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Measures for Overseas Investment Management [Expired]
境外投資管理辦法 [失效]
【法寶引證碼】
 
  

 

Order of the Ministry of Commerce of the People's Republic of China
(No.5 [2009])
The Measures for Overseas Investment Management, as deliberated and adopted at the 19th executive meeting of the Ministry of Commerce on March 4, 2009, are hereby issued and shall come into force on May 1, 2009.
Minister: Chen Deming
March 16, 2009
Measures for Overseas Investment Management
(Order No.5 [2009] of the Ministry of Commerce, March 16, 2009)
 

中華人民共和國商務部令
(2009年第5號)


《境外投資管理辦法》已經2009年3月4日商務部第19次部務會議審議通過,現予公布,自2009年5月1日起施行。
部長 陳德銘
二00九年三月十六日
境外投資管理辦法

Chapter I General Provisions
 

第一章 總則

Article 1 To promote and regulate overseas investment, these Measures are formulated according to the Decision of the State Council on Setting Administrative Licensing for Necessarily Retained Matters Subject to Administrative Examination and Approval.
   第一條 為促進和規範境外投資,根據《國務院對確需保留的行政審批項目設定行政許可的決定》,制定本辦法。
Article 2 The term “overseas investment” as mentioned in these Measures means that an enterprise legally established in China (hereinafter referred to as the “enterprise”) sets up a new non-financial enterprise overseas or acquires the right to own, control or manage an existing non-financial enterprise overseas in the way of merger or acquisition.
   第二條 本辦法所稱境外投資,是指在我國依法設立的企業(以下簡稱企業)通過新設、並購等方式在境外設立非金融企業或取得既有非金融企業的所有權、控制權、經營管理權等權益的行為。
Article 3 Enterprises making overseas investment shall earnestly learn and abide by the relevant domestic and foreign laws, regulations, rules and policies, and follow the principle of “mutual benefit and win-win”.
   第三條 企業開展境外投資應當認真了解並遵守境內外相關法律法規、規章和政策,遵循"互利共贏"原則。
Article 4 The Ministry of Commerce shall be responsible for administering and supervising overseas investment. The competent departments of commerce of the provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning and Xinjiang Production and Construction Corps (hereinafter referred to as the “provincial commerce departments”) shall be responsible for administering and supervising the overseas investment within their respective administrative regions.
   第四條 商務部負責對境外投資實施管理和監督,省、自治區、直轄市、計劃單列市及新疆生產建設兵團商務主管部門(以下簡稱省級商務主管部門)負責對本行政區域內境外投資實施管理和監督。
Chapter II Approval
 

