as revised, are hereby issuedfor reference by 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，经营者应当事先向商务部申报，未申报的不得实施集中。为方便经营者申报，商务部反垄断局对其于2009年1月5日公布的《关于经营者集中申报的指导意见》进行了修订，现予以公布，供经营者参考。 |
| Article 1 For purposes of these Guiding Opinions, “concentration between undertakings” means 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) Merger of undertakings. | | （一）经营者合并； |
| (2) An undertaking obtains control of one or more other undertakings by acquisition of 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 obtains control of one or more other undertakings or is able to exercise decisive influence on one or more other undertakings by contracts or any 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 purposes of these Guiding Opinions, “declaration 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 in the last accounting year of all the undertakings participating in a concentration exceeds 10 billion yuan, and in the territory of China, the turnover in the last accounting year of each of at least two of the undertakings exceeds 400 million yuan. | | （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 in the territory of China in the last accounting year of all the undertakings participating in a concentration exceeds 2 billion yuan, and the turnover in the territory of China in the last accounting year of each of at least two of the undertakings exceeds 400 million yuan. | | （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 as mentioned in the concentration 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。 |
| Whether an undertaking has, by any transactions, obtained control of one or more other undertakings or is able to exercise decisive influence on one or more other undertakings (control and decisive influence are hereinafter together referred to as “control”) depends on a large number of considerations of fact and law. Concentration agreementsand bylaws of other undertakings are an important basis for making a judgment, but are not the only basis. Where the obtainment of control cannot be judged from the concentration agreement and bylaws but forthe dispersion of other equities or any other reason, an undertaking has been actually conferred with a de facto control, it shall be also deemed to have obtained control as mentioned in the concentration between undertakings. To judge whether an undertaking has obtained control of one or more other undertakings by any transactions, the following (without limitation) shall be generally 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 the transactions 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 the transactions 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 for voting in the shareholders' meetings of other undertakings and the voting mechanisms thereof and 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 or 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 dismissal of senior executives of other undertakings, among others. | | （五）其他经营者高级管理人员的任免等； |
| (6) The relations between shareholders and directors of other undertakings and whether there is proxy in 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。 |
| The control may be obtained by an undertaking directly or indirectly through any other undertaking controlled by it. | | 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 For the creation of a joint venture, if at least two undertakings jointly control the joint venture, it shall constitute a concentration between undertakings; or if a single undertaking solely controls the joint venture, over which no other undertaking has control, it shall not constitute a concentration between undertakings. | | 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 income obtained by a relevant undertaking from its sale of products and provision of services in the last accounting year after deduction of the 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。 |
| “In the territory of China” as mentioned inArticle 2of these Guiding Opinionsmeans that the place where the buyer of the products or services provided by an undertaking is located is in the territory of China. The definition includes the products or services exported by an undertaking to China from a foreign country or region, and excludes those exported from China to a foreign country or region. | | 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 in the territory of 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 the turnover in the financial industry shall be governed by the Measures for the Calculation of the Turnover in the Financial Industry for the Declaration of Concentrations Between Undertakings. | | 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 a single undertaking participating in a concentration shall be the aggregate turnover of the following undertakings: | | 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 single undertaking. | | （一）该单个经营者； |
| (2) The other undertaking or undertakings directly or indirectly controlled by the undertaking 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) The other undertaking that directly or indirectly controls the undertaking 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) The other undertaking or undertakings directly or indirectly controlled by the 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) The other undertaking or undertakings jointly controlled by two or more of the 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 a single undertaking that participates in a concentration shall include neither the turnover that occurred among the undertakings in the aforesaid subparagraphs (1) to (5) nor the turnover of the undertakings that were sold or no longer controlled by it in the last accounting year or earlier.
．．．．．． | | 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。
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