Tentative Measures for the Administration of the Record Filing of the Establishment of, and Changes in, Foreign-invested Enterprises (2nd Revision)
外商投资企业设立及变更备案管理暂行办法 (第二次修订)
FIE record filing requires online submission.
(Promulgated by the Ministry of Commerce on June 29, 2018, and effective as of June 30, 2018.)
(商务部于二零一八年六月二十九日发布, 自二零一八年六月三十日起施行 。)
Order of MOFCOM [2018] No.6
商务部令 [2018] 第6号
Part One: General Provisions
第一章 总则
Article 1: These Measures have been formulated pursuant to the PRC Sino-foreign Equity Joint Venture Law, the PRC Sino-foreign Cooperative Joint Venture Law, the PRC Wholly Foreign-owned Enterprise Law, the PRC Company Law and related laws, administrative regulations and State Council decisions in order to further expand opening to the outside world, promote reform of the foreign investment administration regime and improve a business environment that is characterized by the rule of law, is internationalized and is more convenient.
第一条 为进一步扩大对外开放，推进外商投资管理体制改革，完善法治化、国际化、便利化的营商环境，根据《中华人民共和国中外合资经营企业法》、《中华人民共和国中外合作经营企业法》、《中华人民共和国外资企业法》、《中华人民共和国公司法》及相关法律、行政法规及国务院决定，制定本办法。
Article 2: These Measures shall apply where the establishment of, or changes in, a foreign-invested enterprise does/do not involve the implementation of the special administrative measures for access specified by the state.
第二条 外商投资企业的设立及变更，不涉及国家规定实施准入特别管理措施的，适用本办法。
Article 3: The State Council's commerce department shall be responsible for the overall planning and guidance of the work associated with the administration by means of record filing of the establishment of, and changes in, foreign-invested enterprises nationwide.
第三条 国务院商务主管部门负责统筹和指导全国范围内外商投资企业设立及变更的备案管理工作。
The competent commerce departments of the provinces, autonomous regions, municipalities directly under the central government, cities with independent development plans, the Xinjiang Production and Construction Corps and sub-provincial municipalities as well as the relevant departments of pilot free trade zones and national economic and technological development zones are the record filing authorities for the establishment of, and changes in, foreign-invested enterprises and shall be responsible for the administration work associated with the administration by means of record filing of the establishment of, and changes in, foreign-invested enterprises in their jurisdictions.
各省、自治区、直辖市、计划单列市、新疆生产建设兵团、副省级城市的商务主管部门，以及自由贸易试验区、国家级经济技术开发区的相关机构是外商投资企业设立及变更的备案机构，负责本区域内外商投资企业设立及变更的备案管理工作。
Record filing authorities shall carry out their record filing work through the information system for comprehensive administration of foreign investment (the Comprehensive Administration System).
备案机构通过外商投资综合管理信息系统(以下简称综合管理系统)开展备案工作。
Article 4: A foreign-invested enterprise or its investors shall provide true, accurate and complete record filing information in accordance herewith, and the record filing undertaking completed by it/them may not contain false records, misleading statements or material omissions. A foreign-invested enterprise or its investors shall duly keep the supporting documentation relating to the submitted record filing information.
第四条 外商投资企业或其投资者应当依照本办法真实、准确、完整地提供备案信息，填写备案申报承诺书，不得有虚假记载、误导性陈述或重大遗漏。外商投资企业或其投资者应妥善保存与已提交备案信息相关的证明材料。
Part Two: Record Filing Procedures
第二章 备案程序
Article 5: Where the establishment of a foreign-invested enterprise falls within the scope of record filing specified herein, the representative designated or the agent jointly appointed by all of the investors (or the board of directors of a foreign-invested company limited by shares) shall, when applying to the administration for industry and commerce or market regulation department for the registration of establishment, at the same time submit online the record filing information for the establishment of a foreign-invested enterprise.
第五条 设立外商投资企业，属于本办法规定的备案范围的，全体投资者(或外商投资股份有限公司董事会)指定的代表或共同委托的代理人在向工商和市场监督管理部门办理设立登记时，应一并在线报送外商投资企业设立备案信息。
Where an enterprise that is not a foreign-invested enterprise is transformed into a foreign-invested enterprise through an acquisition, merger by absorption or other such means and the same falls within the scope of record filing specified herein, the record filing information for the establishment of a foreign-invested enterprise shall at the same time be submitted online when applying to the administration for industry and commerce or market regulation department for the amendment of registration.