第二章 核准

Article 5 The Ministry of Commerce and the provincial commerce departments shall apply an approval system to enterprises' overseas investment. The Ministry of Commerce shall maintain an “Overseas Investment Management System” (hereinafter referred to as the “system”). An Enterprise Overseas Investment Certificate (hereinafter referred to as the “Certificate”, see Annex 1 for its format) shall be issued to an approved enterprise. The Certificates shall be uniformly printed and coded by the Ministry of Commerce.
   第五條 商務部和省級商務主管部門對企業境外投資實行核准。商務部建立"境外投資管理系統"(以下簡稱"系統")。對予以核准的企業,頒發《企業境外投資證書》(以下簡稱《證書》,樣式見附件一)。《證書》由商務部統一印制,實行統一編碼管理。
Article 6 An enterprise making any of the following overseas investments shall submit the application materials according to Article 12 of these Measures, and obtain the approval of the Ministry of Commerce according to Article 13 of these Measures:
   第六條 企業開展以下情形境外投資應當按本辦法第十二條的規定提交申請材料,並按本辦法第十三條的規定報商務部核准:
1. making overseas investment in a country which has not established a diplomatic relationship with China;
 (一)在與我國未建交國家的境外投資;
2. making overseas investment in a specific country or region (the list of such countries or regions shall be determined by the Ministry of Commerce in conjunction with the Ministry of Foreign Affairs and other relevant departments);
 (二)特定國家或地區的境外投資(具體名單由商務部會同外交部等有關部門確定);
3. making overseas investment with the amount of investment of the Chinese party being USD 100 million or more;
 (三)中方投資額1億美元及以上的境外投資;
4. making overseas investment which involves the interests of multiple countries or regions; or
 (四)涉及多國(地區)利益的境外投資;
5. setting up a special-purpose company overseas.
 (五)設立境外特殊目的公司。
Article 7 A local enterprise making any of the following overseas investments shall submit the application materials according to Article 12 of these Measures, and obtain the approval of the provincial commerce department according to Article 14 of these Measures:
   第七條 地方企業開展以下情形的境外投資應當按照本辦法第十二條要求提交申請材料,並按第十四條的規定報省級商務主管部門核准:
1. making overseas investment with the amount of investment of the Chinese party being USD 10 million up to USD 100 million;
 (一)中方投資額1000萬美元及以上、1億美元以下的境外投資;
2. making overseas investment in the field of energy or minerals; or
 (二)能源、礦產類境外投資;
3. making overseas investment which needs to attract capital from within China.
 (三)需在國內招商的境外投資。
Article 8 An enterprise making any overseas investment other than those prescribed in Articles 6 and 7 of these Measures shall submit an Application From for Overseas Investment (hereinafter referred to as the “Application Form”, see Annex 2 for its format), and handle the approval formalities according to Article 16 of these Measures.
   第八條 企業開展本辦法第六條、第七條規定情形以外的境外投資,須提交《境外投資申請表》(以下簡稱申請表,樣式見附件二),並按第十六條規定辦理核准。
Article 9 Where the overseas investment of an enterprise falls under any of the following circumstances, the Ministry of Commerce or the provincial commerce department shall disapprove it:
   第九條 企業境外投資有以下情形之一的,商務部和省級商務主管部門不予核准:
1. endangering the state sovereignty, national security and public interests of China or violating a law or regulation of China;
 (一)危害我國國家主權、安全和社會公共利益,或違反我國法律法規;
2. damaging the relationship between China and a relevant country or region;
 (二)損害我與有關國家(地區)關系;
3. likely violating any international treaty concluded by China with a foreign party; or
 (三)可能違反我國對外締結的國際條約;
4. involving any technology or goods prohibited by China from import.
The economic and technical feasibility of an overseas investment shall be the sole responsibility of the enterprise.
 (四)涉及我國禁止出口的技術和貨物。
境外投資經濟技術可行性由企業自行負責。
Article 10 Before the Ministry of Commerce approves an overseas investment prescribed in Article 6 of these Measures, the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region shall be solicited. If a central enterprise is involved, the Ministry of Commerce shall be responsible for soliciting the opinion; if a local enterprise is involved, the provincial commerce department shall be responsible for soliciting the opinion.
To approve an overseas investment prescribed in paragraph 2 of Article 7 of these Measures, the provincial commerce department shall solicit the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region; to approve any other overseas investment, the provincial commerce department may, as the case may be, solicit the opinion of (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region.
   第十條 商務部核准第六條規定的境外投資應當征求我駐外使(領)館(經商處室)意見。涉及中央企業的,由商務部征求意見;涉及地方企業的,由省級商務主管部門征求意見。
省級商務主管部門核准第七條第二款規定的境外投資應當征求駐外使(領)館(經商處室)意見;其他情形的境外投資核准,省級商務主管部門可視情征求駐外使(領)館(經商處室)意見。
Article 11 To solicit opinions, the Ministry of Commerce or the provincial commerce department shall provide (the economic and trade counselor's office of) the embassy or consulate of China in the foreign country or region with the basic information on the investment and other relevant information.
The (economic and trade counselor's office of the) embassy or consulate of China in the foreign country or region shall put forward its opinion in such respects as the security status of the host country and the impact of the investment on the bilateral political, economic and trade relationships, and make a reply within 10 workdays after receiving the letter of request for opinion.
   第十一條 商務部和省級商務主管部門征求意見時應當向駐外使(領)館(經商處室)提供投資事項基本情況等相關信息。
駐外使(領)館(經商處室)主要從東道國安全狀況、對雙邊政治和經貿關系影響等方面提出意見,並自收到征求意見函之日起10個工作日內予以回複。
Article 12 An enterprise making any overseas investment prescribed in Article 6 or 7 of these Measures shall submit the following materials:
   第十二條 企業開展本辦法第六條、第七條規定情形的境外投資須提交以下材料:
1. an application form, which shall mainly cover the name, registered capital, amount of investment, scope of business and duration of business of the overseas enterprise, an explanation of sources of investment capital, the specific contents of the investment, the equity structure, the analysis and assessment of the investment environment, and a statement of lack of any of the circumstances prescribed in Article 9 of these Measures;
 (一)申請書,主要內容包括境外企業的名稱、注冊資本、投資金額、經營範圍、經營期限、投資資金來源情況的說明、投資的具體內容、股權結構、投資環境分析評價以及對不涉及本辦法第九條所列情形的說明等;
2. a photocopy of the business license of the enterprise;
 (二)企業營業執照複印件;
3. the bylaw of the overseas enterprise and the relevant agreement or contract;
 (三)境外企業章程及相關協議或者合同;
4. the approval or filing document issued by the relevant state department;
 (四)國家有關部門的核准或備案文件;
5. a Pre-report on Overseas Merger or Acquisition (see Annex 3 for its format) if it is an overseas investment in the category of merger and acquisition; and
 (五)並購類境外投資須提交《境外並購事項前期報告表》(樣式見附件三);
6. other documents as specified by the competent department.
 (六)主管部門要求的其他文件。
Article 13 To make any overseas investment prescribed in Article 6 of these Measures, a central enterprise shall directly apply to the Ministry of Commerce, while a local enterprise shall apply to the Ministry of Commerce through the provincial commerce department at the place where the enterprise is located.
......
   第十三條 企業開展第六條規定的境外投資,中央企業向商務部提出申請,地方企業通過所在地省級商務主管部門向商務部提出申請。
收到申請後,省級商務主管部門應當于10個工作日內(不含征求駐外使(領)館(經商處室)的時間)對企業申報材料真實性及是否涉及本辦法第九條所列情形進行初審,同意後將初審意見和全部申請材料報送商務部。
......



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