商务部关于境外投资开办企业核准事项的规定
商务部关于境外投资开办企业核准事项的规定
商务部令2004年第16号
《关于境外投资开办企业核准事项的规定》已于2004年9月23日经中华人民共和国商务部第11次部务会议审议通过，现予以公布，自公布之日起施行。
部长 薄熙来
二00四年十月一日
商务部关于境外投资开办企业核准事项的规定
第一条 为促进境外投资发展，根据《中华人民共和国行政许可法》、《国务院对确需保留的行政审批项目设定行政许可的决定》及有关规定，制定本规定。
第二条 国家支持和鼓励有比较优势的各种所有制企业赴境外投资开办企业。
第三条 境外投资开办企业，是指我国企业通过新设（独资、合资、合作等）、收购、兼并、参股、注资、股权置换等方式在境外设立企业或取得既有企业所有权或管理权等权益的行为。
第四条 商务部核准国内企业在境外投资开办企业（金融类企业除外）。商务部委托各省、自治区、直辖市及计划单列市人民政府商务行政主管部门（以下简称“省级商务主管部门”），核准中央企业之外的其他企业在附件所列国家投资开办企业。
商务部将根据情况对附件所列国别适时调整并公布。
第五条 对于国内企业在境外投资开办企业，商务部和省级商务主管部门从以下方面进行审查、核准：
（一）国别（地区）投资环境；
（二）国别（地区）安全状况；
（三）投资所在国（地区）与我国的政治经济关系；
（四）境外投资导向政策；
（五）国别（地区）合理布局；
（六）履行有关国际协定的义务；
（七）保障企业合法权益。
国内企业境外投资开办企业在经济、技术上是否可行，由企业自行负责。
第六条 国内企业境外投资涉及下列情形的，不予核准：
危害国家主权、安全和社会公共利益的；违反国家法律法规和政策的；可能导致中国政府违反所缔结的国际协定的；涉及我国禁止出口的技术和货物的；东道国政局动荡和存在重大安全问题的；与东道国或地区的法律法规或风俗相悖的；从事跨国犯罪活动的。
第七条 核准程序
（一）中央企业径向商务部提出申请；其他企业向省级商务主管部门提出申请。
（二）商务部和省级商务主管部门收到申请材料后，对于申请材料不齐全或者不符合法定形式的，应当在5个工作日内一次告知申请人需要补正的全部内容，逾期不告知的，自收到申请材料之日起即为受理。对于申请材料齐全、符合法定形式，或者申请人按照要求补正申请材料的，应当予以受理。
（三）省级商务主管部门应征求我驻外使（领）馆经济商务参赞处（室）的意见。中央企业径向我驻外经济商务参赞处（室）征求意见。我驻外经济商务参赞处（室）自收到征求意见函之日起5个工作日内予以回复。
（四）省级商务主管部门按照委托核准的权限，自受理之日起15个工作日内做出是否予以核准的决定；需报商务部核准的，自受理之日起5个工作日内进行初审，同意后上报商务部。
（五）商务部自受理之日起15个工作日内做出是否予以核准的决定。
（六）商务部和省级商务主管部门对予以核准的，应出具书面核准决定；不予核准的，出具不予核准决定书。
第八条 申请材料
（一）企业提交的申请材料包括：
1、申请书（主要内容包括开办企业的名称、注册资本、投资金额、经营范围、经营期限、组织形式、股权结构等）；
2、境外企业章程及相关协议或合同；
3、外汇主管部门出具的境外投资外汇资金来源审查意见（需购汇或从境内汇出外汇的）；我驻外经济商务参赞处（室）的意见（仅对中央企业）；
4、国内企业营业执照以及法律法规要求具备的相关资格或资质证明；
5、法律法规及国务院决定要求的其他文件。
（二）省级商务主管部门向商务部提交的材料包括：
1、本部门初步审查意见；
2、我驻外经济商务参赞处（室）意见；
3、企业提交的全部申请材料。
第九条 中央企业的申请获得核准后，由商务部颁发《中华人民共和国境外投资批准证书》（以下简称《批准证书》）。其他企业，由省级商务主管部门代发《批准证书》。
国内企业凭《批准证书》办理外汇、银行、海关、外事等相关事宜。
第十条 获得批准的国内企业，应按国家有关规定报送统计资料、参加境外投资联合年检和境外投资综合绩效评价；经批准开办的境外企业，在当地注册后，应将注册文件报商务部备案，并向我驻外经济商务参赞处（室）报到登记。
第十一条 本规定第八条第（一）款申请书中所列事项发生变更，须报原核准机关核准。
第十二条 外商投资企业境外投资开办企业须遵守有关法律法规。外商投资企业赴境外投资开办企业须经省级以上商务主管部门核准，其中经商务部批准的外商投资企业赴境外投资开办企业由商务部核准，其他外商投资企业赴境外投资开办企业由省级商务主管部门核准。有关具体要求，商务部另文下发。
第十三条 商务部运用电子政务手段实行网上申报和批准证书发放的有关办法，将另行制定下发。
第十四条 省级商务主管部门不得向下级地方商务主管部门委托境外投资开办企业的核准事宜及增加核准环节、申报材料和核准内容。
第十五条 内地企业赴香港、澳门特别行政区投资开办企业，按有关规定办理核准。
第十六条 此前管理办法与本规定不符的，以本规定为准。
第十七条 本规定由商务部负责解释。
第十八条 本规定自发布之日起施行。
Provisions on The Examination And Approval of Investment to Run Enterprises Abroad
Order of the Ministry of Commerce[2004] No. 16
The Provisions on the Examination and Approval of Investment to Run Enterprises Abroad, was adopted at the 11th executive meeting of the Ministry of Commerce on September 23rd, 2004, is hereby promulgated and shall be implemented as of the promulgation date.
