作者：婁耀輝  上海信石律師事務(wù)所主任合伙人

董曉桃  上海信石律師事務(wù)所律師 

來源：作者投稿

          2016年9月3日第十二屆全國(guó)人民代表大會(huì)常務(wù)委員會(huì)第二十二次會(huì)議表決通過了《關(guān)于修改〈中華人民共和國(guó)外資企業(yè)法〉等四部法律的決定》（下稱《決定》），經(jīng)第五十一號(hào)主席令簽署公布，自10月1日起施行?！稕Q定》對(duì)《中華人民共和國(guó)外資企業(yè)法》、《中華人民共和國(guó)合資經(jīng)營(yíng)企業(yè)法》、《中華人民共和國(guó)合作經(jīng)營(yíng)企業(yè)法》以及《中華人民共和國(guó)臺(tái)灣同胞投資保護(hù)法》相關(guān)行政審批條款作出修改，將不涉及國(guó)家規(guī)定準(zhǔn)入特別管理措施的外商投資企業(yè)和臺(tái)胞投資企業(yè)的設(shè)立及變更，由審批改為備案管理。國(guó)家規(guī)定的準(zhǔn)入特別管理措施由國(guó)務(wù)院發(fā)布或者批準(zhǔn)發(fā)布。

 The Decisions on Revising Four Laws Including the Law of the People's Republic of China on Wholly Foreign-owned Enterprises (the 'Decisions') have been adopted on September 3^rd, 2016 at the 22nd session of the Standing Committee of the Twelfth National People's Congress of the People's Republic of China and promulgated upon the Order of the President No. 51, and shall come into force as of October 1, 2016. According to the Decisions, relevant articles on administrative examination and approval in the Law of the People's Republic of China on Wholly Foreign-owned Enterprises, the Law of thePeople's Republic of China on Sino-Foreign Equity Joint Ventures, the Law of the People's Republic of China on Sino-Foreign Cooperative Joint Ventures, and the Law of the People's Republic of China on the Protection of the Investments of Taiwan Compatriots are revised, and the incorporation and change offoreign-invested enterprises (“FIEs”) and enterprises invested by Taiwan compatriots that are not subject to special administration measures on access as prescribed by the State shall be administered by record-filing instead of examination and approval. The special access administrative measures prescribed by the state shall be promulgated by or approved for promulgation by the State Council.

一、背景 Background

為推進(jìn)外商投資管理制度改革，2015年4月8日經(jīng)全國(guó)人大常委會(huì)授權(quán)，國(guó)務(wù)院決定在自貿(mào)試驗(yàn)區(qū)對(duì)外商投資實(shí)行準(zhǔn)入前國(guó)民待遇加負(fù)面清單的管理模式。本決定意在全國(guó)范圍內(nèi)復(fù)制推廣自由貿(mào)易試驗(yàn)區(qū)的試點(diǎn)經(jīng)驗(yàn)，營(yíng)造國(guó)際化、法治化、市場(chǎng)化的營(yíng)商環(huán)境。

In order to promote the reform of foreign investment administration system, upon the authorization of the Standing Committee of the National People's Congress, the State Council had decided to put the foreign investment under the administration mode of pre-access national treatment plus the negative list in the Pilot Free Trade Zone on April 8, 2015. The Decisions aim to replicate and promote the experience of pilot free trade zones across the country and create an international, legal and market-oriented business environment in the whole of China.

 為確?！稕Q定》實(shí)施，避免出現(xiàn)監(jiān)管真空，做好法律銜接，商務(wù)部發(fā)布《外商投資企業(yè)設(shè)立及變更備案管理暫行辦法（征求意見稿）》（下稱《暫行辦法》或《征求意見稿》），面向社會(huì)征求意見，意見反饋截至9月22日。由此可見，《備案辦法》意與《決定》同時(shí)施行。

 In order to avoid regulatory oversight, and effectively achieve the transition of laws and to ensure the implementation of the Decisions of the Standing Committee of the National People's Congress on the Revision of the Law of thePeople's Republic of China on Wholly Foreign-owned Enterprises, the Ministry of Commerce has issued the Interim Measures for the Record-filing Administration for the Incorporation and Change of Foreign-invested Enterprises (Draft for Comments) (the “Interim Measures” or 'Draft for Comments') for public comments before September 22, 2016,  which shows the Draft for Comments and the Decisions would expect to be put into force simultaneously.

