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并购审查规定

典文翻译的中国法规。
商务部实施外国投?#25910;?#24182;购境内企业安全审查制度的规定
英语译文
Regulations of the Ministry of Commerce on the Implementation of the Security Review System for Merger with and Acquisition of Domestic Enterprises by Foreign Investors

Public Announcement of the Ministry of Commerce No. 53 of 2011

In accordance with the Notice of the General Office of the State Council on the Establishment of a Security Review System for Merger with or Acquisition of Domestic Enterprises by Foreign Investors (Guobanfa [2011] No. 6) and the relevant laws and regulations on foreign investment and based on comprehensively soliciting public opinions, we improved the Interim Regulations of the Ministry of Commerce on Matters Relating to the Implementation of the Security Review System for Merger with and Acquisition of Domestic Enterprises by Foreign Investors (Public Announcement of the Ministry of Commerce No. 8 of 2011) into the Regulations of the Ministry of Commerce on the Implementation of the Security Review System for Merger with and Acquisition of Domestic Enterprises by Foreign Investors, which is hereby promulgated and shall be put into force as of September 1, 2011.

Ministry of Commerce of the People’s Republic of China

August 25, 2011

Regulations of the Ministry of Commerce on the Implementation of the Security Review System for Merger with and Acquisition of Domestic Enterprises by Foreign Investors

Article 1 If any merger with or acquisition of any domestic enterprise falls in the scope of M&A Security Review as defined in the Notice of the General Office of the State Council on the Establishment of a Security Review System for Merger with or Acquisition of Domestic Enterprises by Foreign Investors, the foreign investor shall file an application for M&A Security Review with the Ministry of Commerce.

Two or more than two foreign investors that jointly participate in an M&A transaction may jointly or designate one foreign investor (hereinafter referred to as “the Applicant”) to file an application for M&A Security Review with the Ministry of Commerce.

Article 2 In accepting and handling the applications for M&A transactions pursuant to the Regulations on Merger with and Acquisition of Domestic Enterprises by Foreign Investors, Several Provisions on Changes in Equity Interest of Investors in Foreign-invested Enterprises, the Interim Provisions on the Domestic Investment of Foreign-funded Enterprises and other relevant provisions, with respect to any projects that fall in the scope of M&A Security Review but for which the Applicant fails to file an application for M&A Security Review with the Ministry of Commerce, the local departments of commerce shall suspend handling the applications for such M&A transactions, require in writing, within five working days, the Applicant to submit an application for M&A Security Review to the Ministry of Commerce, and report the relevant circumstances to the Ministry of Commerce.

Article 3 If relevant departments of the State Council, national industrial associations, enterprises of the same industry and upstream and downstream enterprises hold that any merger with or acquisition of a domestic enterprise by a foreign investor shall be subject to M&A Security Review, they may propose an M&A Security Review to be carried out, and submit a description of relevant circumstances (including the basic information of the M&A transaction, specific impact on national security and so forth). If such transaction falls in the scope of M&A Security Review, the Ministry of Commerce will, within 5 working days, submit such proposal to the Joint Meeting. If the Joint Meeting deems it absolutely necessary to carry out M&A Security Review, the Ministry of Commerce will, in accordance with the decision of the Joint Meeting, require the foreign investor to file an application for M&A Security Review pursuant to these regulations.

Article 4 Prior to filing a formal application for M&A Security Review with the Ministry of Commerce, the Applicant may make a request to the Ministry of Commerce for discussion over the procedural issues relating to its merger with or acquisition of the domestic enterprise, so as to communicate relevant matters in advance. Such request for discussion shall not be the procedure required for submission of formal application, and the discussion shall not be binding and legally valid, and shall not constitute the basis for submission of formal application.

