Issues Relevant to Record Filing with the MOFTEC of FIEs in the Encourages Category That Are Above the Examination and Approval Limit of Provincial Level Foreign Tarde And Economic Cooperation Authorities Supplementary Circular
关于省级外经贸部门审批限上鼓励类外商投资企业报外经贸部备案有关问题的补充通知
A circular on the new regulations governing the record filing requirements and procedures for foreign investment enterprises.
(Issued by the Ministry of Foreign Trade and Economic Cooperation on May 31 2001.)
(对外贸易经济合作部于二零零一年五月三十一日下发。)
Pursuant to State laws and regulations and relevant State Council regulations on the attraction of foreign investment, the Ministry of Foreign Trade and Economic Cooperation issued the Relevant Questions Concerning the Record Filing with the Ministry of Foreign Trade and Economic Cooperation of the Examination and Approval by Local Authorities Themselves of Foreign Investment Enterprises under the Encouraged Category Circular (ref. [1999] Wai Jing Mao Zi Fa Zi No. 615, hereafter Circular 615) on 15 October 1999. We hereby issue the following supplementary circular on relevant specific matters in order to further improve the carrying out of such work:
1. The scope of business of the encouraged projects which do not require overall balancing by the State mentioned in Circular 615 must be in conformity with the encouraged category of the Foreign Investment Industrial Guidance Catalogue and with the Guiding Foreign Investment in the Dominant Industries of the Central and Western Regions Catalogue approved by the State Council and issued by two commissions and one ministry.
根据国家吸收外商投资法律、法规及国务院有关规定，外经贸部于1999年10月15日下发了《关于地方自行审批鼓励类外商投资企业报外经贸部备案有关问题的通知》（〖1999〗外经贸资发字第615号，以下称“615号通知”）。为进一步做好此项工作，现将有关具体事项补充通知如下：
2. Provincial level foreign trade and economic cooperation authorities must issue, in accordance with the requirements of Circular 615, a statement to the effect that overall balancing by the State is not required. Such statement shall be made using the uniform format attached hereto and bear the seal of the provincial level foreign trade and economic cooperation authority.
3. The recorded particulars shall include:
一、 “615号通知”提及的鼓励类不需要国家综合平衡的项目，其经营范围必须符合经国务院批准两委一部下发的《外商投资产业指导目录》中的鼓励类和《中西部地区外商投资优势产业目录》。
(1) the approval of the establishment of a new foreign investment enterprise;
(2) the capital increase, equity assignment or amendment of other terms of the contract and articles of association of an existing foreign investment enterprise whose original examination and approval authority is a foreign trade and economic cooperation authority at or below the provincial level;
二、 省级外经贸主管部门须按“615号通知”的要求出具不需要国家综合平衡的说明，该说明应按本补充通知的统一格式（附后）填写，并加盖省级外经贸主管部门印章。
(3) the capital increase of an existing foreign investment enterprise whose original examination and approval authority was the Ministry of Foreign Trade and Economic Cooperation (with the exception of investment companies, companies limited by shares and companies the examination and approval procedures and approval authority limits for which are governed by special provisions), provided that its scope of business remains unchanged.
The afore-mentioned particulars to be recorded shall comply with relevant requirements of Article 1 hereof and the requirement that no overall balancing is required by the State.
三、 备案事项包括：
4. If the submitted record filing materials for the examination and approval matters received by the Department of Foreign Investment of the Ministry of Foreign Trade and Economic Cooperation are incomplete, it shall, within two working days, so notify the submitting unit by means of a notice requiring it to submit the missing materials. If it has no objections to the examination and approval matters submitted for the record, it shall, within ten working days of the date of receipt of the complete set of materials for the record, so notify the submitting unit by means of a record filing notice. If it is of a contrary opinion, it shall, within ten working days of receipt of the complete set of materials for the record, so notify the submitting unit by means of a record filing opinion notice. All record filing notices and record filing opinion notices (Notices) shall bear the seal of the Department of Foreign Investment of the Ministry of Foreign Trade and Economic Cooperation and a copy of any Notice shall be sent to the competent Customs at the same time they are sent to the submitting unit. Notices shall be sent by facsimile or mail; if the province, municipality or autonomous region has the required capabilities, Notices may alternatively be sent online.
5. An enterprise whose particulars have been placed on the record may carry out the procedures for the exemption of import duties and taxes with the competent Customs according to law, on the strength of such relevant documents as the project confirmation letter issued by the provincial level examination and approval authority and a photocopy of the record filing notice specified in Article 4 hereof.
（一）新批设立外商投资企业；
6. The record filing materials shall be submitted in accordance with Article 3 of Circular 615. With respect to all record filings that pertain to a change, the record filing materials shall additionally include a photocopy of the enterprise's pre-change approval certificate. If the record filing pertains to a capital increase or equity transfer, the record filing materials shall additionally include the capital contribution verification report issued prior to the capital increase or share transfer.
7. In the event of any discrepancies between Articles 4 and 5 of Circular 615 and this Supplementary Circular, this Supplementary Circular shall prevail. The Ministry of Foreign Trade and Economic Cooperation, Issues Relevant to Record Filing with the Ministry of Foreign Trade and Economic Cooperation of Foreign Investment Enterprises in the Encouraged Category That Are Above the Examination and Approval Limit of Provincial Level Foreign Trade and Economic Cooperation Authorities Supplementary Circular (ref. Wai Jing Mao Zi Er Han [2001] No. 263) is repealed as of the date of issue hereof.
（二）原审批机关为省级和省级以下外经贸主管部门的已设立外商投资企业，其增资、转股及合同、章程其它条款的变更；
Attachments:
1. Statement That No Overall Balancing by the State is Required for a Foreign Investment Enterprise in the Encouraged Category That is Above the Local Examination and Approval Limit of a Provincial Level Foreign Trade and Economic Cooperation Authority
（三）原审批机关为外经贸部的已设立外商投资企业（投资性公司、股份公司以及审批程序和审批权限有特殊规定的公司除外），在经营范围不变的前提下增资。
2. Format for Record Filing Notices
3. Format for Record Filing Opinion Notices
clp reference:2300/01.05.31 (2)promulgated:2001-05-31上述备案事项应符合本补充通知第一条和不需要国家综合平衡的有关要求。
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