| Order of the Ministry of Commerce | | 商务部令 |
| (No. 3 [2016]) | | （2016年第3号） |
| The Interim Measures for the Recordation Administration of the Formation and Modification of Foreign-Funded Enterprises, as deliberated and adopted at the 83rd executive meeting of the Ministry of Commerce, are hereby issued, and shall come into force on the date of issuance. | | 《外商投资企业设立及变更备案管理暂行办法》已经商务部第83次部务会议审议通过，现予发布，自公布之日起施行。 |
| Minister: Gao Hucheng | | 部长 高虎城 |
| October 8, 2016 | | 2016年10月8日 |
| Interim Measures for the Recordation Administration of the Formation and Modification of Foreign-Funded Enterprises | | 外商投资企业设立及变更备案管理暂行办法 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of further expanding opening up, promoting the reform of the foreign investment management system, and improving the lawful, international, and convenient business environment, these Measures are developed in accordance with the Law of the People's Republic of China on Chinese-Foreign Equity Joint Ventures, the Law of the People's Republic of China on Chinese-Foreign Contractual Joint Ventures, the Law of the People's Republic of China on Wholly Foreign-Owned Enterprises, the Company Law of the People's Republic of China, relevant laws and administrative regulations, and the decision of the State Council. | | 第一条 为进一步扩大对外开放，推进外商投资管理体制改革，完善法治化、国际化、便利化的营商环境，根据《中华人民共和国中外合资经营企业法》、《中华人民共和国中外合作经营企业法》、《中华人民共和国外资企业法》、《中华人民共和国公司法》及相关法律、行政法规及国务院决定，制定本办法。 |
| Article 2 These Measures shall apply to the formation and modification of foreign-funded enterprises that do not involve the implementation of special administrative measures for access as prescribed by the state. | | 第二条 外商投资企业的设立及变更，不涉及国家规定实施准入特别管理措施的，适用本办法。 |
| Article 3 The competent department of commerce under the State Council shall be responsible for coordinating and directing the recordation administration of the formation and modification of foreign-funded enterprises nationwide. | | 第三条 国务院商务主管部门负责统筹和指导全国范围内外商投资企业设立及变更的备案管理工作。 |
| The competent departments of commerce of all provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning, the Xinjiang Production and Construction Corps, and sub-provincial cities, and relevant institutions in the pilot free trade zones and the state-level economic and technological development zones, as the recordation authorities for the formation and modification of foreign-funded enterprises, shall be responsible for the recordation administration of the formation and modification of foreign-funded enterprises within their jurisdictions. | | 各省、自治区、直辖市、计划单列市、新疆生产建设兵团、副省级城市的商务主管部门，以及自由贸易试验区、国家级经济技术开发区的相关机构是外商投资企业设立及变更的备案机构，负责本区域内外商投资企业设立及变更的备案管理工作。 |
| A recordation authority shall carry out the work of recordation through the integrated foreign investment management information system (hereinafter referred to as the “integrated management system”). | | 备案机构通过外商投资综合管理信息系统（以下简称综合管理系统）开展备案工作。 |
| Article 4 Foreign-funded enterprises or their investors shall, in accordance with these Measures, truthfully, accurately and completely provide the recordation information, and fill out the letter of undertaking for recordation application, without any false record, misleading statement or material omission. Foreign-funded enterprises or their investors shall appropriately keep the certification materials relevant to the recordation information submitted. | | 第四条 外商投资企业或其投资者应当依照本办法真实、准确、完整地提供备案信息，填写备案申报承诺书，不得有虚假记载、误导性陈述或重大遗漏。外商投资企业或其投资者应妥善保存与已提交备案信息相关的证明材料。 |
| Chapter II Recordation Procedures | | 第二章 备案程序 |
