| Announcement of the Standing Committee of the Shanghai Municipal People's Congress | | 上海市人民代表大会常务委员会公告 |
| (No. 14) | | （第14号） |
| The Regulation on the China (Shanghai) Pilot Free Trade Zone, as adopted at the 14th Session of the Standing Committee of the Fourteenth Shanghai Municipal People's Congress on July 25, 2014, is hereby issued, with effect from August 1, 2014. | | 《中国（上海）自由贸易试验区条例》已由上海市第十四届人民代表大会常务委员会第十四次会议于2014年7月25日通过，现予公布，自2014年8月1日起施行。 |
| Standing Committee of the Shanghai Municipal People's Congress | | 上海市人民代表大会常务委员会 |
| July 25, 2014 | | 2014年7月25日 |
| Regulation on the China (Shanghai) Pilot Free Trade Zone | | 中国（上海）自由贸易试验区条例 |
| (Adopted at the 14th Session of the Standing Committee of the Fourteenth Shanghai Municipal People's Congress on July 25, 2014) | | （2014年7月25日上海市第十四届人民代表大会常务委员会第十四次会议通过） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of advancing and guaranteeing the building of the China (Shanghai) Pilot Free Trade Zone and maximizing its “test field” role in advancing reform and improving the level of an open economy, this Regulation is developed in accordance with the Decision of the Standing Committee of the National People's Congress on Authorizing the State Council to Temporarily Adjust the Relevant Administrative Approval Items Prescribed in Laws in the China (Shanghai) Pilot Free Trade Zone, the Framework Plan for the China (Shanghai) Pilot Free Trade Zone (hereinafter referred to as the “Framework Plan”) as approved by the State Council, the Decision of the State Council on Temporarily Adjusting the Relevant Administrative Approval Items Prescribed in the Relevant Administrative Regulations and Documents of the State Council or Special Access Management Measures in the China (Shanghai) Pilot Free Trade Zone, and other relevant laws and administrative regulations. | | 第一条 为推进和保障中国（上海）自由贸易试验区建设，充分发挥其推进改革和提高开放型经济水平“试验田”的作用，根据《全国人民代表大会常务委员会关于授权国务院在中国（上海）自由贸易试验区暂时调整有关法律规定的行政审批的决定》、国务院批准的《中国（上海）自由贸易试验区总体方案》（以下简称“《总体方案》”）、《国务院关于在中国（上海）自由贸易试验区内暂时调整有关行政法规和国务院文件规定的行政审批或者准入特别管理措施的决定》和其他有关法律、行政法规，制定本条例。 |
| Article 2 This Regulation shall apply to the China (Shanghai) Pilot Free Trade Zone (“SHFTZ”) established with the approval of the State Council. | | 第二条 本条例适用于经国务院批准设立的中国（上海）自由贸易试验区（以下简称“自贸试验区”）。 |
| Article 3 To advance the building of SHFTZ, focus shall be placed on the strategic requirements of the state and the development of Shanghai as an international financial center, an international trade center, an international shipping center, and an international economic center, the principles of pilot programs, risk control, progressive advancement, and gradual improvement shall be followed, the expansion of opening up shall be combined with system reform, the cultivation of functions shall be combined with policy innovations, the transformation of government functions shall be accelerated, a system of fundamental rules and regulatory modes compatible with the generally accepted international rules for investment and trade shall be formed, an internationalized, market-oriented and regulated business environment shall be cultivated, and a pilot free trade zone meeting international standards and featuring investment and trade facilitation, efficient and convenient regulation, and satisfactory legal environment shall be built. | | 第三条 推进自贸试验区建设应当围绕国家战略要求和上海国际金融中心、国际贸易中心、国际航运中心、国际经济中心建设，按照先行先试、风险可控、分步推进、逐步完善的原则，将扩大开放与体制改革相结合，将培育功能与政策创新相结合，加快转变政府职能，建立与国际投资、贸易通行规则相衔接的基本制度体系和监管模式，培育国际化、市场化、法治化的营商环境，建设具有国际水准的投资贸易便利、监管高效便捷、法治环境规范的自由贸易试验区。 |