由于并购、吸收合并等方式，非外商投资企业转变为外商投资企业，属于本办法规定的备案范围的，在向工商和市场监督管理部门办理变更登记时，应一并在线报送外商投资企业设立备案信息。
The record filing authority shall commence the record filing procedures and also notify the investors thereof once it receives the record filing information sent by the administration for industry and commerce or market regulation department.
备案机构自取得工商和市场监督管理部门推送的备案信息时，开始办理备案手续，并应同时告知投资者。
Article 6: Where any of the following changes in a foreign-invested enterprise that falls within the scope of record filing specified herein occurs, the representative designated or agent appointed by the foreign-invested enterprise shall complete and submit a Form for a Change to the Record Filing of a Foreign-invested Enterprise (a Change Filing Form) and related documents online through the Comprehensive Administration System within 30 days after the occurrence of the change and carry out the procedures for a change to the record filing:
第六条 属于本办法规定的备案范围的外商投资企业，发生以下变更事项的，应由外商投资企业指定的代表或委托的代理人在变更事项发生后30日内通过综合管理系统在线填报和提交《外商投资企业变更备案申报表》(以下简称《变更申报表》)及相关文件，办理变更备案手续：
(1) a change in the foreign-invested enterprise's basic particulars, including a change in its name, registered address, enterprise type, term of operations, industry invested in, business type, scope of business, whether it falls within the scope of enterprises eligible for tax and duty exemptions or reductions for imported equipment as specified by the state, registered capital, total investment, composition of organizational structure, legal representative or the particulars, contact person and contact information of the ultimate de facto controller of the foreign-invested enterprise;
(一)外商投资企业基本信息变更，包括名称、注册地址、企业类型、经营期限、投资行业、业务类型、经营范围、是否属于国家规定的进口设备减免税范围、注册资本、投资总额、组织机构构成、法定代表人、外商投资企业最终实际控制人信息、联系人及联系方式变更；
(2) a change in the basic particulars of an investor of the foreign-invested enterprise, including a change in his/her/its name, nationality/region or address (place of registration or registered address), type of identity/organization document and number, capital contribution amount subscribed for, capital contribution method, capital contribution deadline, source of funds or investor type;
(二)外商投资企业投资者基本信息变更，包括姓名(名称)、国籍/地区或地址(注册地或注册地址)、证照类型及号码、认缴出资额、出资方式、出资期限、资金来源地、投资者类型变更；
(3) a change in the basic particulars of the transaction when a foreign-invested enterprise is established by means of an acquisition;
(三)并购设立外商投资企业交易基本信息变更；
(4) a change in equity (shares) or cooperation interests;
(四)股权(股份)、合作权益变更；
(5) a merger, division or termination of business;
(五)合并、分立、终止；
(6) mortgage or transfer of property rights and interests of a wholly foreign-owned enterprise to a third party;
(六)外资企业财产权益对外抵押转让；
(7) early recovery of its investment by the foreign party in a Sino-foreign cooperative joint venture; or
(七)中外合作企业外国合作者先行回收投资；
(8) entrustment of the operations and management of a Sino-foreign cooperative joint venture to a third party.
(八)中外合作企业委托经营管理。
Where, pursuant to relevant laws and regulations, a merger, division, capital reduction or other such matter is required to be announced, an account of the carrying out of the announcement procedures in accordance with the law shall be given when carrying out a change to the record filing.
其中，合并、分立、减资等事项依照相关法律法规规定应当公告的，应当在办理变更备案时说明依法办理公告手续情况。
Where any of the foregoing changes involves the rendering of a resolution by the highest authority, the date on which the highest authority of the foreign-invested enterprise renders its resolution shall be the date on which the change occurs. If laws or regulations set forth other requirements for the entry into effect of a change in a foreign-invested enterprise, the date on which the corresponding requirements are satisfied shall be the date on which the change occurs.
前述变更事项涉及最高权力机构作出决议的，以外商投资企业最高权力机构作出决议的时间为变更事项的发生时间；法律法规对外商投资企业变更事项的生效条件另有要求的，以满足相应要求的时间为变更事项的发生时间。
A main board-listed company or company listed on the National Equities Exchange and Quotations invested in by a foreign investor may carry out record filing procedures in respect of a change in the basic particulars of the investor or its shares only when a change in such investor's shareholding exceeds 5% in the aggregate or there is a change in the control or relative control of the company.
