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).

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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.

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

中文：外商投資商業(yè)企業(yè)試點辦法

第一條 為進一步擴大對外開放，促進商業(yè)企業(yè)的改革和發(fā)展，推動國內(nèi)市場建設，使擴大商業(yè)領域利用外商投資試點健康有序地進行，根據(jù)《中華人民共和國中外合資經(jīng)營企業(yè)法》和《中華人民共和國中外合作經(jīng)營企業(yè)法》等有關法律、法規(guī)，制定本辦法。

第二條 本辦法適用于外國公司、企業(yè)同中國公司、企業(yè)在中國境內(nèi)設立中外合資或合作商業(yè)企業(yè)（以下簡稱合營商業(yè)企業(yè)）。暫不允許外商獨資設立商業(yè)企業(yè)。

第三條 設立的合營商業(yè)企業(yè)必須符合所在城市的商業(yè)發(fā)展規(guī)劃，能夠引進國際上先進的營銷技術和管理經(jīng)驗，促進國內(nèi)商業(yè)現(xiàn)代化，帶動國內(nèi)產(chǎn)品出口，產(chǎn)生良好的經(jīng)濟效益和社會效益。

第四條 設立合營商業(yè)企業(yè)的地區(qū)由國務院規(guī)定，目前暫限于省會城市、自治區(qū)首府、直轄市、計劃單列市和經(jīng)濟特區(qū)（以下簡稱試點地區(qū)）。

第五條 合營商業(yè)企業(yè)的投資者應具備以下條件：

（一） 外國合營者或外國合營者中的主要合營者（以下簡稱外國合營者）應為具有較強的經(jīng)濟實力、先進的商業(yè)經(jīng)營管理經(jīng)驗和營銷技術、廣泛的國際銷售網(wǎng)絡、良好的信譽和經(jīng)營業(yè)績的企業(yè)，且能夠通過擬設立的合營商業(yè)企業(yè)帶動中國產(chǎn)品出口。

申請設立從事零售業(yè)務的合營商業(yè)企業(yè)的外國合營者，申請前3年年均商品銷售額應在20億美元以上，申請前1年資產(chǎn)額應在2億美元以上。

申請設立從事批發(fā)業(yè)務的合營商業(yè)企業(yè)的外國合營者，申請前3年年均商品批發(fā)額應在25億美元以上，申請前1年資產(chǎn)額應在3億美元以上。

（二） 中國合營者或中國合營者中的主要合營者（以下簡稱中國合營者）應為具有較強經(jīng)濟實力和經(jīng)營能力的流通企業(yè)，申請前1年的資產(chǎn)額應在5000萬元（中西部地區(qū)3000萬元）人民幣以上。其中，中國合營者為商業(yè)企業(yè)的，申請前3年年均銷售額應在3億元（中西部地區(qū)2億元）人民幣以上；為外貿(mào)企業(yè)的，申請前3年年均自營進出口額應在5000萬美元以上（其中出口額不低于3000萬美元）。

第六條 合營商業(yè)企業(yè)應符合以下條件：

（一） 符合中國有關法律、法規(guī)及有關規(guī)定；

（二） 符合所在城市商業(yè)發(fā)展規(guī)劃；

（三） 從事零售業(yè)務的合營商業(yè)企業(yè)的注冊資本不低于5000萬元人民幣，中西部地區(qū)不低于3000萬元人民幣；從事批發(fā)業(yè)務的合營商業(yè)企業(yè)的注冊資本不低于8000萬元人民幣，中西部地區(qū)不低于6000萬元人民幣；

（四） 采取3家以上分店連鎖方式經(jīng)營的合營商業(yè)企業(yè)（便民店、專業(yè)店和專賣店除外），中國合營者出資比例應達到51%以上；其中對合營商業(yè)企業(yè)本身經(jīng)營情況較好，外國合營者已從國內(nèi)大量采購產(chǎn)品，并能借助外國合營者的國際營銷網(wǎng)絡，進一步擴大國內(nèi)產(chǎn)品出口的合營連鎖商業(yè)企業(yè)，經(jīng)國務院批準后，可允許外國合營者控股；

