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Measures for the Administration of Overseas Investment of Enterprises [Effective]
企业境外投资管理办法 [现行有效]
【法宝引证码】
 
  
  
Order of the National Development and Reform Commission 

国家发展和改革委员会令

(No. 11) (第11号)

The Measures for the Administration of Overseas Investment of Enterprises, as deliberated and adopted at the Director's Executive Meeting of the National Development and Reform Commission, are hereby issued, and shall come into force on March 1, 2018. 《企业境外投资管理办法》已经国家发展和改革委员会主任办公会议审议通过,现予公布,自2018年3月1日起施行。
Director: He Lifeng 主任:何立峰
December 26, 2017 2017年12月26日
Measures for the Administration of Overseas Investment of Enterprises 企业境外投资管理办法
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of enhancing the general guidance of overseas investment, optimizing the comprehensive services for overseas investment, improving the regulation of the whole process of overseas investment, promoting the sustained and sound development of overseas investment, and maintaining the national interests and national security of China, these Measures are developed in accordance with the Administrative Licensing Law of the People's Republic of China, the Decision of the State Council on Reforming the Investment System, the Decision of the State Council on Establishing Administrative Licensing for Administrative Approval Items Required to Be Retained, and other laws and regulations.   第一条 为加强境外投资宏观指导,优化境外投资综合服务,完善境外投资全程监管,促进境外投资持续健康发展,维护我国国家利益和国家安全,根据《中华人民共和国行政许可法》《国务院关于投资体制改革的决定》《国务院对确需保留的行政审批项目设定行政许可的决定》等法律法规,制定本办法。
Article 2 For the purposes of these Measures, "overseas investment" means the investment activities where an enterprise in the territory of the People's Republic of China (hereinafter referred to as the "investor"), directly or through an overseas enterprise controlled by it, acquires overseas any ownership, right of control, right of business management, or other relevant rights and interests, by contributing assets or rights and interests, providing financing or security, or any other means.   第二条 本办法所称境外投资,是指中华人民共和国境内企业(以下称“投资主体”)直接或通过其控制的境外企业,以投入资产、权益或提供融资、担保等方式,获得境外所有权、控制权、经营管理权及其他相关权益的投资活动。
As mentioned in the preceding paragraph, “investment activities” mainly includes without limitation the following circumstances: 前款所称投资活动,主要包括但不限于下列情形:
(1) Acquiring the ownership of, the right to use, and other rights and interests in land overseas. (一) 获得境外土地所有权、使用权等权益;
(2) Acquiring a concession to prospect or exploit and other rights and interests in overseas natural resources. (二) 获得境外自然资源勘探、开发特许权等权益;
(3) Acquiring the ownership of, the right of business management of, and other rights and interests in overseas infrastructure. (三) 获得境外基础设施所有权、经营管理权等权益;
(4) Acquiring the ownership of, the right of business management of, and other rights and interests in any overseas enterprise or asset. (四) 获得境外企业或资产所有权、经营管理权等权益;
(5) New construction, reconstruction, or expansion of overseas fixed assets. (五) 新建或改扩建境外固定资产;
(6) Forming a new overseas enterprise or increasing investment in an existing overseas enterprise. (六) 新建境外企业或向既有境外企业增加投资;
(7) Forming a new or acquiring a non-controlling stake in an overseas equity investment fund. (七) 新设或参股境外股权投资基金;
(8) Controlling an overseas enterprise or asset by an agreement, a trust, or any other means. (八) 通过协议、信托等方式控制境外企业或资产。
For the purposes of these Measures, "enterprise" means a non-financial or financial enterprise of any type. 本办法所称企业,包括各种类型的非金融企业和金融企业。
For the purposes of these Measures, "control" means the direct or indirect holding of more than half of the voting rights of an enterprise or the capability of dominating the operation, finance, personnel, technology, and other major matters of the enterprise though not holding more than half of the voting rights. 本办法所称控制,是指直接或间接拥有企业半数以上表决权,或虽不拥有半数以上表决权,但能够支配企业的经营、财务、人事、技术等重要事项。
Article 3 An investor shall have autonomy in making overseas investment according to the law, and independently make decisions and assume risks.   第三条 投资主体依法享有境外投资自主权,自主决策、自担风险。
Article 4 An investor shall, in overseas investment, undergo the formalities for the confirmation or recordation, among others, of an overseas investment project (hereinafter referred to as the "project"), report the relevant information, and cooperate in supervisory inspection.   第四条 投资主体开展境外投资,应当履行境外投资项目(以下称“项目”)核准、备案等手续,报告有关信息,配合监督检查。
Article 5 An investor shall, in overseas investment, neither violate the laws and regulations of China nor threaten or damage the national interests and national security of China.   第五条 投资主体开展境外投资,不得违反我国法律法规,不得威胁或损害我国国家利益和国家安全。
Article 6 The National Development and Reform Commission (hereinafter referred to as the "NDRC") shall, within the extent of its duties as specified by the State Council, fulfill its duties as the overseas investment administrative department, and as needed for maintaining the national interests and national security of China, conduct general guidance of, provide comprehensive services for, and regulate the whole process of overseas investment.   第六条 国家发展和改革委员会(以下称“国家发展改革委”)在国务院规定的职责范围内,履行境外投资主管部门职责,根据维护我国国家利益和国家安全的需要,对境外投资进行宏观指导、综合服务和全程监管。
Article 7 The NDRC shall establish an overseas investment management and service network system (hereinafter referred to as the "network system"). An investor may undergo the confirmation and recordation formalities and report the relevant information through the network system; and in a matter involving any national secret or unsuitable for the use of the network system, an investor may separately submit hard-copy materials. The NDRC shall issue a guide to the operations on the network system.   第七条 国家发展改革委建立境外投资管理和服务网络系统(以下称“网络系统”)。投资主体可以通过网络系统履行核准和备案手续、报告有关信息;涉及国家秘密或不适宜使用网络系统的事项,投资主体可以另行使用纸质材料提交。网络系统操作指南由国家发展改革委发布。
Chapter II Overseas Investment Guidance and Services 