外商投资的上市公司及在全国中小企业股份转让系统挂牌的公司，可仅在外国投资者持股比例变化累计超过5%以及控股或相对控股地位发生变化时，就投资者基本信息或股份变更事项办理备案手续。
Article 7: If a listed company with foreign investment brings in a new foreign investor to make a strategic investment and the same falls within the scope of record filing, procedures for a change to the record filing shall be carried out within 30 days after securities registration with the securities depository and clearing institution and a Change Filing Form shall be completed and submitted.
第七条 外商投资的上市公司引入新的外国投资者战略投资，属于备案范围的，应于证券登记结算机构证券登记后30日内办理变更备案手续，填报《变更申报表》。
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Article 8: When a foreign-invested enterprise or its investors carry out the record filing procedures for the establishment of, or changes in, the foreign-invested enterprise, it/they shall upload and submit the following documents:
第八条 外商投资企业或其投资者办理外商投资企业设立或变更备案手续，需上传提交以下文件：
(1) the foreign-invested enterprise's name pre-approval materials or business license;
(一)外商投资企业名称预先核准材料或外商投资企业营业执照；
(2) the Undertaking in Respect of Record Filing of the Establishment of the Foreign-invested Enterprise signed by all of the investors (or Promoters) of the foreign-invested enterprise or their authorized representative, or the Undertaking in Respect of a Change to the Record Filing of the Foreign-invested Enterprise signed by the legal representative of the foreign-invested enterprise or his/her authorized representative;
(二)外商投资企业全体投资者(或全体发起人)或其授权代表签署的《外商投资企业设立备案申报承诺书》，或外商投资企业法定代表人或其授权代表签署的《外商投资企业变更备案申报承诺书》；
(3) the supporting documents of the representative designated or the agent jointly appointed by all of the investors (or the board of directors of the foreign-invested company limited by shares) or the foreign-invested enterprise, including the power of attorney and the appointed person's identity document;
(三)全体投资者(或外商投资股份有限公司董事会)或外商投资企业指定代表或者共同委托代理人的证明，包括授权委托书及被委托人的身份证明；
(4) the supporting documents evidencing that the investors or legal representative of the foreign-invested enterprise have/has appointed a third party to sign relevant documents, including the power of attorney and the appointed person's identity document (not required if no third party has been appointed to sign relevant documents);
(四)外商投资企业投资者或法定代表人委托他人签署相关文件的证明，包括授权委托书及被委托人的身份证明(未委托他人签署相关文件的，无需提供)；
(5) the documents evidencing entity qualifications or natural person identity documents of the investors (not required if the change does not involve a change in the basic particulars of the investors);
(五)投资者主体资格证明或自然人身份证明(变更事项不涉及投资者基本信息变更的，无需提供)；
(6) the natural person identity document of the legal representative (not required if the change does not involve a change in the legal representative);
(六)法定代表人自然人身份证明(变更事项不涉及法定代表人变更的，无需提供)；
(7) a chart of the equity structure of the ultimate de facto controller of the foreign-invested enterprise (not required if the changed matters do not involve a change in the ultimate de facto controller of the foreign-invested enterprise); and
(七)外商投资企业最终实际控制人股权架构图(变更事项不涉及外商投资企业最终实际控制人变更的，无需提供)；
(8) if payment by the foreign investor by means of the equity of a qualified overseas company is involved, the Enterprise Overseas Investment Certificate of the domestic enterprise that received the equity of the overseas company.
(八)涉及外国投资者以符合规定的境外公司股权作为支付手段的，需提供获得境外公司股权的境内企业《企业境外投资证书》。
If the original of any of the foregoing documents is in a foreign language, a Chinese translation thereof shall be uploaded and submitted simultaneously. The foreign-invested enterprise or its investors shall ensure that the content of the Chinese translation is consistent with the content of the foreign language original.
前述文件原件为外文的，应同时上传提交中文翻译件，外商投资企业或其投资者应确保中文翻译件内容与外文原件内容保持一致。
Article 9: If a change in a foreign-invested enterprise the establishment of which was subject to examination and approval occurs and after such change it is not subject to the implementation of the special administrative measures for access specified by the state, it shall carry out record filing procedures. Once it completes record filing, its Approval Certificate of a Foreign-invested Enterprise shall simultaneously become void.