| Article 4 To advance the building of SHFTZ in Shanghai, efforts shall be made to focus on the key areas and links of system innovation, make full use of the current legal systems and policy resources, reform the systems or mechanisms that impede system innovation, continuously stimulate the initiatives for system innovation, and create a good atmosphere of independent reform and proactive attitude. | | 第四条 本市推进自贸试验区建设应当聚焦制度创新的重点领域和关键环节，充分运用现行法律制度和政策资源，改革妨碍制度创新的体制、机制，不断激发制度创新的主动性、积极性，营造自主改革、积极进取的良好氛围。 |
| Article 5 Efforts shall be made to fully incentivize market participants and encourage citizens, legal persons and other organizations to conduct reforms and innovations in SHFTZ on matters not prohibited by any law, regulation or rule. | | 第五条 充分激发市场主体活力，法律、法规、规章未禁止的事项，鼓励公民、法人和其他组织在自贸试验区积极开展改革创新活动。 |
| Chapter II Management System | | 第二章 管理体制 |
| Article 6 In accordance with the requirements of deepening the administrative system reform and in adherence to the simplification of administrative procedures and decentralization of powers and the combination of decentralization with appropriate control, such systems as the notification and undertaking system shall be actively promoted, and an administrative system featuring scientific division of authority, efficient and uniform management and open and transparent operation shall be established in SHFTZ. | | 第六条 按照深化行政体制改革的要求，坚持简政放权、放管结合，积极推行告知承诺制等制度，在自贸试验区建立事权划分科学、管理高效统一、运行公开透明的行政管理体制。 |
| Article 7 The Municipal Government shall, under the leadership of the State Council and the guidance and support of the relevant authorities of the state, organize the implementation of the pilot reform according to the objectives, positioning and pilot operation tasks specified in the Framework Plan, and develop rules, policies and measures concerning the building and management of SHFTZ according to the law. | | 第七条 市人民政府在国务院领导和国家有关部门指导、支持下，根据《总体方案》明确的目标定位和先行先试任务，组织实施改革试点工作，依法制定与自贸试验区建设、管理有关的规章和政策措施。 |
| This Municipality shall establish a coordination mechanism for the building of SHFTZ, promote the pilot reform, and arrange for the relevant departments to determine and implement the objectives and measures for each stage of the pilot reform. | | 本市建立自贸试验区建设协调机制，推进改革试点工作，组织有关部门制定、落实阶段性目标和各项措施。 |
| Article 8 The China (Shanghai) Free Trade Zone Management Committee (hereinafter referred to as the “SHFTZ Management Committee”), as an external agency of the Municipal Government to undertake the specific reform tasks of SHFTZ and plan, manage and coordinate administrative affairs related to SHFTZ, shall perform the following functions in accordance with this Regulation: | | 第八条 中国（上海）自由贸易试验区管理委员会（以下简称“管委会”）为市人民政府派出机构，具体落实自贸试验区改革试点任务，统筹管理和协调自贸试验区有关行政事务，依照本条例履行下列职责： |
| (1) Organizing the implementation of the development plans, policies and measures for SHFTZ, and developing the relevant administrative rules. | | （一）负责组织实施自贸试验区发展规划和政策措施，制定有关行政管理制度。 |
| (2) Conducting administrative management of investment, trade, financial services, urban planning and land, construction, traffic, landscaping and city image, environmental protection, human resources, intellectual property, statistics, housing, civil defense, water affairs, and municipal administration, among others, in SHFTZ. | | （二）负责自贸试验区内投资、贸易、金融服务、规划国土、建设、交通、绿化市容、环境保护、人力资源、知识产权、统计、房屋、民防、水务、市政等有关行政管理工作。 |
| (3) Leading the administrative management work in SHFTZ of the industry and commerce, quality supervision, taxation, public security, and other departments and coordinating the administrative management work in SHFTZ of the financial affairs, customs, inspection and quarantine, maritime affairs, border inspection, and other departments. | | （三）领导工商、质监、税务、公安等部门在区内的行政管理工作；协调金融、海关、检验检疫、海事、边检等部门在区内的行政管理工作。 |
