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Interim Measures for the Recordation Administration of the Formation and Modification of Foreign-Funded Enterprises(Revised 2017) [Expired]
外商投资企业设立及变更备案管理暂行办法(2017修订) [失效]
【法宝引证码】

 
Interim Measures forthe Recordation Administration of the Formation and Modification of Foreign-Funded Enterprises(Revised) 

外商投资企业设立及变更备案管理暂行办法(修订)

(Order of the Ministry of Commerce No. 2[2017]           July 30, 2017) (商务部令2017年第2号 2017年7月30日)

Chapter I General Provisions
 

第一章 总则

Article 1 For the purposes of further expanding opening up, promoting thereform of the foreign investment management system, and improving the lawful,international, and convenient business environment, these Measures aredeveloped 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 onChinese-Foreign Contractual Joint Ventures, the Law of the People's Republic of China on Wholly Foreign-Owned Enterprises, the Company Law ofthe People's Republic of China , relevant laws and administrativeregulations, 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 offoreign-funded enterprises that do not involve the implementation of specialadministrative 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 beresponsible for coordinating and directing the recordation administration ofthe 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 separatestate planning, the Xinjiang Production and Construction Corps, andsub-provincial cities, and relevant institutions in the pilot free trade zonesand the state-level economic and technological development zones, as therecordation authorities for the formation and modification of foreign-fundedenterprises, shall be responsible for the recordation administration of theformation and modification of foreign-funded enterprises within theirjurisdictions. 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 theintegrated foreign investment management information system (hereinafterreferred 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 accordancewith these Measures, truthfully, accurately and completely provide therecordation information, and fill out the letter of undertaking for recordationapplication, without any false record, misleading statement or materialomission. Foreign-funded enterprises or their investors shall appropriatelykeep the certification materials relevant to the recordation informationsubmitted.   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 torecordation as prescribed in these Measures, after obtainment of pre-approvalof the enterprise name, the representative designated by or the agent jointlyentrusted by all investors (or all promoters in the case of a foreign-fundedjoint stock company, hereinafter referred to as “all promoters”) shall, beforethe issuance of the business license, or the representative designated by orthe agent entrusted by the foreign-funded enterprise shall, within 30 daysafter the issuance of the business license, fill out and submit online theApplication Form for the Recordation of the Formation of Foreign-FundedEnterprises (hereinafter referred to as the “Application Form for Formation”)and relevant documents through the integrated management system, and undergothe 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。
Where a non-foreign-funded enterprise changes into a foreign-funded enterpriseby acquisition, merger, or any other means, falling within the scope ofrecordation as prescribed in these Measures, it shall, in accordance with thepreceding paragraph, undergo the formation recordation formalities, andcomplete and submit the Formation Application Form. 由于并购、吸收合并等方式,非外商投资企业转变为外商投资企业,属于本办法规定的备案范围的,按照本条第一款办理设立备案手续,填报《设立申报表》。
Article 6 Where a foreign-funded enterprise which is subject to recordation asprescribed in these Measures undergoes any of the following modifications , therepresentative designated by or the agent entrusted by the foreign-fundedenterprise shall, within 30 days after the occurrence of the modification, fillout and submit online the Application Form for the Recordation of Modificationof Foreign-Funded Enterprises (hereinafter referred to as the “Application Formfor Modification”) and relevant documents through the integrated managementsystem, 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 withinthe scope of tax reduction or exemption for imported equipment as prescribed bythe state, registered capital, total investment, organizational structure,legal representative, and information, contact person, and contact way of theultimate 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 theforeign-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 ofcapital 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 basic information on transactions for theformation of the foreign-funded enterprise by acquisition or merger. (三)并购设立外商投资企业交易基本信息变更;
(4) Modification of the equity (shares) and cooperation interests. (四)股权(股份)、合作权益变更;
(5) Merger, division and termination. (五)合并、分立、终止;
(6) Mortgage or transfer of the property or rights and interests of the whollyforeign-owned enterprise. (六)外资企业财产权益对外抵押转让;