第二章 境外投资指导和服务

Article 8 An investor may consult the NDRC on overseas investment policies and for relevant information, and report concerns and problems and submit opinions and recommendations on overseas investment to the NDRC.   第八条 投资主体可以就境外投资向国家发展改革委咨询政策和信息、反映情况和问题、提出意见和建议。
Article 9 Within the extent of its duties as specified by the State Council, the NDRC shall, in conjunction with the relevant departments, develop and improve special plans and industry policies in the relevant fields as needed for the national economic and social development to provide general guidance for investors to make overseas investment.   第九条 国家发展改革委在国务院规定的职责范围内,会同有关部门根据国民经济和社会发展需要制定完善相关领域专项规划及产业政策,为投资主体开展境外投资提供宏观指导。
Article 10 Within the extent of its duties as specified by the State Council, the NDRC shall, in conjunction with the relevant departments, enhance the analysis of international investment situations, and release information on overseas investment, such as data and status, to provide investors with information services.   第十条 国家发展改革委在国务院规定的职责范围内,会同有关部门加强国际投资形势分析,发布境外投资有关数据、情况等信息,为投资主体提供信息服务。
Article 11 Within the extent of its duties as specified by the State Council, the NDRC shall, in conjunction with the relevant departments, participate in the development of international investment rules, establish and improve investment cooperation mechanisms, strengthen policy exchange and coordination, and promote the creation of a fair business environment in the relevant countries and regions for Chinese enterprises to make investment.   第十一条 国家发展改革委在国务院规定的职责范围内,会同有关部门参与国际投资规则制定,建立健全投资合作机制,加强政策交流和协调,推动有关国家和地区为我国企业开展投资提供公平环境。
Article 12 The NDRC shall, within the extent of its duties as specified by the State Council, promote the building of the system and capability of protecting the safety of overseas interests, guide investors in preventing and responding to major risks, and maintain the lawful rights and interests of Chinese enterprises.   第十二条 国家发展改革委在国务院规定的职责范围内,推动海外利益安全保护体系和能力建设,指导投资主体防范和应对重大风险,维护我国企业合法权益。
Chapter III Confirmation and Recordation of Overseas Investment Projects 