二、修改要點(diǎn)Major Points of Modifications

《決定》及《征求意見稿》對(duì)外商投資有關(guān)適用范圍、備案程序、監(jiān)督檢查、法律責(zé)任等進(jìn)行了規(guī)范，同時(shí)明確港澳臺(tái)投資者投資備案事項(xiàng)參照辦理，大大地簡(jiǎn)政放權(quán)，對(duì)不涉及國(guó)家規(guī)定實(shí)施準(zhǔn)入特別管理措施的外商投資企業(yè)，無(wú)須審批，只需備案即可完成設(shè)立及變更手續(xù)。

The Decisions and the Draft for Comments stipulate the applicable scope, procedures for record-filing, supervision and inspection as well as legal liabilities, and also specify that investment filing related matters for Hong Kong, Macao and Taiwan investors may be handled with reference to the Interim Measures, which is subject to the streamlining of administration and power delegation, FIEsthat are not subject to special administration measures on access as prescribed by the State don't need to go through formalities for examination and approval, but can complete formalities for incorporation and change only by filing a record.

 2.1適用企業(yè)Applicable Enterprises

除了三資企業(yè)，值得注意的是外商投資的投資性公司、創(chuàng)業(yè)投資企業(yè)、股權(quán)投資企業(yè)視同外國(guó)投資者以及香港特別行政區(qū)、澳門特別行政區(qū)、臺(tái)灣地區(qū)投資者投資不涉及國(guó)家規(guī)定實(shí)施準(zhǔn)入特別管理措施的，參照辦理。

Besides the three types of foreign invested enterprises, it’s remarkable that foreign-invested holding companies, venture capital companies,  equity investment companies, andinvestors in the Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan region shall be deemed as foreign investors. If the investments made by any of these kind of investors do not involve the special access administrative measures prescribed by the state, these Decisions and the Draft for Comments shall apply as well.

2.2備案事項(xiàng)范圍Applicable Items for Record-filing

（1）外商投資企業(yè)的設(shè)立；（2）外商投資企業(yè)的變更：包括基本信息變更、投資者基本信息變更、股權(quán)（股份）、合作權(quán)益變更、合并、分立、終止、財(cái)產(chǎn)權(quán)益對(duì)外抵押轉(zhuǎn)讓（僅針對(duì)獨(dú)資企業(yè)）、外國(guó)合作者先行回收投資（僅針對(duì)中外合作企業(yè)）、委托管理經(jīng)營(yíng)（僅針對(duì)中外合作企業(yè)）。

（1）FIEs’ incorporation;（2）FIEs’ changes of corporation：change of the basic information of FIEs，change of the basic information of investor(s), equity (shares), changes in equity cooperation, merger, splitting or dissolution, wholly foreign-owned enterprise’s mortgaging its property, rights and/or interests to others, advance recovery of investments by foreign partners of Sino-foreign cooperative joint ventures and entrusted operationadministration of Sino-foreign cooperative joint ventures. 

2.3.備案時(shí)間和方式Record-filing Time and Method

企業(yè)設(shè)立備案：設(shè)立受前文暫行辦法規(guī)制的外商投資企業(yè)，在取得企業(yè)名稱預(yù)核準(zhǔn)后，應(yīng)在營(yíng)業(yè)執(zhí)照簽發(fā)后30日內(nèi)，通過備案系統(tǒng)，辦理設(shè)立備案手續(xù)。

Record-filing of enterprise incorporation: where the incorporation of FIEs falls within the scope prescribed in these Interim Measures, after obtaining the prior approval of the enterprise name, shall fill in online via the record-filing system and go through the record-filing procedures within 30 days after the issuance of a business license.

企業(yè)變更備案：應(yīng)在變更事項(xiàng)發(fā)生后30日內(nèi)通過備案系統(tǒng)在線填報(bào)和提交《外商投資企業(yè)變更備案申報(bào)表》（以下簡(jiǎn)稱《變更申報(bào)表》）及相關(guān)文件，辦理變更備案手續(xù)。

Record-filing of enterprise changes: shall fill in online and submit an Application Form for Record-filing of the Change of Foreign-invested Enterprises (the Application Form for Changes) within 30 days upon the occurrence of the change(s), and go through the recording-filing procedures. 