(7) Advanced recovery of investment by the foreign party to a Chinese-foreigncontractual joint venture. (七)中外合作企业外国合作者先行回收投资;
(8) Entrusted business management of a Chinese-foreign contractual jointventure. (八)中外合作企业委托经营管理。
Where merger, division, capital reduction and other matters shall be announcedin accordance with relevant laws and regulations, the information on undergoingthe formalities of announcement shall be given when undergoing the formalitiesof 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 highestauthority, the time when the highest authority of the foreign-funded enterprisemakes the resolution shall be taken as the time of occurrence of themodification; and where it is otherwise prescribed in the laws and regulationswith respect to the conditions for the entry into force of any modification ofa foreign-funded enterprise, the time when the corresponding requirements aremet 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 EquitiesExchange and Quotations may, when the change of foreign investors' shareholdingratio accumulatively exceeds 5% and the controlling or relatively controllingstatus changes, undergo the formalities for recordation of the modification ofinvestors' 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 Where a foreign investor makes strategic investment in anon-foreign-funded listed company, falling within the scope of recordation asprescribed in these Measures, it shall, before or within 30 days aftersecurities registration with the securities depository and clearinginstitution, undergo the recordation formalities, and complete and submit theFormation Application Form.   第七条 外国投资者战略投资非外商投资的上市公司,属于本办法规定的备案范围的,应于证券登记结算机构证券登记前或登记后30日内办理备案手续,填报《设立申报表》。
Where a foreign-funded listed company introduces any new strategic investmentfrom a foreign investor, falling within the scope of recordation, it shall,before or within 30 days after securities registration with the securitiesdepository and clearing institution, undergo the modification recordationformalities, and complete and submit the Modification Application Form. 外商投资的上市公司引入新的外国投资者战略投资,属于备案范围的,应于证券登记结算机构证券登记前或登记后30日内办理变更备案手续,填报《变更申报表》。
Where, after the completion of recordation, any recorded information onstrategic investment changes, the modification recordation formalities shall beundergone within five days of the information disclosure obligator'sfulfillment of its information disclosure obligation as required by the Securities Law and relevant provisions. 备案完成后,如战略投资备案信息发生变更的,应于《证券法》及相关规定要求的信息披露义务人履行信息披露义务之日起5日内办理变更备案。
Article 8 To undergo the formalities for the recordation of formation ormodification of a foreign-funded enterprise, the foreign-funded enterprise orits investors shall, through the integrated management system, upload andsubmit the following documents:   第八条 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-fundedenterprise 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 theFormation of Foreign-Funded Enterprises signed by all investors (or allpromoters) of the foreign-funded enterprise or their authorized representativeor the Letter of Undertaking for the Application for Recordation of theModification of Foreign-Funded Enterprises signed by the legal representativeof the foreign-funded enterprise or the representative authorized by him orher. (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) orthe foreign-funded enterprise designate representative or jointly entrustagent, including the power of attorney and the identity certificate of theentrusted 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 representativeof the foreign-funded enterprise authorizes any other person to sign relevantdocuments, including the power of attorney and the identity certificate of theauthorized person (not required, if the investor or legal representative of theforeign-funded enterprise does not authorize any other person to sign relevantdocuments). (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 identitycertificates of investors (not required, if the modification does not involvethe 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 legalrepresentative). (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);
(7)The equity structure chart of the final actual controller of theforeign-funded enterprise (not required if the modification does not involvethe modification of the final actual controller of the foreign-fundedenterprise). (七)外商投资企业最终实际控制人股权架构图(变更事项不涉及外商投资企业最终实际控制人变更的,无需提供);
(8)In the case of payment by a foreign investor with equities of anoverseas company, the Certificate of Outbound Investment by an Enterprise heldby the domestic enterprise which obtains the equities of the overseas company. (八)涉及外国投资者以符合规定的境外公司股权作为支付手段的,需提供获得境外公司股权的境内企业《企业境外投资证书》。
Where any of the aforesaid documents is in foreignlanguage, a Chinese translation shall also be uploaded and submitted at thesame time. The foreign-funded enterprise or its investors shall ensure that thecontent of the Chinese translation is consistent with that of the originaldocument 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。
......

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