Bo Xilai, Minister
October 1st, 2004
Provisions on the Examination and Approval of Investment to Run Enterprises Abroad
Article 1 With a view to promoting the development of overseas development, the present Provisions are formulated pursuant to the Administrative License Law of the People''s Republic of China, the Decision of the State Council about Setting Administrative Licensing for the Administrative Examination and Approval Items Necessary to Be Preserved and other pertinent provisions.
Article 2 The state shall help and encourage relatively competitive enterprises with various forms of ownership to invest to run enterprises abroad.
Article 3 The term of "to invest to run enterprises" refers to the operational acts of the enterprises of China such as establishing enterprises abroad or acquiring the ownership, managerial right or any other right and interest of the existing enterprises by way of establishing （solely-funded, equity joint or contractual joint ventures）, purchasing, merging, holding shares, injecting fund, changing stock rights, etc.
Article 4 Domestic enterprises （excluding the financial enterprises） to invest to run enterprises abroad shall be subject to the examination and approval of the Ministry of Commerce. The Ministry of Commerce shall authorize the commerce administrative departments of the people''s governments of all provinces, autonomous regions, municipalities directly under the Central Government and cities under separate state planning （hereinafter referred to as "the provincial commerce administrative departments"） to handle the matters pertaining to the examination and approval of the enterprises other than the enterprises directly under the Central Government to run enterprises in the countries as listed in the annex.
The Ministry of Commerce shall in time adjust the countries as listed in the Annex in accordance with circumstances and promulgate them.
Article 5 With respect to the domestic enterprises that intend to invest to run enterprises abroad, the Ministry of Commerce and the provincial commerce administrative departments shall examine and approve them by taking the following aspects into consideration:
（1） The investment environment of different countries （regions）;
（2） The status of safety of different countries （regions）;
（3） The political and economic relationship between the investment destination countries （regions） and China;
（4） The policies for guiding investment abroad;
（5） The reasonable distribution in different countries （regions）;
（6） The obligations in relevant international treaties; and
（7） Safeguarding the legitimate rights and interests of enterprises.
A domestic enterprise itself shall be responsible for whether it is economically or technically feasible to invest to run an enterprise abroad.
Article 6 A domestic enterprise shall not be allowed to invest to run enterprises abroad if:
（1） it impairs the state sovereignty, security and public interests;
（2） it violates any law, regulation or policy of the state;
（3） it is likely to cause the Chinese Government to break any international treaty she has concluded;
（4） involves any technology or goods prohibited from exporting by China;
（5） the political situation of the investment destination country is turbulent and there is serious safety problem;
（6） it is contradictory to the laws, regulations or customs of the investment destination country or region; or
（7） it is employed for committing transnational crimes.
Article 7 Examination and Approval Procedures
（1） The enterprises directly under the Central Government shall directly file an application to the Ministry of Commerce, while other enterprises shall file an application to the provincial commerce administrative departments.
（2） After the Ministry of Commerce or a provincial commerce administrative department receives the application materials of an applicant, with respect to the application materials that are incomplete or are inconsistent with the statutory form, it shall, within 5 working days, notify the applicant of the to-be-supplemented items once and for all; if it fails to do so, it shall be deemed to have accepted them as of the day when it receives them. As for the application materials that are complete and consistent with the statutory forms or that have been supplemented by the applicant in light of the relevant requirements, it shall accept them.