第九条 经审批设立的外商投资企业发生变更，且变更后的外商投资企业不涉及国家规定实施准入特别管理措施的，应办理备案手续；完成备案的，其《外商投资企业批准证书》同时失效。
Article 10: If a change in a foreign-invested enterprise subject to record filing is subject to the implementation of the special administrative measures for access specified by the state, it shall carry out examination and approval procedures in accordance with laws and regulations on foreign investment.
第十条 备案管理的外商投资企业发生的变更事项涉及国家规定实施准入特别管理措施的，应按照外商投资相关法律法规办理审批手续。
Article 11: Once the record filing authority has received the information on the establishment or a change to the record filing of a foreign-invested enterprise, it shall formally verify the information provided for completeness and accuracy, and determine whether the submitted particulars fall within the scope of record filing. If the same fall within the scope of record filing specified herein, the record filing authority shall complete record filing within three working days. If a particular falls outside the scope of record filing, the record filing authority shall notify the foreign-invested enterprise or its investors online within three working days to handle the matter in accordance with relevant provisions and notify relevant departments to deal with the matter in accordance with the law.
第十一条 备案机构取得外商投资企业设立或变更备案信息后，对填报信息形式上的完整性和准确性进行核对，并对申报事项是否属于备案范围进行甄别。属于本办法规定的备案范围的，备案机构应在3个工作日内完成备案。不属于备案范围的，备案机构应在3个工作日内在线通知外商投资企业或其投资者按有关规定办理，并通知相关部门依法处理。
If the record filing authority discovers that the information provided by a foreign-invested enterprise or its investors is formally incomplete or inaccurate, or requires it/them to provide further explanation of the scope of business, it shall inform it/them one time online to submit additional relevant information online within 15 working days. The time required to provide the additional information shall not count toward the record filing authority's record filing deadline. If the foreign-invested enterprise or its investors fail(s) to provide the additional relevant information within 15 working days, the record filing authority shall inform it/them online that record filing has not been completed. The foreign-invested enterprise or its investors shall separately apply to the record filing authority for supplementary record filing of information in respect of the same establishment or change within five working days.
备案机构发现外商投资企业或其投资者填报的信息形式上不完整、不准确，或需要其对经营范围作出进一步说明的，应一次性在线告知其在15个工作日内在线补充提交相关信息。提交补充信息的时间不计入备案机构的备案时限。如外商投资企业或其投资者未能在15个工作日内补齐相关信息，备案机构将在线告知外商投资企业或其投资者未完成备案。外商投资企业或其投资者应于5个工作日内就同一设立或变更事项向备案机构另行申请补充备案信息。
The record filing authority shall post the record filing outcome on the Comprehensive Administration System, and the foreign-invested enterprise or its investors may check information on the record filing outcome on the Comprehensive Administration System.
备案机构应通过综合管理系统发布备案结果，外商投资企业或其投资者可在综合管理系统中查询备案结果信息。
Article 12: Once record filing is completed, the foreign-invested enterprise or its investors may collect the Acknowledgement of Record Filing of the Establishment of a Foreign-invested Enterprise or Acknowledgement of a Change to the Record Filing of a Foreign-invested Enterprise (a Record Filing Acknowledgement) from the record filing authority on the strength (of a photocopy) of the foreign-invested enterprise's business license.
第十二条 备案完成后，外商投资企业或其投资者可凭外商投资企业营业执照(复印件)向备案机构领取《外商投资企业设立备案回执》或《外商投资企业变更备案回执》(以下简称《备案回执》)。
Article 13: The Record Filing Acknowledgement issued by a record filing authority shall contain the following information:
第十三条 备案机构出具的《备案回执》载明如下内容：
(1) that the foreign-invested enterprise or its investors has/have submitted the materials for the record filing of establishment or a change and that they satisfy the formal requirements;
(一)外商投资企业或其投资者已提交设立或变更备案申报材料，且符合形式要求；
(2) the establishment or changed particulars of the foreign-invested enterprise placed on the record;
(二)备案的外商投资企业设立或变更事项；
(3) that the establishment of, or change in, the foreign-invested enterprise falls within the scope of record filing; and
(三)该外商投资企业设立或变更事项属于备案范围；
(4) whether the foreign-invested enterprise falls within the scope of those eligible for tax and duty exemptions or reductions on imported equipment as specified by the state.