Article 5 When filing a formal application for M&A Security Review with the Ministry of Commerce, the Applicant shall submit the following documents:

(1) The application for M&A Security Review signed by the legal representative or authorized representative of the Applicant and a description of the transaction;

(2) A notarized and lawfully authenticated copy of the identity certificate or registration certificate and creditworthiness certificate of the foreign investor; the identity certificate of the legal representative or the power of attorney for and the identity certificate of the authorized representative of the foreign investor;

(3) A description of the status of the foreign investor and its affiliated enterprises (including its actual controllers, and persons acting in concert), and a description of its relationship with the governments of relevant countries;

(4) A description of the status, the articles of association, business license (photocopy), audited financial statement of the preceding year, and organizational structure before and after the M&A of the target domestic enterprise, and a description and the business license (photocopy) of the invested enterprises;

(5) The contract, articles of association or partnership agreement of the foreign-invested enterprise to be established after the M&A transaction and the list of senior management personnel including the directors appointed by the shareholders, the general manager employed or the partners;

(6) With respect to equity acquisition transactions, the following documents shall be submitted: the equity transfer agreement or the agreement on the subscription of the increased registered capital of the domestic enterprise by the foreign investor, the shareholders’ resolution and shareholders’ meeting resolution of the target domestic enterprise, and corresponding asset appraisal reports;

(7) With respect to asset acquisition transactions, the following documents shall be submitted: the resolution on the agreement by the organ of authority or title holder of the domestic enterprise to sell the assets, the asset purchase agreement (including the list and status of the assets to be purchased), a description of the parties to the agreement, and corresponding asset appraisal reports;

(8) A description of the impact of the voting rights enjoyed by the foreign investor after the M&A transaction on the implementation of resolutions of shareholder meetings, board meetings and partnership matters, a description of other factors that cause the de facto power of the domestic enterprise including business decision-making, financial affairs, personnel and technology to be transferred to the foreign investor or its affiliated enterprises within and outside of China, and any agreements or documents relating to the foregoing circumstances; and

(9) Other documents required by the Ministry of Commerce.

6 If the application documents for M&A Security Review submitted by the Applicant are complete and meet the statutory requirements, the Ministry of Commerce shall send a written notice to the Applicant, stating that the application has been accepted.

If any transaction falls in the scope of M&A Security Review, the Ministry of Commerce shall inform the Applicant of the same within 15 working days, and shall, within 5 working days thereafter, request the Interdepartmental Joint Security Review Meeting for Merger with and Acquisition of Domestic Enterprises by Foreign Investors (hereinafter referred to as “the Joint Meeting”) to carry out review thereof.

Within 15 working days after the written notice on the acceptance of the application has been sent to the Applicant, the Applicant shall not carry out the M&A transaction, and the local department of commerce shall not examine and approve the M&A transaction. If the Ministry of Commerce fails to send a written notice to the Applicant after 15 working days, the Applicant may handle relevant formalities in accordance with relevant State laws and regulations.

Article 7 After receipt of the written review opinions from the Joint Meeting, the Ministry of Commerce will notify the Applicant (or the concerned parties) of the review opinions within 5 working days and the local departments of commerce in charge of the administration of M&A transactions.

(1) With respect to any transactions that have no impact on national security, the Applicant may handle the formalities for the M&A transactions with relevant departments with corresponding authority pursuant to the Regulations on Merger with and Acquisition of Domestic Enterprises by Foreign Investors, Several Provisions on Changes in Equity Interest of Investors in Foreign-invested Enterprises, Interim Regulations on Domestic Investment by Foreign-invested Enterprises and relevant provisions.

(2) With respect to any transactions that have impact on national security and have not been carried out, the transaction shall be terminated by the parties. the Applicant shall not apply for and carry out the M&A transactions without adjusting the M&A transaction, revising the application documents and receiving new review.

(3) If the merger with or acquisition of a domestic enterprise by the foreign investor has caused or may cause a major impact on national security, the Ministry of Commerce will, in accordance with the review opinions of the Joint Meeting and in collaboration with relevant departments, terminate the transactions of the parties, or take effective measures for relevant equity or asset transfer or otherwise in order to eliminate the impact of such M&A on national security.

Article 8 After the Ministry of Commerce has requested the Joint Meeting for review, if the Applicant revises relevant content in the application documents, cancels the M&A transaction, or provide additional materials or revise materials as required by the Joint Meeting, the Applicant shall submit relevant documents to the Ministry of Commerce. The Ministry of Commerce will, within 5 working after receipt the application reports and relevant documents, submit the same to the Joint Meeting.

Article 9 With respect to merger with or acquisition of domestic enterprise by the foreign investor, the M&A transaction shall be analyzed based on its substantial contents and actual impact, so as to determine whether it falls in the scope of M&A security review; the foreign investor shall not substantially avoid M&A security review in any way, including but not limited to holding shares on behalf of others, trust, re-investment at multiple levels, lease, loan, control through agreement and overseas transaction.