（3） A provincial commerce administrative department shall solicit the opinions of China''s economic and commercial counselor''s office of the embassy （consulate） to that country （or region）. An enterprise directly under the Central Government shall directly consult the opinions of China''s economic and commercial counselor''s office of the embassy （consulate） to that country or region. The economic and commercial counselor''s office of the embassy （consulate） to the foreign country （region） shall make a reply within 5 working days after it receives a letter for soliciting opinions.
（4） The provincial commerce administrative department shall, in accordance with the authorized power, decide whether to approve or not within 15 working days as of the acceptance date; if there is necessity to report to the Ministry of Commerce for approval, it shall conduct preliminary examination within 5 working days as of the acceptance day, and after approving, it shall report to the Ministry of Commerce.
（5） The Ministry of Commerce shall decide whether to approve or not within 15 working days as of the acceptance date.
（6） Where the Ministry of Commerce or the provincial commerce administrative department approves, it shall, in writing, issue an approval decision; if it doesn''t approve, it shall issue a decision of disapproval.
Article 8 Application Materials
（1） The application materials to be submitted by an enterprise cover:
（a） an application （mainly including the name, registered capital, amount of investment, business scope, business period, form of organization and organizational structure, etc., of the enterprise to be launched）;
（b） the Articles of Association of the enterprise abroad and pertinent agreement or contract;
（c） the opinions issued by the foreign exchange administrative department about the examination over the source of foreign exchange fund to invest abroad （having to purchase foreign exchange or remit abroad foreign exchange from China）;
（d） the business license of the domestic enterprise and other relevant qualification certifications as required by the laws and regulations; and
（e） other documents as required by the laws, regulations, and decisions of the State Council.
（2） The materials which the provincial commerce administrative departments shall submit to the Ministry of Commerce cover:
（a） the preliminary examination opinions of this department;
（b） the opinions of the economic and commercial counselor''s office of the embassy （consulate） of China;
（c） the complete application materials submitted by the enterprise.
Article 9 After the application of an enterprise directly under the Central Government is approved, the Ministry of Commerce shall issue an Approval Certificate of the People''s Republic of China to Invest Abroad （hereinafter referred to as the Approval Certificate） to the applicant. With respect to an enterprise not directly under the Central Government, the provincial commerce administrative department shall issue an Approval Certificate to it on behalf of the Ministry of Commerce.
A domestic enterprise shall go through the matters pertaining to foreign exchange, bank, customs, foreign affairs, etc. upon the strength of the Approval Document.
Article 10 A domestic enterprise, which has obtained an approval, shall submit the statistical materials and accept the joint annual examination on overseas investment and comprehensive performance evaluation of overseas investment. With regard to an enterprise invested abroad upon approval, after it have been registered at the locality, it shall submit the registration documents to the Ministry of Commerce for archival purpose and register in the economic and commercial counselor''s office of the embassy （consulate） of China.
Article 11 Where any of the items listed in Article 8 （1） of the present Provisions is modified, it shall be subject to the examination and approval of the original approval organ.
Article 12 The foreign-funded enterprise to invest to run enterprises abroad shall observe relevant laws and regulations. They shall be subject to the examination and approval of the provincial commerce administrative department or superior. Among the aforesaid foreign-funded enterprises, those established upon approval of the Ministry of Commerce shall be subject to the examination and approval of the Ministry of Commerce before they invest to run enterprises abroad, the others shall be subject to the examination and approval of the provincial commerce administrative departments before they invest to run enterprises abroad. The specific requirements shall be issued by the Ministry of Commerce in a separate document.
Article 13 The Ministry of Commerce will separately formulate measures concerning the e-government approaches such as on-line applications, and the issuance of approval certificates.
Article 14 A provincial commerce administrative department shall not authorize its subordinate commerce administrative departments to handle the matters pertaining to the examination and approval of the investments to run enterprises abroad, nor may it insert any approval link, application material or approval content.
Article 15 A mainland enterprise to establish an enterprise in Hong Kong or Macao Special Administrative Region shall be subject to the examination and approval under relevant provisions.
Article 16 Where any administrative measure promulgated prior to the present Provisions is inconsistent with the present Provisions, the latter shall apply.
Article 17 The power to interpret the present Provisions shall remain with the Ministry of Commerce.
Article 18 The present Provisions shall be implemented as of the promulgation date.
Annex: The Names of the Countries in Which the Ministry of Commerce Authorize the Local Provincial Commerce Administrative Departments To Handle the Matters pertaining to the Examination and Approval of the To-be-run Enterprises