| (4) Organizing the implementation of credit management and regulatory information sharing in SHFTZ, and performing functions related to national security review and anti-monopoly review according to the law. | | （四）组织实施自贸试验区信用管理和监管信息共享工作，依法履行国家安全审查、反垄断审查有关职责。 |
| (5) Planning and guiding the industry distribution and the development and construction activities in SHFTZ, and coordinating and promoting the construction of major investment projects in SHFTZ. | | （五）统筹指导区内产业布局和开发建设活动，协调推进重大投资项目建设。 |
| (6) Releasing public information, and providing guidance, advices and services for enterprises and related institutions. | | （六）发布公共信息，为企业和相关机构提供指导、咨询和服务。 |
| (7) Performing other functions vested by the Municipal Government. | | （七）履行市人民政府赋予的其他职责。 |
| The Municipal People's Government shall establish integrated approval and relatively centralized administrative punishment systems or mechanisms in SHFTZ, in which the SHFTZ Management Committee exercises the relevant administrative approval powers and administrative punishment powers in a centralized manner. The specific matters subject to the administrative approval or administrative punishment of the SHFTZ Management Committee shall be determined and published by the Municipal People's Government. | | 市人民政府在自贸试验区建立综合审批、相对集中行政处罚的体制和机制，由管委会集中行使本市有关行政审批权和行政处罚权。管委会实施行政审批和行政处罚的具体事项，由市人民政府确定并公布。 |
| Article 9 The administrative departments of customs, inspection and quarantine, maritime affairs, border inspection, industry and commerce, quality supervision, taxation, and public security, among others, shall establish offices in SHFTZ (hereinafter referred to as “SHFTZ offices”) to perform relevant administrative functions in SHFTZ according to the law. | | 第九条 海关、检验检疫、海事、边检、工商、质监、税务、公安等部门设立自贸试验区工作机构（以下统称“驻区机构”），依法履行有关行政管理职责。 |
| Other relevant departments of the Municipal Government and the Pudong New Area Government (hereinafter referred to as “related authorities”) shall support the work of the SHFTZ Management Committee, and undertake other administrative affairs in SHFTZ according to their respective functions. | | 市人民政府其他有关部门和浦东新区人民政府（以下统称“有关部门”）按照各自职责，支持管委会的各项工作，承担自贸试验区其他行政事务。 |
| Article 10 The SHFTZ Management Committee shall establish a cooperative, coordinated and interacting law enforcement mechanism with SHFTZ offices and related authorities to improve the efficiency and management of law enforcement. | | 第十条 管委会应当与驻区机构、有关部门建立合作协调和联动执法工作机制，提高执法效率和管理水平。 |
| Article 11 The SHFTZ Management Committee and SHFTZ offices shall publish the lists and operation processes of administrative approval powers, administrative punishment powers and relevant administrative powers they exercise according to the law, and update them in a timely manner in the case of any adjustment. | | 第十一条 管委会、驻区机构应当公布依法行使的行政审批权、行政处罚权和相关行政权力的清单及运行流程。发生调整的，应当及时更新。 |
| Chapter III Opening Up to Investment | | 第三章 投资开放 |
| Article 12 SHFTZ shall further open up in the fields of financial services, shipping services, commerce and trade services, professional services, cultural services, social services, and general manufacturing, among others, and suspend, remove or relax special market access management measures such as qualification requirements for investors, shareholding limits, and restrictions on the scope of business. | | 第十二条 自贸试验区在金融服务、航运服务、商贸服务、专业服务、文化服务、社会服务和一般制造业等领域扩大开放，暂停、取消或者放宽投资者资质要求、外资股比限制、经营范围限制等准入特别管理措施。 |
