英文： Experimental Measures for Commercial Enterprises with Foreign Investment

Article 1 These Measure are formulated in accordance with such laws and regulations as the Law of the People's Republic of China's on Chinese and Foreign Equity Joint ventures and the Law of the People's Republic of China on Chinese and Foreign Cooperative Joint Ventures in order to deepen the opening-up policy, promote the revolution and development of commercial enterprises, propel the building of domestic market and ensure the healthy and orderly implementation of pilots that widen commercial field and employ foreign investment.

Article 2 These Measures apply to equity or cooperative commercial enterprises established by foreign and Chinese companies, enterprises within China (hereinafter referred to as jointly-operated commercial enterprises). The establishment of commercial enterprises wholly funded by foreigners is not allowed temporarily.

Article 3 The jointly-operated commercial enterprises must adapt to the commercial development plans of the cities where they are located, be able to introduce the advanced marketing and managing experience in the globe, stimulate the modernization of domestic commerce, propel the export of domestic products, and bring economic and social benefits.

Article 4 The areas in which jointly-operated commercial enterprises may be established shall be prescribed by the State Council, presently they are confined to provincial capitals, capitals of autonomous regions, municipalities directly under the Central Government, municipalities separately listed on the State plan and special economic zone (hereinafter referred to as pilot areas).

Article 5 The investors of jointly-operated commercial enterprises must conform to the following conditions:

(1) Foreign operators or the major ones of foreign operators in the jointly-operated commercial enterprises (hereinafter referred to as foreign operators) shall be enterprises that possess comparatively strong economic power, advanced marketing skills and managing experiences, wide international marketing network, good reputation and remarkable operating achievement and the capability of propelling the export of China's products through the established jointly-operated commercial enterprises. Foreign operators who apply to establish retail-oriented jointly operated commercial enterprises shall possess an average sale of more than 2 billion US Dollars three years before application and asset of more than 0.2 billion US Dollars one year before application. Foreign operators who apply to establish wholesale-oriented jointly-operated commercial enterprises shall possess an average wholesale volume of more than 2.5 billion US Dollars 3 years before application and asset of more than 0.3 billion US Dollars one year before application.

(2) The Chinese operators or the major ones of Chinese operators (hereinafter referred to as Chinese operators) shall be current enterprises that possess comparatively strong economic power and operating capacity. Their asset shall be more than 50 million RMB (30 million RMB in the middle and western areas) one year before application. If Chinese operators are commercial enterprises, the average sale of the three years before application shall be more than 0.3 billion RMB (0.2 billion in the middle and western areas); if they are foreign trade enterprises, the average self-operated import and export volume three years before application shall be more than 50 million US Dollars (the export volume shall be no less than 30 million US Dollars).

 

Article 6 Jointly-operated commercial enterprises must conform to the following conditions:

(1) conforming to the relevant Chinese laws, regulations and provisions;

(2) conforming to commercial development plans of the cities where they are located;

(3) The registered asset of retail-oriented jointly-operated commercial enterprises shall not be less than 50 million RMB, that of those in middle and western areas shall not be less than 30 million RMB; the registered asset of wholesale-oriented commercial enterprises shall not be less than 80 million RMB, that of those in middle and western areas shall not be less than 60 million RMB.

(4) If the jointly-operated commercial enterprises have the operation of more than 3 chain stores (except the grocery store for people's convenience, professional stores and exclusive stores), Chinese operators shall offer a proportion of more than 51% of the total capital; if the jointly-operated commercial enterprises are in good operating condition, the foreign operators have purchased a large quantity of domestic products and there is a possibility to take the advantage of foreign operators' international marketing network to promote the export of domestic products, foreign operators can hold the share after the approval of the State Council. Chinese operators shall provide no less than 35% of the total capital in the jointly-operated commercial enterprises with no more than three branch stores (including three) as well as in grocery store for people's convenience, professional stores and exclusive stores which are in chain operation. In the wholesale oriented jointly-operated commercial enterprises (including retail enterprises engaged in wholesale business simultaneously), Chinese operators must offer a proportion of more than 51% of the total capital.

(5) The branch store of the jointly-operated commercial enterprises are confined to the concatenate form that foreign and Chinese operators both invest and operate directly. Other concatenate forms such as free chains or concessionary chains are prohibited temporarily.

(6) The operating period shall not exceed 10 years, 40 years for the middle and western areas.

Article 7 Under the condition that foreign operators contract with jointly-operated commercial enterprises concerning the use of trademark and trade name and technological transfer, the related expenses that foreign operators collect shall not exceed 0.3% of the enterprise's sale volume of the year and the limited period for collection is 10 years.