| Article 5 For the formation of a foreign-funded enterprise which is subject to recordation as prescribed in these Measures, after obtainment of pre-approval of the enterprise name, the representative designated by or the agent jointly entrusted by all investors (or all promoters in the case of a foreign-funded joint stock company, hereinafter referred to as “all promoters”) shall, before the issuance of the business license, or the representative designated by or the agent entrusted by the foreign-funded enterprise shall, within 30 days after the issuance of the business license, fill out and submit online the Application Form for the Recordation of the Formation of Foreign-Funded Enterprises (hereinafter referred to as the “Application Form for Formation”) and relevant documents through the integrated management system, and undergo the recordation formalities for formation. | | 第五条 设立外商投资企业，属于本办法规定的备案范围的，在取得企业名称预核准后，应由全体投资者（或外商投资股份有限公司的全体发起人，以下简称全体发起人）指定的代表或共同委托的代理人在营业执照签发前，或由外商投资企业指定的代表或委托的代理人在营业执照签发后30日内，通过综合管理系统，在线填报和提交《外商投资企业设立备案申报表》（以下简称《设立申报表》）及相关文件，办理设立备案手续。 |
| Article 6 Where a foreign-funded enterprise which is subject to recordation as prescribed in these Measures undergoes any of the following modifications , the representative designated by or the agent entrusted by the foreign-funded enterprise shall, within 30 days after the occurrence of the modification, fill out and submit online the Application Form for the Recordation of Modification of Foreign-Funded Enterprises (hereinafter referred to as the “Application Form for Modification”) and relevant documents through the integrated management system, and undergo the recordation formalities for modification. | | 第六条 属于本办法规定的备案范围的外商投资企业，发生以下变更事项的，应由外商投资企业指定的代表或委托的代理人在变更事项发生后30日内通过综合管理系统在线填报和提交《外商投资企业变更备案申报表》（以下简称《变更申报表》）及相关文件，办理变更备案手续： |
| (1) Modification of the basic information of the foreign-funded enterprise, including the name, registered address, type of enterprise, business period, investment industry, business type, scope of business, whether it falls within the scope of tax reduction or exemption for imported equipment as prescribed by the state, registered capital, total investment, organizational structure, legal representative, and information, contact person, and contact way of the ultimate actual controller of the foreign-funded enterprise. | | （一）外商投资企业基本信息变更，包括名称、注册地址、企业类型、经营期限、投资行业、业务类型、经营范围、是否属于国家规定的进口设备减免税范围、注册资本、投资总额、组织机构构成、法定代表人、外商投资企业最终实际控制人信息、联系人及联系方式变更； |
| (2) Modification of the basic information of any investors of the foreign-funded enterprise, including name, nationality / region or address (place of registration or registered address), type and number of certificate, amount of capital contribution subscribed, way of investment, duration of capital contribution, source of capital, and investor type. | | （二）外商投资企业投资者基本信息变更，包括姓名（名称）、国籍/地区或地址（注册地或注册地址）、证照类型及号码、认缴出资额、出资方式、出资期限、资金来源地、投资者类型变更； |
| (3) Modification of the equity (shares) and cooperation interests. | | （三）股权（股份）、合作权益变更； |
| (4) Merger, division and termination. | | （四）合并、分立、终止； |
| (5) Mortgage or transfer of the property or rights and interests of the wholly foreign-owned enterprise. | | （五）外资企业财产权益对外抵押转让； |
| (6) Advanced recovery of investment by the foreign party to a Chinese-foreign contractual joint venture. | | （六）中外合作企业外国合作者先行回收投资； |
| (7) Entrusted business management of a Chinese-foreign contractual joint venture. | | （七）中外合作企业委托经营管理。 |
| Where merger, division, capital reduction and other matters shall be announced in accordance with relevant laws and regulations, the information on undergoing the formalities of announcement shall be given when undergoing the formalities of modification recordation. | | 其中，合并、分立、减资等事项依照相关法律法规规定应当公告的，应当在办理变更备案时说明依法办理公告手续情况。 |
| Where any of the aforesaid modifications involves a resolution of the highest authority, the time when the highest authority of the foreign-funded enterprise makes the resolution shall be taken as the time of occurrence of the modification; and where it is otherwise prescribed in the laws and regulations with respect to the conditions for the entry into force of any modification of a foreign-funded enterprise, the time when the corresponding requirements are met shall be the time of occurrence of the modification. | | 前述变更事项涉及最高权力机构作出决议的，以外商投资企业最高权力机构作出决议的时间为变更事项的发生时间；法律法规对外商投资企业变更事项的生效条件另有要求的，以满足相应要求的时间为变更事项的发生时间。 |