開設3家以下分店（包括3家）的合營商業(yè)企業(yè)和連鎖方式經(jīng)營的便民店、專業(yè)店、專賣店，中國合營者出資比例應不低于35%；

從事批發(fā)業(yè)務（包括零售企業(yè)兼營批發(fā)業(yè)務）的合營商業(yè)企業(yè)，中國合營者出資比例應達到51%以上；

（五） 合營商業(yè)企業(yè)的分店只限于中外雙方直接投資、直接經(jīng)營的直營連鎖形式，暫不允許發(fā)展自由連鎖、特許連鎖等其它連鎖形式；

（六） 經(jīng)營年限不超過30年，中西部地區(qū)不超過40年。

第七條 外國合營者與合營商業(yè)企業(yè)簽定商標、商號使用許可合同、技術轉(zhuǎn)讓合同的，外國合營者提取的相關費用總計不得超過合營商業(yè)企業(yè)當年銷售額（不包括增值稅）的0．3%，提取年限不超過10年。

第八條 設立合營商業(yè)企業(yè)按照以下程序辦理：

中國合營者向所在試點地區(qū)經(jīng)濟貿(mào)易委員會（經(jīng)濟委員會、計劃與經(jīng)濟委員會，下同）報送可行性研究報告（代項目建議書）及有關文件，試點地區(qū)經(jīng)濟貿(mào)易委員會會同內(nèi)貿(mào)主管部門按規(guī)定程序報國家經(jīng)濟貿(mào)易委員會。國家經(jīng)濟貿(mào)易委員會征求對外貿(mào)易經(jīng)濟合作部意見后審批。

可行性研究報告（代項目建議書）經(jīng)批準后，由試點地區(qū)外經(jīng)貿(mào)部門按規(guī)定程序向?qū)ν赓Q(mào)易經(jīng)濟合作部上報合同、章程，對外貿(mào)易經(jīng)濟合作部對合同、章程予以審批。

獲得批準設立的合營商業(yè)企業(yè)，應自收到批準證書之日起1個月之內(nèi)，憑對外貿(mào)易經(jīng)濟合作部頒發(fā)的《外商投資企業(yè)批準證書》，到國家工商行政管理部門辦理注冊登記手續(xù)。

第九條 申請設立合營商業(yè)企業(yè)，應報送下列文件：

（一） 可行性研究申報文件

1. 合營各方共同編制的可行性研究報告（代項目建議書）；

2. 合營各方的銀行資信證明、登記注冊證明（復印件）、法定代表人證明（復印件）；

3. 合營各方經(jīng)會計師事務所審計的最近3年的年度資產(chǎn)負債表和損益表；

4. （如果中國合營者以國有資產(chǎn)投資）國有資產(chǎn)管理部門對中方擬投入國有資產(chǎn)的評估報告確認文件；

5. 擬設立合營商業(yè)企業(yè)經(jīng)營的商品種類；

6. 其他有關文件。

（二） 合同、章程申報文件

1. 可行性研究申報文件及其批準文件；

2. 由合營各方授權代表簽署的擬設立合營商業(yè)企業(yè)的合同、章程；

3. 進出口商品目錄；

4. 擬設立合營商業(yè)企業(yè)董事會成員名單及合營各方董事委派書；

5. 國家工商行政管理局出具的企業(yè)名稱預先核準通知書；

6. 其他有關文件。

第十條 國有流通企業(yè)投資設立合營商業(yè)企業(yè)的，須按《國有資產(chǎn)評估管理辦法》的規(guī)定，由國有資產(chǎn)管理部門確認的評估機構，對國有流通企業(yè)投入的有形和無形資產(chǎn)進行科學、公正的評估。評估結(jié)果經(jīng)省級以上國有資產(chǎn)管理部門確認后，作為投入國有資產(chǎn)作價的依據(jù)。