Article 8 Jointly-operated commercial enterprises shall be established according to the following procedure: Chinese operators shall submit feasibility reports (fungible of project propositions) and relevant documents to economic and trade commissions (economic commissions, planning and economic commissions, the same in the following part) in the pilot areas, which in conjunction with the competent domestic trade departments shall report to the State Economic and Trade Commission according to the prescribed procedures. The State Economic and Trade Commission shall examine and approve the reports after consulting the Ministry of Foreign Trade and Economic Cooperation. After the feasibility reports (fungible of project propositions) have been approved, the foreign trade and economy departments in the pilot areas shall submit the contracts and articles of associations to the Ministry of Foreign Trade and Economic Cooperation according to the prescribed procedures, which shall examine and approve the contracts and articles of associations. Jointly-operated commercial enterprises which have been approved shall, within one month since the date of receiving the approval certificate, register with the State Administration for Industry and Commerce on the strength of the Approval Certificate for Enterprises with Foreign Investment issued by the State Administration for Industry and Commerce.

Article 9 To establish jointly-operated commercial enterprises, the following documents shall be submitted:

I. the declaring document on the study of feasibility

(1) the feasibility report compiled by all operators (fungible of project proposition);

(2) bank's certification on property and credit, certificate of registration (photocopy), legal representative certificate (photocopy) of all operators;

(3) all operators' annual asset and liability table, profit and loss table of the recent three years audited by accounting agency;

(4) (if Chinese operator makes investment with State-owned property) the confirmation document of State-owned property managing departments on the assessing report concerning Chinese operator's investing State-owned property;

(5) the species of merchandises that the planned jointly-operated commercial enterprises will operate;

(6) other related documents.

II. the declaring documents concerning contract and articles of association

1. the declaring documents on the study of feasibility and the approving documents thereof;

2. contracts and articles of association of the planned jointly-operated commercial enterprises signed by accredited representatives of all operative parties;

3. list of import and export merchandises;

4. the members of the board of directors of the planned jointly-operated commercial enterprises and the accreditation of directors from all parties;

5. the notice of the approval of enterprise's appellation provided by the State Administration for Industry and Commerce;

6. other related documents.

Article 10 If State-owned circulation enterprises invest to establish jointly-operated commercial enterprises, the assessing setups accredited by State-owned property management departments shall make scientific and righteous assessment on the tangible and intangible property invested in the light of the Measures on the Management of Assessment of State-owned Property. The assessment result serves as the foundation for evaluating State-owned property after the confirmation of State-owned property management departments at or above province level.

Article 11 If the established jointly-operated commercial enterprises expect to involve wholesale business, establish branch stores or replace the cooperative party, the Ministry of Foreign Trade and Economic Cooperation shall conduct examination and approval after consulting the State Economic and Trade Commission; other changes of the established jointly-operated commercial enterprises shall be examined and approved by the original examining and approving organ according to the current provisions concerning enterprises with foreign investment. Jointly operated commercial enterprises shall submit the following documents:

(1) application report;

(2) the report on enterprise's operating situation;

(3) the report on the property evaluation;

(4) the report and certification on the enterprise's export situation;

(5) related decisions of the board of directors;

(6) agreement on the revision of contract and provision;

(7) other related documents. The enterprise shall register with the State Administration for Industry and Commerce and undergo the procedures of revision within one month since the date when the revised contract and articles of association are approved.

Article 12 The operation scopes of jointly-operated commercial enterprises are:

1. the operation scopes of retail-oriented jointly-operated commercial enterprises are:

(1) commercial retail operation (including sell on a commission basis or sell by mail);

(2) organize the export business of domestic products;

(3) export and import business of its own merchandises;

(4) the related matching services.

2. the operation scopes of wholesale-oriented jointly-operated commercial enterprises are: wholesale of domestic and self-operated import merchandises within China, organizing the export of domestic products.

Article 13 Retail-engaged jointly-operated commercial enterprises can also operate wholesale business.

Article 14 Jointly-operated commercial enterprises are prohibited form engaging in acting business of export and import .

Article 15 Jointly-operated commercial enterprises, operating merchandises on which the State has special provisions as well as those export and import merchandises with quota and license involved, shall undergo examining and approving procedure according to related provisions of the State. The annual import volume of the jointly operated commercial enterprise shall not exceed 30% of its annual selling volume.

Article 16 Jointly-operated commercial enterprises shall conform to laws and regulations of the People's Republic of China and subject themselves to the jurisdiction of China's laws and regulations. Their normal operating activities and lawful rights and interests are protected by China's laws and regulations. If the activities of jointly operated commercial enterprises violate laws or regulations of China, the enterprises shall be punished in accordance with the relevant laws and regulations of China.