(四)是否属于国家规定的进口设备减免税范围。
Part Three: Oversight
第三章 监督管理
Article 14: The competent commerce department shall conduct monitoring inspections of the compliance with these Measures by foreign-invested enterprises and their investors.
第十四条 商务主管部门对外商投资企业及其投资者遵守本办法情况实施监督检查。
The competent commerce department may conduct a monitoring inspection by means such as a random inspection, inspection conducted on the basis of a report, inspection conducted on the basis of a recommendation and the matters reported by a relevant department or judicial authority or inspection initiated ex officio.
商务主管部门可采取抽查、根据举报进行检查、根据有关部门或司法机关的建议和反映的情况进行检查，以及依职权启动检查等方式开展监督检查。
The competent commerce department shall coordinate and cooperate closely with the public security, state-owned asset, customs, tax, industry and commerce, securities, foreign exchange and other such relevant administrative departments and strengthen information sharing. If, in the course of a monitoring inspection, the competent commerce department discovers a violation of laws or regulations by a foreign-invested enterprise or its investors falling outside its purview, it shall notify the relevant department thereof in a timely manner.
商务主管部门与公安、国有资产、海关、税务、工商、证券、外汇等有关行政管理部门应密切协同配合，加强信息共享。商务主管部门在监督检查的过程中发现外商投资企业或其投资者有不属于本部门管理职责的违法违规行为，应及时通报有关部门。
Article 15: The competent commerce department shall, in accordance with the requirements of fairness and compliance and based on the record filing numbers of foreign-invested enterprises, determine targets of inspection through a random drawing and select inspectors at random to conduct monitoring inspections of foreign-invested enterprises and their investors. The results of such random inspections shall be published by the competent commerce department on the platform for publication of foreign investment information of the Ministry of Commerce.
第十五条 商务主管部门应当按照公平规范的要求，根据外商投资企业的备案编号等随机抽取确定检查对象，随机选派检查人员，对外商投资企业及其投资者进行监督检查。抽查结果由商务主管部门通过商务部外商投资信息公示平台予以公示。
Article 16: If a citizen, legal person or other organization discovers that a foreign-invested enterprise or its investors has/have committed a violation of these Measures, he/she/it may report the same to the competent commerce department. Where the report is made in writing, there is a clear party reported and the relevant facts and evidence are provided, the competent commerce department shall conduct the necessary inspection after it receives the report.
第十六条 公民、法人或其他组织发现外商投资企业或其投资者存在违反本办法的行为的，可以向商务主管部门举报。举报采取书面形式，有明确的被举报人，并提供相关事实和证据的，商务主管部门接到举报后应当进行必要的检查。
Article 17: If, in the course of performing its duties, another relevant department or judicial authority discovers that a foreign-invested enterprise or its investors has/have committed a violation of these Measures, it may recommend to the competent commerce department that a monitoring inspection be conducted, and the competent commerce department shall conduct the inspection in a timely manner after it receives the relevant recommendation.
第十七条 其他有关部门或司法机关在履行其职责的过程中，发现外商投资企业或其投资者有违反本办法的行为的，可以向商务主管部门提出监督检查的建议，商务主管部门接到相关建议后应当及时进行检查。
Article 18: With respect to a foreign-invested enterprise or the investors thereof that has/have not carried out record filing in accordance herewith, or has/have a record of fraudulent record filing, failing to cooperate in a monitoring inspection or refusal to perform an administrative penalty decision rendered by the competent commerce department, the competent commerce department may initiate an inspection thereof ex officio.