| Article 13 The special access management measures required by the state to be applied for foreign investment in SHFTZ shall be published by the Municipal Government in the form of a negative list, which shall be adjusted in light of the actual development situation. | | 第十三条 自贸试验区内国家规定对外商投资实施的准入特别管理措施，由市人民政府发布负面清单予以列明，并根据发展实际适时调整。 |
| In SHFTZ, the pre-establishment national treatment and a negative list management mode shall apply to foreign investment. In those fields outside the negative list, the recordation system shall be applied to foreign investment projects under the principle of “equal treatment to investors both at home and abroad,” except for domestic investment projects which the State Council reserves the right to confirm, and the formation and modification of foreign-funded enterprises shall be subject to recordation administration. In those fields covered by the negative list, the confirmation system shall be applied to foreign investment projects, except for those which the State Council reserves to be subject to recordation, and the formation and modification of foreign-funded enterprises shall be subject to approval administration. | | 自贸试验区实行外商投资准入前国民待遇加负面清单管理模式。负面清单之外的领域，按照内外资一致的原则，外商投资项目实行备案制，国务院规定对国内投资项目保留核准的除外；外商投资企业设立和变更实行备案管理。负面清单之内的领域，外商投资项目实行核准制，国务院规定对外商投资项目实行备案的除外；外商投资企业设立和变更实行审批管理。 |
| The recordation measures for foreign investment projects and foreign-funded enterprises shall be developed by the Municipal People's Government. | | 外商投资项目和外商投资企业的备案办法，由市人民政府制定。 |
| Article 14 SHFTZ promotes the facilitation of the enterprise registration system, and applies the registered capital subscriptions registration system according to the law. | | 第十四条 自贸试验区推进企业注册登记制度便利化，依法实行注册资本认缴登记制。 |
| The administrative department for industry and commerce shall organize to establish a single-window working mechanism for the access of enterprises regarding the confirmation (recordation) of foreign investment projects, the approval (recordation) of the formation and modification of enterprises, and other administrative affairs, so as to accept application materials and serve relevant documents in a unified way. Investors that form foreign-funded enterprises in SHFTZ may agree on the term of business, unless otherwise specified by any law or administrative regulation. | | 工商行政管理部门组织建立外商投资项目核准（备案）、企业设立和变更审批（备案）等行政事务的企业准入单一窗口工作机制，统一接收申请材料，统一送达有关文书。投资者在自贸试验区设立外商投资企业，可以自主约定经营期限，法律、行政法规另有规定的除外。 |
| Enterprise formed and registered in SHFTZ (hereinafter referred to as “enterprises in SHFTZ”) may make investment or operate business outside of SHFTZ, but shall undergo the relevant procedure, if so required by special-purpose provisions. | | 在自贸试验区内登记设立的企业（以下简称“区内企业”）可以到区外再投资或者开展业务，有专项规定要求办理相关手续的，按照规定办理。 |
| Article 15 An enterprise in SHFTZ may engage in general production and other operations upon obtaining a business license; and, to engage in any production or other operation which requires approval, may apply to the competent authority for approval after obtaining a business license. | | 第十五条 区内企业取得营业执照后，即可从事一般生产经营活动；从事需要审批的生产经营活动的，可以在取得营业执照后，向有关部门申请办理。 |
| Where any law or administrative regulation requires that any production or other operation be subject to prior approval, the approval formalities shall be undergone before the enterprise applies for a business license. | | 从事法律、行政法规或者国务院决定规定需要前置审批的生产经营活动的，应当在申请办理营业执照前，依法办理批准手续。 |
| Article 16 Investors in SHFTZ may make overseas investment in various forms. Ordinary overseas investment projects shall be subject to recordation administration. Overseas establishments shall be primarily governed by the recordation system, under which the SHFTZ Management Committee accepts application materials and serves relevant documents in a unified way. | | 第十六条 自贸试验区内投资者可以开展多种形式的境外投资。境外投资一般项目实行备案管理，境外投资开办企业实行以备案制为主的管理，由管委会统一接收申请材料，并统一送达有关文书。 |