Article 10 If any application for the merger with or acquisition of a domestic enterprise by a foreign investor fails to be submitted to the Joint Meeting for review, or the Joint Meeting concludes upon review that such transaction will not have any impact on national security, and if, thereafter, such transaction falls in the scope of M&A Security Review as set forth in the Notice of the General Office of the State Council on the Establishment of a Security Review System for Merger with or Acquisition of Domestic Enterprises by Foreign Investors due to such factors as M&A transaction adjustment, amendment to relevant agreements or documents, change in operating activities and other changes (including change in the overseas actual controller), the concerned parties shall cease the relevant transaction and activity, and the foreign investor shall file an application for M&A Security Review with the Ministry of Commerce pursuant to these Regulations.

Article 11 The competent departments of commerce, relevant entities and persons participating in M&A Security Review shall bear the obligation of confidentiality regarding the State secrets, business secrets and other confidential information in M&A Security Review.

Article 12 These Regulations shall become effective as of September 1, 2011.

原文:

商务部实施外国投?#25910;?#24182;购境内企业安全审查制度的规定

商务部公告2011年第53

根据《国务院办公厅关于建立外国投?#25910;?#24182;购境内企业安全审查制度的通知》(国办发[2011]6号)以及外商投资相关法律法规,在广泛征求公众意见的基础上,我部对?#28193;?#21153;部实施外国投?#25910;?#24182;购境内企业安全审查制度有关事项的暂行规定》(商务部公告2011年第8号)进行了完善,形成了?#28193;?#21153;部实施外国投?#25910;?#24182;购境内企业安全审查制度的规定》。现予以公布,自201191日起实施。

中华人民共和国商务部

二〇一一年八月二十五日

商务部实施外国投?#25910;?#24182;购境内企业安全审查制度的规定

第一条 外国投?#25910;?#24182;购境内企业,属于《国务院办公厅关于建立外国投?#25910;?#24182;购境内企业安全审查制度的通知》明确的并购安全审查范围的,外国投?#25910;?#24212;向商务部提出并购安全审查申请。

两个或者两个以上外国投?#25910;?#20849;同并购的,可以共同或?#33539;?#19968;个外国投?#25910;?/span>(以下简称申请人)向商务部提出并购安全审查申请。

第二条 地方商务主管部门在按照《关于外国投?#25910;?#24182;购境内企业的规定》、《外商投资企业投?#25910;?#32929;权变更的若干规定》、《关于外商投资企业境内投资的暂行规定》等有关规定受理并购交易申请时,对于属于并购安全审查范围,但申请?#23435;?#21521;商务部提出并购安全审查申请的,应暂停办理,并在5个工作日内书面要求申请?#35772;?#21830;务部提交并购安全审查申请,同时将有关情况报商务部。

第三条 外国投?#25910;?#24182;购境内企业,国务院有关部门、全国性行业协会、同业企业及上下游企业认为需要进行并购安全审查的,?#19978;?#21830;务部提出进行并购安全审查的建议,并提交有关情况的说明(包括并购交易基本情况、对国家安全的具体影响等),商务部可要求利益相关方提交有关说明。属于并购安全审查范围的,商务部应在5个工作日内将建议提交联席会议。联席会议认为确有必要进行并购安全审查的,商务部根据联席会议决定,要求外国投?#25910;?#25353;本规定提交并购安全审查申请。

第四条 在向商务部提出并购安全审查正式申请前,申请人可就其并购境内企业的程序性问题向商务部提出商谈申请,提前沟通有关情况。该预约商谈不是提交正式申请的必经程序,商谈情况不具有约束力和法律效力,不作为提交正式申请的依据。

第五条 在向商务部提出并购安全审查正式申请时,申请人应提交下列文件:

 ()经申请人的法定代表人或其授权代表签署的并购安全审查申请书和交易情况说明;

 ()经公证和依法认证的外国投?#25910;?#36523;份证明或注册登记证明及资信证明文件;法定代表人身份证明或外国投?#25910;?#30340;授权代表委托书、授权代表身份证明;