第十八条 对于未按本办法的规定进行备案，或曾有备案不实、对监督检查不予配合、拒不履行商务主管部门作出的行政处罚决定记录的外商投资企业或其投资者，商务主管部门可依职权对其启动检查。
Article 19: The subjects of a monitoring inspection of a foreign-invested enterprise or its investors conducted by the competent commerce department shall include the following:
第十九条 商务主管部门对外商投资企业及其投资者进行监督检查的内容包括：
(1) whether it/they have carried out record filing procedures in accordance herewith;
(一)是否按照本办法规定履行备案手续；
(2) whether the record filing information provided by it/them is true, accurate and complete;
(二)外商投资企业或其投资者所填报的备案信息是否真实、准确、完整；
(3) whether investment and operational activities are being carried out in a sector in which investment is prohibited as per the implementation of the special administrative measures for access specified by the state;
(三)是否在国家规定实施准入特别管理措施中所列的禁止投资领域开展投资经营活动；
(4) whether investment and operational activities are being carried out in a sector in which investment is restricted as per the implementation of the special administrative measures for access specified by the state without having undergone examination and approval;
(四)是否未经审批在国家规定实施准入特别管理措施中所列的限制投资领域开展投资经营活动；
(5) whether a circumstance triggering a national security review exists;
(五)是否存在触发国家安全审查的情形；
(6) whether a Record Filing Acknowledgement has been forged, altered, leased out, lent out or transferred; or
(六)是否伪造、变造、出租、出借、转让《备案回执》；
(7) whether or not an administrative penalty decision rendered by the competent commerce department has been performed.
(七)是否履行商务主管部门作出的行政处罚决定。
Article 20: During an inspection, the competent commerce department may review relevant materials in accordance with the law or require that the party being inspected provide the same, and the party being inspected shall truthfully provide the same.
第二十条 检查时，商务主管部门可以依法查阅或者要求被检查人提供有关材料，被检查人应当如实提供。
Article 21: When the competent commerce department conducts an inspection, it may not hinder the normal production and operating activities of the party being inspected, accept property or services offered by the party being inspected or seek other unlawful benefits.
第二十一条 商务主管部门实施检查不得妨碍被检查人正常的生产经营活动，不得接受被检查人提供的财物或者服务，不得谋取其他非法利益。
Article 22: Information reflecting the integrity position of the foreign-invested enterprise or its investors to which the competent commerce department and the other competent departments are privy in the course of a monitoring inspection shall be recorded in the foreign investment integrity file system of the Ministry of Commerce. Where a foreign-invested enterprise or its investors fail(s) to carry out record filing procedures in accordance herewith, its/their record filing is fraudulent, it/they forge(s), alter(s), lease(s) out, lend(s) or transfer(s) the Record Filing Acknowledgement, fail(s) to cooperate in a monitoring inspection or refuse(s) to perform an administrative penalty decision rendered by the competent commerce department, the competent commerce department shall publish the relevant integrity information on the platform for publication of foreign investment information of the Ministry of Commerce.
第二十二条 商务主管部门和其他主管部门在监督检查中掌握的反映外商投资企业或其投资者诚信状况的信息，应记入商务部外商投资诚信档案系统。其中，对于未按本办法规定进行备案，备案不实，伪造、变造、出租、出借、转让《备案回执》，对监督检查不予配合或拒不履行商务主管部门作出的行政处罚决定的，商务主管部门应将相关诚信信息通过商务部外商投资信息公示平台予以公示。
The Ministry of Commerce shall share the integrity information of foreign-invested enterprises and their investors with relevant departments.
商务部与相关部门共享外商投资企业及其投资者的诚信信息。
The integrity information published or shared by the competent commerce department in accordance with the two preceding paragraphs may not contain private personal information or trade secrets of the foreign-invested enterprise or its investors, or state secrets.
商务主管部门依据前二款公示或者共享的诚信信息不得含有外商投资企业或其投资者的个人隐私、商业秘密，或国家秘密。
Article 23: A foreign-invested enterprise and its investors may check their own integrity information on the foreign investment integrity file system of the Ministry of Commerce and if it/they deem the record of the relevant information to be incomplete or to contain errors, it/they may provide the relevant supporting documentation and apply to the competent commerce department for correction thereof. If, following a check, the same is ascertained to be true, the information shall be corrected.
第二十三条 外商投资企业及其投资者可以查询商务部外商投资诚信档案系统中的自身诚信信息，如认为有关信息记录不完整或者有错误的，可以提供相关证明材料并向商务主管部门申请修正。经核查属实的，予以修正。
A bad faith record arising as a result of a violation hereof shall be expunged by the competent commerce department if, within three years after the foreign-invested enterprise or its investors remedied the violation of the law and performed the relevant obligations, it/they has not committed a further violation hereof.
对于违反本办法而产生的不诚信记录，在外商投资企业或其投资者改正违法行为、履行相关义务后3年内未再发生违反本办法行为的，商务主管部门应移除该不诚信记录。
Part Four: Legal Liability
第四章 法律责任
Article 24: If a foreign-invested enterprise or its investors violate(s) these Measures by failing to punctually perform its/their record filing obligation or by making a material omission when carrying out record filing, the competent commerce department shall order it/them to rectify the matter within a specified period of time. If it/they fail(s) to do so, or if the circumstances are serious, a fine of up to Rmb30,000 shall be imposed.