2.4.負(fù)面清單管理 Negative List

備案管理的外商投資企業(yè)發(fā)生的變更事項(xiàng)涉及外商投資準(zhǔn)入特別管理措施（負(fù)面清單）的，仍應(yīng)按照外商投資相關(guān)法律法規(guī)辦理審批手續(xù)。 

If the change of FIEs for record-filing administration involves the special access administrative measures of foreign investment (negative list), the approval procedures shall be handled in accordance with relevant laws andregulations for foreign investment.

2.5. 法律責(zé)任 Legal Responsibilities

在放管結(jié)合方面，《決定》及《征求意見稿》確立了較為全面的法律責(zé)任條款?！墩髑笠庖姼濉吩敿?xì)列明了違反備案義務(wù)的法律責(zé)任，違反準(zhǔn)入許可的法律責(zé)任，在不得投資領(lǐng)域投資的法律責(zé)任，不配合監(jiān)督檢查的法律責(zé)任以及公職人員的法律責(zé)任。

 In terms of power delegation and administration enhancement, relativelycomprehensive articles on legal liabilities are established. The Draft for Comments specifically stipulated legal liabilities including for violating the record-filing obligations, for violating the entry permit, for investment in sectors where foreign investors are forbidden from investing, for not complying with supervision and inspection and legal responsibilities of public officers.

三、簡(jiǎn)評(píng) Comments

《征求意見稿》和《決定》施行將更加便利外商投資企業(yè)在我國(guó)設(shè)立企業(yè)，也更有利構(gòu)建與國(guó)際接軌的外商投資管理制度，為外商營(yíng)造更為自由和透明的投資環(huán)境。值得注意的是這也意味著《外商投資產(chǎn)業(yè)指導(dǎo)目錄》將退出歷史舞臺(tái)，《負(fù)面清單》的時(shí)代已經(jīng)到來。為區(qū)別實(shí)施備案和特殊準(zhǔn)入管理的外商投資行業(yè)類別，相信國(guó)家應(yīng)會(huì)盡快出臺(tái)明確的負(fù)面清單，我們可以合理預(yù)見將要出臺(tái)的國(guó)家層面負(fù)面清單應(yīng)是在自貿(mào)區(qū)現(xiàn)行負(fù)面清單的基礎(chǔ)上進(jìn)行適當(dāng)調(diào)整，但其實(shí)質(zhì)開放性會(huì)高于《外商投資產(chǎn)業(yè)指導(dǎo)目錄》（2015）。

The implementation of the Decisions and the Draft for Comments would make foreign investors more convenient to set up enterprises in China, and help China to build foreign investment administration system in line with international practice to create a free and transparent investment environment for the foreign investors. It is noteworthy that the Catalogue for the Guidance of Foreign Investment Industries will step down from the stage ofhistory, the time of negative list has already come. In order to distinguish the special administration measures on access or only by filing a record, the specific and clear negative list will be published soon definitely, we could reasonably predict that the national negative list may be in the form of the negative lists adopted in pilot zones, but would be more open than the Catalogue for the Guidance of Foreign Investment Industries (2015）.

但是，我國(guó)的《外國(guó)投資法》尚未正式出臺(tái)，應(yīng)該說近期很難出臺(tái)，所以《決定》和《暫行辦法》施行以后，將會(huì)有一大批涉及外商投資領(lǐng)域的法規(guī)、規(guī)章和規(guī)范性文件被修訂或者廢止，因此保持與其他外商投資法律連貫性將是一個(gè)至關(guān)重要的問題，我們相信改革的優(yōu)越性也將會(huì)隨之日益顯現(xiàn)。

However, Foreign Investment Law of China has not yet been promulgated and fairly to say it would not be put into force in the near future, therefore, after the implementation of the Decisions and the Draft for Comments,it is expected that the relevant departments will carry out the larger-scale clearing of regulations, will modify or even repeal a fair amount of legal documents, therefore, maintaining the coherence and consistency of modifications and the laws, regulations related to foreign investment will be a matter of fundamental importance, with that we believe the advantages of the modification will become increasingly prominent.