| A listed foreign-funded company and a company quoted in the National Equities Exchange and Quotations may, when the change of foreign investors' shareholding ratio accumulatively exceeds 5% and the controlling or relatively controlling status changes, undergo the formalities for recordation of the modification of investors' basic information or share change. | | 外商投资的上市公司及在全国中小企业股份转让系统挂牌的公司，可仅在外国投资者持股比例变化累计超过5%以及控股或相对控股地位发生变化时，就投资者基本信息或股份变更事项办理备案手续。 |
| Article 7 To undergo the formalities for the recordation of formation or modification of a foreign-funded enterprise, the foreign-funded enterprise or its investors shall, through the integrated management system, upload and submit the following documents: | | 第七条 外商投资企业或其投资者办理外商投资企业设立或变更备案手续，需通过综合管理系统上传提交以下文件： |
| (1) The materials on the pre-approval of the name of the foreign-funded enterprise or the business license of the foreign-funded enterprise. | | （一）外商投资企业名称预先核准材料或外商投资企业营业执照； |
| (2) The Letter of Undertaking for the Application for Recordation of the Formation of Foreign-Funded Enterprises signed by all investors (or all promoters) of the foreign-funded enterprise or their authorized representative or the Letter of Undertaking for the Application for Recordation of the Modification of Foreign-Funded Enterprises signed by the legal representative of the foreign-funded enterprise or the representative authorized by him or her. | | （二）外商投资企业全体投资者（或全体发起人）或其授权代表签署的《外商投资企业设立备案申报承诺书》，或外商投资企业法定代表人或其授权代表签署的《外商投资企业变更备案申报承诺书》； |
| (3) The certifications on the issue that all investors (or all promoters) or the foreign-funded enterprise designate representative or jointly entrust agent, including the power of attorney and the identity certificate of the entrusted person. | | （三）全体投资者（或全体发起人）或外商投资企业指定代表或者共同委托代理人的证明，包括授权委托书及被委托人的身份证明； |
| (4) The certifications on the issue that the investor or legal representative of the foreign-funded enterprise authorizes any other person to sign relevant documents, including the power of attorney and the identity certificate of the authorized person (not required, if the investor or legal representative of the foreign-funded enterprise does not authorize any other person to sign relevant documents). | | （四）外商投资企业投资者或法定代表人委托他人签署相关文件的证明，包括授权委托书及被委托人的身份证明（未委托他人签署相关文件的，无需提供）； |
| (5) The certifications on eligibility status or natural person identity certificates of investors (not required, if the modification does not involve the modification of investors' basic information). | | （五）投资者主体资格证明或自然人身份证明（变更事项不涉及投资者基本信息变更的，无需提供）； |
| (6) The natural person identity certificate of the legal representative (not required, if the modification does not involve the modification of the legal representative). | | （六）法定代表人自然人身份证明（变更事项不涉及法定代表人变更的，无需提供）。 |
| Where any of the aforesaid documents is in foreign language, a Chinese translation shall also be uploaded and submitted at the same time. The foreign-funded enterprise or its investors shall ensure that the content of the Chinese translation is consistent with that of the original document in foreign language. | | 前述文件原件为外文的，应同时上传提交中文翻译件，外商投资企业或其投资者应确保中文翻译件内容与外文原件内容保持一致。 |
| Article 8 Where the investors of a foreign-funded enterprise have submitted the recordation information prior to the issuance of the business license and the actual situation of the investment undergoes any change, they shall, within 30 days after the issuance of the business license, undergo the formalities for modification recordation with the recordation authority with respect to the change. | | 第八条 外商投资企业的投资者在营业执照签发前已提交备案信息的，如投资的实际情况发生变化，应在营业执照签发后30日内向备案机构就变化情况履行变更备案手续。 |