第二十四条 外商投资企业或其投资者违反本办法的规定，未能按期履行备案义务，或在进行备案时存在重大遗漏的，商务主管部门应责令限期改正；逾期不改正，或情节严重的，处3万元以下罚款。
If a foreign-invested enterprise or its investors violate(s) these Measures by evading the performance of its/their record filing obligation, withholding true information or providing misleading or false information when carrying out record filing, or forging, altering, leasing out, lending or transferring a Record Filing Acknowledgement, the competent commerce department shall order it/them to rectify the matter within a specified period of time and impose a fine of up to Rmb30,000. If another law or set of regulations is/are violated, the relevant department shall pursue its/their corresponding legal liability.
外商投资企业或其投资者违反本办法的规定，逃避履行备案义务，在进行备案时隐瞒真实情况、提供误导性或虚假信息，或伪造、变造、出租、出借、转让《备案回执》的，商务主管部门应责令限期改正，并处3万元以下罚款。违反其他法律法规的，由有关部门追究相应法律责任。
Article 25: Where a foreign-invested enterprise or its investors engage(s) in investment and operational activities in a sector in which investment is restricted as per the implementation of the special administrative measures for access specified by the state without having undergone examination and approval, the competent commerce department shall order it/them to rectify the matter within a specified period of time and impose a fine of up to Rmb30,000. If another law or set of regulations is/are violated, the relevant department shall pursue its/their corresponding legal liability.
第二十五条 外商投资企业或其投资者未经审批在国家规定实施准入特别管理措施所列的限制投资领域开展投资经营活动的，商务主管部门应责令限期改正，并处3万元以下罚款。违反其他法律法规的，由有关部门追究相应法律责任。
Article 26: Where a foreign-invested enterprise or its investors engage(s) in investment and operational activities in a sector in which investment is prohibited as per the implementation of special administrative measures for access specified by the state, the competent commerce department shall order it/them to rectify the matter within a specified period of time and impose a fine of up to Rmb30,000. If it/they violate another law or set of regulations, the relevant department shall pursue its/their corresponding legal liability.
第二十六条 外商投资企业或其投资者在国家规定实施准入特别管理措施所列的禁止投资领域开展投资经营活动的，商务主管部门应责令限期改正，并处3万元以下罚款。违反其他法律法规的，由有关部门追究相应法律责任。
Article 27: If a foreign-invested enterprise or its investors evade(s), refuse(s) or otherwise impede(s) a monitoring inspection by the competent commerce department, the competent commerce department shall order it/them to rectify the matter and impose a fine of up to Rmb10,000.
第二十七条 外商投资企业或其投资者逃避、拒绝或以其他方式阻挠商务主管部门监督检查的，由商务主管部门责令改正，可处1万元以下的罚款。
Article 28: If a member of the relevant working personnel abuses his/her authority, is derelict in his/her duties, practices favoritism by committing fraud or solicits or accepts a bribe in the course of record filing or oversight, he or she shall be subjected to administrative sanctions in accordance with the law. If a criminal offense is constituted, his/her criminal liability shall be pursued in accordance with the law.
第二十八条 有关工作人员在备案或监督管理的过程中滥用职权、玩忽职守、徇私舞弊、索贿受贿的，依法给予行政处分；构成犯罪的，依法追究刑事责任。
Part Five: Supplementary Provisions
第五章 附则
Article 29: Where a competent commerce department has accepted the application for the establishment of, or a change in, a foreign-invested enterprise before the implementation hereof, but has not completed the examination and approval procedure and such establishment or change falls within the scope of record filing, it shall terminate the examination and approval procedures and the foreign-invested enterprise or its investors shall carry out record filing procedures in accordance herewith.
第二十九条 本办法实施前商务主管部门已受理的外商投资企业设立及变更事项，未完成审批且属于备案范围的，审批程序终止，外商投资企业或其投资者应按照本办法办理备案手续。
Article 30: If a foreign investment matter involves an anti-monopoly review, the same shall be handled in accordance with relevant provisions.