第三章 境外投资项目核准和备案

Section 1 Scope of Confirmation or Recordation 

第一节 核准、备案的范围

Article 13 Sensitive projects conducted by investors directly or through overseas enterprises controlled by them shall be subject to confirmation management. The confirmation authority is the NDRC.   第十三条 实行核准管理的范围是投资主体直接或通过其控制的境外企业开展的敏感类项目。核准机关是国家发展改革委。
For the purposes of these Measures, "sensitive project" means: 本办法所称敏感类项目包括:
(1) a project involving a sensitive country or region; or (一) 涉及敏感国家和地区的项目;
(2) a project involving a sensitive industry. (二) 涉及敏感行业的项目。
For the purposes of these Measures, "sensitive country or region" means: 本办法所称敏感国家和地区包括:
(1) a country or region without diplomatic relations with China; (一) 与我国未建交的国家和地区;
(2) a country or region in war or civil disturbance; (二) 发生战争、内乱的国家和地区;
(3) a country or region in which enterprises are restricted from investment under any international treaty or agreement, among others, concluded or acceded to by China; or (三) 根据我国缔结或参加的国际条约、协定等,需要限制企业对其投资的国家和地区;
(4) any other sensitive country or region. (四) 其他敏感国家和地区。
For the purposes of these Measures, "sensitive industry" means: 本办法所称敏感行业包括:
(1) research, production or maintenance of arms; (一) 武器装备的研制生产维修;
(2) exploitation or utilization of cross-border water resources; (二) 跨境水资源开发利用;
(3) news media; or (三) 新闻传媒;
(4) any other industry in which enterprises are restricted from investment according to China's laws, regulations and relevant macro-economic control policy. (四) 根据我国法律法规和有关调控政策,需要限制企业境外投资的行业。
The NDRC shall publish a catalog of sensitive industries. 敏感行业目录由国家发展改革委发布。
Article 14 Non-sensitive projects directly conducted by investors, namely, non-sensitive projects involving investors' direct contribution of assets or rights and interests or provision of financing or security, shall be subject to recordation management.   第十四条 实行备案管理的范围是投资主体直接开展的非敏感类项目,也即涉及投资主体直接投入资产、权益或提供融资、担保的非敏感类项目。
Among the projects subject to recordation management, if the investor is an enterprise managed by the Central Government (including financial enterprises managed by the Central Government and enterprises directly managed by the State Council or the agencies of the State Council), the recordation authority is the NDRC; if the investor is a local enterprise, and the amount of Chinese investment is not less than USD 300 million, the recordation authority is the NDRC; and if the investor is a local enterprise, and the amount of Chinese investment is less than USD 300 million, the recordation authority is the development and reform department of the provincial government at the place of registration of the investor. 实行备案管理的项目中,投资主体是中央管理企业(含中央管理金融企业、国务院或国务院所属机构直接管理的企业,下同)的,备案机关是国家发展改革委;投资主体是地方企业,且中方投资额3亿美元及以上的,备案机关是国家发展改革委;投资主体是地方企业,且中方投资额3亿美元以下的,备案机关是投资主体注册地的省级政府发展改革部门。
For the purposes of these Measures, "non-sensitive project" means a project neither involving any sensitive country or region nor involving any sensitive industry. 本办法所称非敏感类项目,是指不涉及敏感国家和地区且不涉及敏感行业的项目。
For the purposes of these Measures, "amount of Chinese investment" means the aggregate of currency, securities, physical property, technology, intellectual property rights, equities, creditor's rights, and other assets, rights, and interests invested in and financing and security provided for a project by an investor or investors directly and through overseas enterprises controlled by it or them. 本办法所称中方投资额,是指投资主体直接以及通过其控制的境外企业为项目投入的货币、证券、实物、技术、知识产权、股权、债权等资产、权益以及提供融资、担保的总额。
For the purposes of these Measures, "development and reform department of the provincial government" means the development and reform department of the people's government of a province, an autonomous region, a municipality directly under the Central Government, or a city under separate state planning or the development and reform department of the Xinjiang Production and Construction Corps. 本办法所称省级政府发展改革部门,包括各省、自治区、直辖市及计划单列市人民政府发展改革部门和新疆生产建设兵团发展改革部门。
Article 15 An investor may consult the confirmation or recordation authority on whether a project to be conducted is subject to confirmation or recordation, and the latter shall inform the investor in a timely manner.   第十五条 投资主体可以向核准、备案机关咨询拟开展的项目是否属于核准、备案范围,核准、备案机关应当及时予以告知。
Article 16 Where a project is jointly conducted by two or more investors, the investor with larger or largest investment shall file a confirmation or recordation application after obtaining the written consent of the other investor or investors. If each investor makes the same amount of investment, one of the investors shall file a confirmation or recordation application after they reach an agreement through consultation.   第十六条 两个以上投资主体共同开展的项目,应当由投资额较大一方在征求其他投资方书面同意后提出核准、备案申请。如各方投资额相等,应当协商一致后由其中一方提出核准、备案申请。
Article 17 Where the front-end costs (including without limitation a performance bond, charges for a letter of guarantee, intermediary service fees, and resource prospecting fees) are relatively large, an investor may file a confirmation or recordation application regarding the front-end costs in accordance with Article 13 and Article 14 of these Measures, mutatis mutandis. The front-end costs of a project shall, upon confirmation or recordation, be included in the amount of Chinese investment in the project.   第十七条 对项目所需前期费用(包括履约保证金、保函手续费、中介服务费、资源勘探费等)规模较大的,投资主体可以参照本办法第十三条、第十四条规定对项目前期费用提出核准、备案申请。经核准或备案的项目前期费用计入项目中方投资额。
Section 2 Confirmation Procedures and Periods 

第二节 核准的程序和时限

Article 18 For a project subject to confirmation management, the investor shall submit a project application report, with relevant documents attached, to the confirmation authority through the network system. If the investor is an enterprise managed by the Central Government, the group company or head office of it shall submit the same to the confirmation authority; or if the investor is a local enterprise, it shall directly submit the same to the confirmation authority.   第十八条 实行核准管理的项目,投资主体应当通过网络系统向核准机关提交项目申请报告并附具有关文件。其中,投资主体是中央管理企业的,由其集团公司或总公司向核准机关提交;投资主体是地方企业的,由其直接向核准机关提交。
Article 19 A project application report shall include the following:   第十九条 项目申请报告应当包括以下内容:
(1) Information on the investor. (一) 投资主体情况;
(2) Project information, including without limitation the project name, investment destination, main content and size of the project, and amount of Chinese investment. (二) 项目情况,包括项目名称、投资目的地、主要内容和规模、中方投资额等;
(3) An analysis of the impacts of the project on the national interests and national security of China. (三) 项目对我国国家利益和国家安全的影响分析;
...... ......



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