| The recordation measures for overseas investment projects and overseas establishments shall be developed by the Municipal People's Government. | | 境外投资项目和境外投资开办企业的备案办法，由市人民政府制定。 |
| Article 17 In the event of dissolution or being declared bankrupt, an enterprise in SHFTZ shall be subject to liquidation and shall undergo the deregistration procedure according to the law. | | 第十七条 区内企业解散、被宣告破产的，应当依法清算并办理注销登记等手续。 |
| For an enterprise in SHFTZ subject to the registered capital subscriptions registration system, its shareholders shall be liable to the liabilities of the company only with their subscriptions to registered capital or subscriptions to shares. | | 依法实行注册资本认缴制的区内企业，股东以认缴的出资额或者认购的股份为限对企业债务承担责任。 |
| Chapter IV Trade Facilitation | | 第四章 贸易便利 |
| Article 18 The administration between SHFTZ and areas outside of China is “first line” administration, while the administration between SHFTZ and domestic areas outside of SHFTZ is “second line” administration. Regulatory models adapted to the development needs of international trade and other business shall be established in SHFTZ under the principle of “release of the first line, safe and efficient control over the second line, and free movement in SHFTZ.” | | 第十八条 自贸试验区与境外之间的管理为“一线”管理，自贸试验区与境内区外之间的管理为“二线”管理，按照“一线放开、二线安全高效管住、区内流转自由”的原则，在自贸试验区建立与国际贸易等业务发展需求相适应的监管模式。 |
| Article 19 Innovation in the regulatory rules of the customs shall be conducted in SHFTZ in accordance with the requirements for convenient, safe and efficient customs clearance, so as to promote the development of new types of trade. | | 第十九条 按照通关便利、安全高效的要求，在自贸试验区开展海关监管制度创新，促进新型贸易业态发展。 |
| The customs shall establish a categorized supervision system based on the status of goods, apply electronic fence management, and promote the paperless operation of customs clearance and the low-risk and rapid release. | | 海关在自贸试验区建立货物状态分类监管制度，实行电子围网管理，推行通关无纸化、低风险快速放行。 |
| Goods shipped from areas outside of China to SHFTZ may be carried into SHFTZ on the basis of import manifests before the entry declaration formalities are handled step by step. For goods exported through ports, customs declaration formalities shall be handled before they arrive in ports. | | 境外进入区内的货物，可以凭进口舱单先行入区，分步办理进境申报手续。口岸出口货物实行先报关、后进港。 |
| For goods shipped between SHFTZ and domestic areas outside of SHFTZ, regulatory systems such as crosschecking of exit recordation lists, account book management, and electronic information networking shall be adopted. | | 对区内和境内区外之间进出的货物，实行进出境备案清单比对、企业账册管理、电子信息联网等监管制度。 |
| No storage life deadline is set for bonded goods stored in SHFTZ. The movement process of goods in SHFTZ shall be simplified, and delivery of goods in batches and centralized customs declaration shall be permitted. Efforts shall be made to realize convenient and fast movement of goods in SHFTZ between SHFTZ and other areas under special customs supervision. | | 区内保税存储货物不设存储期限。简化区内货物流转流程，允许分送集报、自行运输；实现区内与其他海关特殊监管区域之间货物的高效便捷流转。 |
Article 20 Innovation in inspection and quarantine regulatory systems shall be conducted in SHFTZ under the principle of entry quarantine with proper relaxing of control over import and export inspection and the principle of facilitating entry and exit with strict control of quality and safety risks.
．．．．．． | | 第二十条 按照进境检疫、适当放宽进出口检验，方便进出、严密防范质量安全风险的原则，在自贸试验区开展检验检疫监管制度创新。
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