 ()外国投?#25910;?#21450;关联企业(包括其实际控制人、一致行动人)的情况说明,与相关国家政府的关系说明;

 ()被并购境内企业的情况说明、章程、营业执照(复印件)、上一年度经审计的财务报表、并购前后组织架构图、所投资企业的情况说明和营业执照(复印件)

 ()并购后拟设立的外商投资企业的合同、章程或合伙协议以及拟由股东各方委任的董事会成员、聘用的总经理或合伙人等高级管理人员名单;

 ()为股权并购交易的,应提交股权转让协议或者外国投?#25910;?#35748;购境内企业增资的协议、被并购境内企业股东决议、股东大会决议,以及相应资产评估报告;

 ()为资产并购交易的,应提交境内企业的权力机构或产权持有人同意出售资产的决议、资产购买协议(包括拟购买资产的清单、状况)、协议各方情况,以及相应资产评估报告;

 ()关于外国投?#25910;?#22312;并购后所享有的表决权对股东会或股东大会、董事会决议、合伙事务执行的影响说明,其他导致境内企业的经营决策、财务、人事、?#38469;?#31561;实际控制权转?#32856;?#22806;国投?#25910;?#25110;其境内外关联企业的情况说明,以及与上述情况相关的协议或文件;

 ()商务部要求的其他文件。

第六条 申请人所提交的并购安全审查申请文件完备且符合法定要求的,商务部应书面通知申请人受理申请。

属于并购安全审查范围的,商务部在15个工作日内书面告知申请人,并在其后5个工作日内提请外国投?#25910;?#24182;购境内企业安全审查部际联席会议(以下简称联席会议)进行审查。

自书面通知申请人受理申请之日起的15个工作日内,申请人不得实施并购交易,地方商务主管部门不得审批并购交易。15个工作日后,商务部未书面告知申请人的,申请人可按照国家有关法律法规办理相关?#20013;?/span>

第七条 商务部收到联席会议书面审查意见后,在5个工作日内将审查意见书面通知申请人(或当事人),以及负责并购交易管理的地方商务主管部门。

 ()对不影响国家安全的,申请人可按照《关于外国投?#25910;?#24182;购境内企业的规定》、《外商投资企业投?#25910;?#32929;权变更的若干规定》、《关于外商投资企业境内投资的暂行规定》等有关规定,到具有相应管理权限的相关主管部门办理并购交?#36164;中?/span>

 ()对可能影响国家安全且并购交易?#24418;?#23454;施的,当事人应当终止交易。申请?#23435;?#32463;调整并购交易、修改申报文件并经重?#24459;?#26597;,不得申请并实施并购交易。

 ()外国投?#25910;?#24182;购境内企业行为对国家安全已经造成或可能造成重大影响的,根据联席会议审查意见,商务部会同有关部门终止当事人的交易,或采取转让相关股权、资产或其他有效措施,以消除该并购行为对国家安全的影响。

第八条 在商务部向联席会议提交审查后,申请人修改申报文件、撤销并购交易或应联席会议要求补交、修改材?#31995;模?#24212;向商务部提交相关文件。商务部在收到申请报告及有关文件后,于5个工作日内提交联席会议。

第九条 对于外国投?#25910;?#24182;购境内企业,应从交易的实质内容和实际影响来判断并购交?#36164;?#21542;属于并购安全审查的范围;外国投?#25910;?#19981;得以任何方式实质规避并购安全审查,包括但不限于代持、信托、多层次再投资、租赁、贷款、协议控制、境外交易?#30830;?#24335;。

第十条 外国投?#25910;?#24182;购境内企业未被提交联席会议审查,或联席会议经审查认为不影响国家安全的,若此后发生调整并购交易、修改有关协议文件、改变经营活动以及其他变化(包括境外实际控制人的变化等),导致该并购交?#36164;?#20110;《国务院办公厅关于建立外国投?#25910;?#24182;购境内企业安全审查制度的通知》明确的并购安全审查范围的,当事人应当停止有关交易和活动,由外国投?#25910;?#25353;照本规定向商务部提交并购安全审查申请。

第十一条 参与并购安全审查的商务主管部门、相关单位和人员应对并购安全审查中的国家秘密、商业秘密及其他需要保密的信息承担保密义务。

第十二条 本规定自201191日起实施。

 

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