第十一條 已設立合營商業(yè)企業(yè)申請兼營批發(fā)業(yè)務、開設分店、更改合營方，對外貿(mào)易經(jīng)濟合作部征得國家經(jīng)濟貿(mào)易委員會同意后予以審批；已設立合營商業(yè)企業(yè)的其他變更，按現(xiàn)行外商投資企業(yè)的有關規(guī)定，報原審批機關審批。報批時合營商業(yè)企業(yè)需提交以下文件：

（一） 申請報告；

（二） 企業(yè)經(jīng)營狀況報告；

（三） 企業(yè)驗資報告；

（四） 企業(yè)出口情況報告及證明文件；

（五） 董事會有關決議；

（六） 合同、章程修改協(xié)議；

（七） 其它有關文件。

企業(yè)應自修改后的合同、章程批準之日起1個月內(nèi)向國家工商行政管理部門辦理登記變更等手續(xù)。

第十二條 合營商業(yè)企業(yè)的經(jīng)營范圍：

（一） 從事零售業(yè)務的合營商業(yè)企業(yè)的經(jīng)營范圍

1. 商業(yè)零售（包括代銷、寄售）經(jīng)營；

2. 組織國內(nèi)產(chǎn)品出口業(yè)務；

3. 自營商品的進出口業(yè)務；

4. 經(jīng)營相關的配套服務。

（二） 經(jīng)營批發(fā)業(yè)務的合營商業(yè)企業(yè)的經(jīng)營范圍。國內(nèi)商品和自營進口商品的國內(nèi)批發(fā)，組織國內(nèi)產(chǎn)品出口。

第十三條 從事零售業(yè)務的合營商業(yè)企業(yè)經(jīng)批準可兼營批發(fā)業(yè)務。

第十四條 合營商業(yè)企業(yè)不得從事商品進出口代理業(yè)務。

第十五條 合營商業(yè)企業(yè)經(jīng)營國家有特殊規(guī)定的商品以及涉及配額、許可證管理的進出口商品，應按國家有關規(guī)定辦理審批手續(xù)。合營商業(yè)企業(yè)年度商品進口總額不得超過本企業(yè)當年商品銷售額的30%。

第十六條 合營商業(yè)企業(yè)應遵守中華人民共和國法律、法規(guī)，受中國法律、法規(guī)管轄，其正當經(jīng)營活動及合法權益受中國法律、法規(guī)的保護。合營商業(yè)企業(yè)如有違反中國法律、法規(guī)的行為，按中國有關法律、法規(guī)處理。

第十七條 各地要嚴格按本辦法規(guī)定設立合營商業(yè)企業(yè)。違反本辦法規(guī)定的，由國家經(jīng)濟貿(mào)易委員會、對外貿(mào)易經(jīng)濟合作部會同國家工商行政管理局進行查處。各地經(jīng)濟貿(mào)易委員會、外經(jīng)貿(mào)部門要會同有關部門及時跟蹤試點情況，認真總結(jié)試點經(jīng)驗，妥善解決試點中出現(xiàn)的問題。

第十八條 國家經(jīng)濟貿(mào)易委員會、對外貿(mào)易經(jīng)濟合作部、國家工商行政管理局或其授權機構依法對外商投資商業(yè)企業(yè)進行監(jiān)督和管理。

第十九條 香港特別行政區(qū)、澳門、臺灣地區(qū)的投資者在祖國大陸投資設立合營商業(yè)企業(yè)，參照本辦法執(zhí)行。

第二十條 本辦法由國家經(jīng)濟貿(mào)易委員會、對外貿(mào)易經(jīng)濟合作部負責解釋。

第二十一條 本辦法自發(fā)布之日起施行。

國家經(jīng)濟貿(mào)易委員會、對外貿(mào)易經(jīng)濟合作部 1999年6月25日 頒布