Article 17 These Measure shall be strictly followed in the establishment of jointly-operated commercial enterprises at all localities. The Sate Economic and Trade Commission, the Ministry of Foreign Trade and Economic Cooperation, the State Administration for Industry and Commerce shall investigate and deal with those acts violating these Measure. All local economic and trade commissions, foreign trade and economic department and related departments shall investigate the pilots timely, summarize experience earnestly and solve the problems appropriately.

Article 18 The State Economic and Trade Commission, the Ministry Foreign Trade and Economic Cooperation, the State Administration for Industry and Commerce or their authorized organs shall conduct supervision and administration on the commercial enterprises with foreign investment in accordance with law.

Article 19 The establishment of jointly-operated commercial enterprises in the mainland of China by investors from Hong Kong Special Administrative Region, Macao and Taiwan shall be deal with in accordance with these Measures.

Article 20 The State Economic and Trade Commission and the Ministry of Foreign Trade and Economic Cooperation are responsible for the interpretation of these Measure.

Article 21 These Measures enter into force as of the date of promulgation.

 

Promulgated by The State Economic and Trade Commission, the Ministry of Foreign Trade and Economic Cooperation on 1999-6-25

中文：外商投资商业企业试点办法

第一条 为进一步扩大对外开放，促进商业企业的改革和发展，推动国内市场建设，使扩大商业领域利用外商投资试点健康有序地进行，根据《中华人民共和国中外合资经营企业法》和《中华人民共和国中外合作经营企业法》等有关法律、法规，制定本办法。

第二条 本办法适用于外国公司、企业同中国公司、企业在中国境内设立中外合资或合作商业企业（以下简称合营商业企业）。暂不允许外商独资设立商业企业。

第三条 设立的合营商业企业必须符合所在城市的商业发展规划，能够引进国际上先进的营销技术和管理经验，促进国内商业现代化，带动国内产品出口，产生良好的经济效益和社会效益。

第四条 设立合营商业企业的地区由国务院规定，目前暂限于省会城市、自治区首府、直辖市、计划单列市和经济特区（以下简称试点地区）。

第五条 合营商业企业的投资者应具备以下条件：

（一） 外国合营者或外国合营者中的主要合营者（以下简称外国合营者）应为具有较强的经济实力、先进的商业经营管理经验和营销技术、广泛的国际销售网络、良好的信誉和经营业绩的企业，且能够通过拟设立的合营商业企业带动中国产品出口。

申请设立从事零售业务的合营商业企业的外国合营者，申请前3年年均商品销售额应在20亿美元以上，申请前1年资产额应在2亿美元以上。

申请设立从事批发业务的合营商业企业的外国合营者，申请前3年年均商品批发额应在25亿美元以上，申请前1年资产额应在3亿美元以上。

（二） 中国合营者或中国合营者中的主要合营者（以下简称中国合营者）应为具有较强经济实力和经营能力的流通企业，申请前1年的资产额应在5000万元（中西部地区3000万元）人民币以上。其中，中国合营者为商业企业的，申请前3年年均销售额应在3亿元（中西部地区2亿元）人民币以上；为外贸企业的，申请前3年年均自营进出口额应在5000万美元以上（其中出口额不低于3000万美元）。

第六条 合营商业企业应符合以下条件：

（一） 符合中国有关法律、法规及有关规定；

（二） 符合所在城市商业发展规划；

（三） 从事零售业务的合营商业企业的注册资本不低于5000万元人民币，中西部地区不低于3000万元人民币；从事批发业务的合营商业企业的注册资本不低于8000万元人民币，中西部地区不低于6000万元人民币；

（四） 采取3家以上分店连锁方式经营的合营商业企业（便民店、专业店和专卖店除外），中国合营者出资比例应达到51%以上；其中对合营商业企业本身经营情况较好，外国合营者已从国内大量采购产品，并能借助外国合营者的国际营销网络，进一步扩大国内产品出口的合营连锁商业企业，经国务院批准后，可允许外国合营者控股；

开设3家以下分店（包括3家）的合营商业企业和连锁方式经营的便民店、专业店、专卖店，中国合营者出资比例应不低于35%；

从事批发业务（包括零售企业兼营批发业务）的合营商业企业，中国合营者出资比例应达到51%以上；

（五） 合营商业企业的分店只限于中外双方直接投资、直接经营的直营连锁形式，暂不允许发展自由连锁、特许连锁等其它连锁形式；

（六） 经营年限不超过30年，中西部地区不超过40年。

第七条 外国合营者与合营商业企业签定商标、商号使用许可合同、技术转让合同的，外国合营者提取的相关费用总计不得超过合营商业企业当年销售额（不包括增值税）的0．3%，提取年限不超过10年。