| Article 9 Where a foreign-funded enterprise formed upon approval undergoes any modification and the foreign-funded enterprise after modification does not involve the implementation of special administrative measures for access as prescribed by the state, recordation formalities shall be undergone; and where recordation is completed, its Approval Certificate for a Foreign-Funded Enterprise shall concurrently become invalid. | | 第九条 经审批设立的外商投资企业发生变更，且变更后的外商投资企业不涉及国家规定实施准入特别管理措施的，应办理备案手续；完成备案的，其《外商投资企业批准证书》同时失效。 |
| Article 10 Where any modification of a foreign-funded enterprise subject to recordation administration involves the implementation of special administrative measures for access as prescribed by the state, the approval formalities shall be undergone under relevant laws and regulations on foreign investment. | | 第十条 备案管理的外商投资企业发生的变更事项涉及国家规定实施准入特别管理措施的，应按照外商投资相关法律法规办理审批手续。 |
| Article 11 After a foreign-funded enterprise or its investors submit the Application Form for Formation or the Application Form for Modification and relevant documents online, the recordation authority shall check the completeness and accuracy of the form of the information submitted, and whether the matter under application falls within the scope of recordation. Where the matter falls within the scope of recordation as prescribed by these Measures, the recordation authority shall, within three working days, complete the recordation. Where the matter falls outside the scope of recordation, the recordation authority shall, within three working days, notify the foreign-funded enterprise or its investors online to undergo relevant formalities in accordance with relevant provisions and notify relevant departments to handle the matter according to the law. | | 第十一条 外商投资企业或其投资者在线提交《设立申报表》或《变更申报表》及相关文件后，备案机构对填报信息形式上的完整性和准确性进行核对，并对申报事项是否属于备案范围进行甄别。属于本办法规定的备案范围的，备案机构应在3个工作日内完成备案。不属于备案范围的，备案机构应在3个工作日内在线通知外商投资企业或其投资者按有关规定办理，并通知相关部门依法处理。 |
| Where the recordation authority finds that the information submitted by the foreign-funded enterprise or its investors is incomplete or inaccurate in form or the foreign-funded enterprise's business scope needs to be further explained, the recordation authority shall, within 15 working days, notify the foreign-funded enterprise online at one time to submit relevant supplementary information online. The time for submitting supplementary information shall not be included in the time limit for recordation. Where the foreign-funded enterprise or its investors fail to supplement relevant information within 15 working days, the recordation authority will notify the foreign-funded enterprise or its investors online of failure to complete recordation. The foreign-funded enterprise or its investors may file another application for recordation for the same formation or modification matter, and where the formation or modification matter has been carried out, an application shall be separately filed within five working days. | | 备案机构发现外商投资企业或其投资者填报的信息形式上不完整、不准确，或需要其对经营范围作出进一步说明的，应一次性在线告知其在15个工作日内在线补充提交相关信息。提交补充信息的时间不计入备案机构的备案时限。如外商投资企业或其投资者未能在15个工作日内补齐相关信息，备案机构将在线告知外商投资企业或其投资者未完成备案。外商投资企业或其投资者可就同一设立或变更事项另行提出备案申请，已实施该设立或变更事项的，应于5个工作日内另行提出。 |
| A recordation authority shall issue the recordation results through the integrated management system and a foreign-funded enterprise or its investors may inquire about the recordation results in the integrated management system. | | 备案机构应通过综合管理系统发布备案结果，外商投资企业或其投资者可在综合管理系统中查询备案结果信息。 |
Article 12 After the completion of recordation, a foreign-funded enterprise or its investors may, upon strength of the materials (photocopy) on pre-approval of the name of the foreign-funded enterprise or its business license (photocopy), obtain a Recordation Receipt for the Formation of a Foreign-Funded Enterprise or a Recordation Receipt for the Modification of a Foreign-Funded Enterprise (hereinafter referred to as the “Recordation Receipt”) from the recordation authority.
．．．．．． | | 第十二条 备案完成后，外商投资企业或其投资者可凭外商投资企业名称预核准材料（复印件）或外商投资企业营业执照（复印件）向备案机构领取《外商投资企业设立备案回执》或《外商投资企业变更备案回执》（以下简称《备案回执》）。
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