第三十条 外商投资事项涉及反垄断审查的，按相关规定办理。
Article 31: If a foreign investment matter involves a national security review, the same shall be handled in accordance with relevant provisions. If a record filing authority, when carrying out record filing procedures or conducting a monitoring inspection, deems that the foreign investment matter may fall within the scope of a national security review and the investors of the foreign-invested enterprise failed to submit an application to the Ministry of Commerce for a national security review, the record filing authority shall inform the investors in a timely manner to submit an application for a security review to the Ministry of Commerce, suspend the relevant procedures and report relevant matters to the Ministry of Commerce.
第三十一条 外商投资事项涉及国家安全审查的，按相关规定办理。备案机构在办理备案手续或监督检查时认为该外商投资事项可能属于国家安全审查范围，而外商投资企业的投资者未向商务部提出国家安全审查申请的，备案机构应及时告知投资者向商务部提出安全审查申请，并暂停办理相关手续，同时将有关情况报商务部。
Article 32: Investment-type foreign-invested enterprises (including companies with an investment nature and venture capital firms) are deemed foreign investors and shall be governed by these Measures.
第三十二条 投资类外商投资企业(包括投资性公司、创业投资企业)视同外国投资者，适用本办法。
Article 33: Where the investment of an investor from the Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan does not involve the implementation of the special administrative measures for access specified by the state, matters shall be handled with reference hereto.
第三十三条 香港特别行政区、澳门特别行政区、台湾地区投资者投资不涉及国家规定实施准入特别管理措施的，参照本办法办理。
Article 34: Where in the Mainland a Hong Kong service provider only invests in a service trade sector open to Hong Kong pursuant to the Agreement on Trade in Services under the Mainland and Hong Kong Closer Economic Partnership Arrangement or in the Mainland a Macao service provider only invests in a service trade sector open to Macao pursuant to the Agreement on Trade in Services under the Mainland and Macao Closer Economic Partnership Arrangement, the record filing of the establishment of, and changes in, his/her/its company shall be handled in accordance with the Measures for the Administration of the Record Filing of the Mainland Investments of Hong Kong and Macao Service Providers (Trial Implementation).
第三十四条 香港服务提供者在内地仅投资《〈内地与香港关于建立更紧密经贸关系的安排〉服务贸易协议》对香港开放的服务贸易领域，澳门服务提供者在内地仅投资《〈内地与澳门关于建立更紧密经贸关系的安排〉服务贸易协议》对澳门开放的服务贸易领域，其公司设立及变更的备案按照《港澳服务提供者在内地投资备案管理办法(试行)》办理。
Article 35: If ministerial rules or regulations or a relevant document promulgated by the Ministry of Commerce before the entry into effect hereof are or is inconsistent with these Measures, these Measures shall prevail.
第三十五条 商务部于本办法生效前发布的部门规章及相关文件与本办法不一致的，适用本办法。
Article 36: The relevant authorities of pilot free trade zones and national economic and technological development zones shall conduct monitoring inspections of the compliance with these Measures by foreign-invested enterprises and their investors within their zones in accordance with Part Three and Four hereof.
三十六条 自由贸易试验区、国家级经济技术开发区的相关机构依据本办法第三章和第四章，对本区域内的外商投资企业及其投资者遵守本办法情况实施监督检查。
Article 37: These Measures shall be effective as of the date of promulgation. The Measures for the Administration of the Record Filing of Foreign Investment in Pilot Free Trade Zones (Trial Implementation) (Announcement of the Ministry of Commerce No.12 of 2015) shall be repealed simultaneously.
第三十七条 本办法自公布之日起施行。《自由贸易试验区外商投资备案管理办法(试行)》(商务部公告2015年第12号)同时废止。
Attachments:
附件：
1. Form for Record Filing of the Establishment of a Foreign-invested Enterprise (omitted)
1、外商投资企业设立备案申报材料 (略)
2. Form for a Change to the Record Filing of a Foreign-invested Enterprise (omitted)
2、外商投资企业变更备案申报材料 (略)
3. Acknowledgement of Record Filing of the Establishment of a Foreign-invested Enterprise (omitted)
3、外商投资企业设立备案回执 (略)
4. Acknowledgement of a Change to the Record Filing of a Foreign-invested Enterprise (omitted)
clp reference:2330/18.06.29 promulgated:2018-06-29 effective:2018-06-304、外商投资企业变更备案回执 (略)
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