第八条 设立合营商业企业按照以下程序办理：

中国合营者向所在试点地区经济贸易委员会（经济委员会、计划与经济委员会，下同）报送可行性研究报告（代项目建议书）及有关文件，试点地区经济贸易委员会会同内贸主管部门按规定程序报国家经济贸易委员会。国家经济贸易委员会征求对外贸易经济合作部意见后审批。

可行性研究报告（代项目建议书）经批准后，由试点地区外经贸部门按规定程序向对外贸易经济合作部上报合同、章程，对外贸易经济合作部对合同、章程予以审批。

获得批准设立的合营商业企业，应自收到批准证书之日起1个月之内，凭对外贸易经济合作部颁发的《外商投资企业批准证书》，到国家工商行政管理部门办理注册登记手续。

第九条 申请设立合营商业企业，应报送下列文件：

（一） 可行性研究申报文件

1. 合营各方共同编制的可行性研究报告（代项目建议书）；

2. 合营各方的银行资信证明、登记注册证明（复印件）、法定代表人证明（复印件）；

3. 合营各方经会计师事务所审计的最近3年的年度资产负债表和损益表；

4. （如果中国合营者以国有资产投资）国有资产管理部门对中方拟投入国有资产的评估报告确认文件；

5. 拟设立合营商业企业经营的商品种类；

6. 其他有关文件。

（二） 合同、章程申报文件

1. 可行性研究申报文件及其批准文件；

2. 由合营各方授权代表签署的拟设立合营商业企业的合同、章程；

3. 进出口商品目录；

4. 拟设立合营商业企业董事会成员名单及合营各方董事委派书；

5. 国家工商行政管理局出具的企业名称预先核准通知书；

6. 其他有关文件。

第十条 国有流通企业投资设立合营商业企业的，须按《国有资产评估管理办法》的规定，由国有资产管理部门确认的评估机构，对国有流通企业投入的有形和无形资产进行科学、公正的评估。评估结果经省级以上国有资产管理部门确认后，作为投入国有资产作价的依据。

第十一条 已设立合营商业企业申请兼营批发业务、开设分店、更改合营方，对外贸易经济合作部征得国家经济贸易委员会同意后予以审批；已设立合营商业企业的其他变更，按现行外商投资企业的有关规定，报原审批机关审批。报批时合营商业企业需提交以下文件：

（一） 申请报告；

（二） 企业经营状况报告；

（三） 企业验资报告；

（四） 企业出口情况报告及证明文件；

（五） 董事会有关决议；

（六） 合同、章程修改协议；

（七） 其它有关文件。

企业应自修改后的合同、章程批准之日起1个月内向国家工商行政管理部门办理登记变更等手续。

第十二条 合营商业企业的经营范围：

（一） 从事零售业务的合营商业企业的经营范围

1. 商业零售（包括代销、寄售）经营；

2. 组织国内产品出口业务；

3. 自营商品的进出口业务；

4. 经营相关的配套服务。

（二） 经营批发业务的合营商业企业的经营范围。国内商品和自营进口商品的国内批发，组织国内产品出口。

第十三条 从事零售业务的合营商业企业经批准可兼营批发业务。

第十四条 合营商业企业不得从事商品进出口代理业务。

第十五条 合营商业企业经营国家有特殊规定的商品以及涉及配额、许可证管理的进出口商品，应按国家有关规定办理审批手续。合营商业企业年度商品进口总额不得超过本企业当年商品销售额的30%。

第十六条 合营商业企业应遵守中华人民共和国法律、法规，受中国法律、法规管辖，其正当经营活动及合法权益受中国法律、法规的保护。合营商业企业如有违反中国法律、法规的行为，按中国有关法律、法规处理。

第十七条 各地要严格按本办法规定设立合营商业企业。违反本办法规定的，由国家经济贸易委员会、对外贸易经济合作部会同国家工商行政管理局进行查处。各地经济贸易委员会、外经贸部门要会同有关部门及时跟踪试点情况，认真总结试点经验，妥善解决试点中出现的问题。

第十八条 国家经济贸易委员会、对外贸易经济合作部、国家工商行政管理局或其授权机构依法对外商投资商业企业进行监督和管理。

第十九条 香港特别行政区、澳门、台湾地区的投资者在祖国大陆投资设立合营商业企业，参照本办法执行。

第二十条 本办法由国家经济贸易委员会、对外贸易经济合作部负责解释。

第二十一条 本办法自发布之日起施行。

国家经济贸易委员会、对外贸易经济合作部 1999年6月25日 颁布