政策法规
政策法规

外商投资企业变更申报材料

日期:2012年7月30日 09:28

外商投资企业变更申报材料

The Notification Materials for Foreign-funded Enterprises to Change

 

(一) 变更经营范围

I. To change business scope

 

1.企业董事长签署的变更(增加)经营范围的申请报告原件1份;

1. One original application of changing (extending) business scope signed by Chairman of the board;

 

2.董事会关于企业变更(增加)经营范围的决议原件1(打印、董事会成员签字)

2. One original decision of the board on changing (extending) business scope (printed and signed by the members of the board)

 

3.有关(变更)增营项目的可行性研究报告原件3(打印、企业盖章)

3. Three originals of the research report on feasibility of program extended (changed) (printed and sealed)

 

4.企业成立批文及其它变更批文(如有)复印件各1份;

4. One copy of each official approval on establishment of the enterprise and other approvals on change respectively (if any);

 

5.企业法人营业执照(副本)复印件1份;

5. One copy of enterprise’s Corporation Business License (duplicate)

 

6.企业批准证书(正本、副本2)原件;

6. The original of the Certificate of Enterprise Approval (original and duplicate 2)

 

7.中国注册会计师事务所出具的企业已有的最近的验资报告复印件1(企业法人营业执照上显示注册资本已缴足的企业免交)

7. One copy of the latest Audit Report issued by public accounting office registered under P.R.C. (exclude the enterprises which have paid the registered capital adequately showed by the enterprise’ Corporation Business License)

 

8.填报《外商投资企业(台港澳侨)批准证书存根》1份(只填写变更事项);

8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese) (only the items of change)

 

9.其它所需文件:如对环境有影响的项目,提交深圳市环保局环境影响批复正本一份;如属房地产开发、物业管理等项目,提交拥有土地使用权和经营场所的有效文件复印件各1份。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722修订)第十三条、第十四条;《中华人民共和国中外合作经营企业法实施细则》(199594发布)第六条、《中华人民共和国外资企业法实施细则》(2001412修订)第十五条、第十六条、第十七条)

9. Other documents needed: official reply of the environmental impact by Shenzhen Bureau of Environmental Protection for the programs affecting the environment; copy of the valid certificate on holding the land use right and operation place for the programs belonging to the real estate development and property management etc. (Legislative authority: Article 13, Article 14 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 6 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Article 15, Article 16 and Article 17 from Law and Implementation Regulation of the P.R.C on the Foreign-funded Enterprise (Revised on Apr. 12th, 2001) )

 

(二) 增加投资总额、注册资本

II. To increase total investment and registered capital

 

1.企业董事长签署的增资申请报告原件1份;

1. One original Capital Increase Application signed by the chairman of the board

 

2.企业董事会关于增资的决议原件1(打印、董事会成员签字)

2. One original decision of the board on capital increase (printed and signed by the members of the board)

 

3.有关增资的可行性研究报告原件3(打印、企业盖章)

3. Three originals of the research report on feasibility of capital increase (printed and sealed)  

 

4.各方投资者就增资事项(增资方式、期限等)签订的补充合同、章程原件各4份(打印、投资者法定代表签字、投资者盖章,外资企业只提交补充章程);

4. Four originals of each supplemental contracts and constitutions of capital increase (the ways and deadline etc. of capital increase) signed by all investors (printed, signed by the legal representatives of the investors, sealed by the investors, supplemental constitution only for Foreign-funded enterprises)

 

5.企业成立批文及其它变更批文(如有)复印件各1份;

5. One copy of each official approval on establishment of the enterprise and other approvals on change (if any);

 

6.经审批机关批准的合同、章程复印件各1(外资企业只提交章程)

6. One copy of each contract and constitution authorized by examination and approval organs (constitution only for Foreign-funded enterprises)

 

7.企业法人营业执照(副本)复印件1份;

7. One copy of enterprise’s Corporation Business License (duplicate);

 

8.企业批准证书(正本、副本2)原件;

8. The original of the Certificate of Enterprise Approval (original and duplicate 2);

 

9.填报《外商投资企业(台港澳侨)批准证书存根》1份(只填写变更事项);

9. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese) (only the items of change)

 

10.中国注册会计师事务所出具的企业已有的最近的验资报告复印件1(企业法人营业执照上显示注册资本已缴足的企业免交)。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722修订)第二十一条;《中华人民共和国中外合作经营企业法实施细则》(199594发布)第二十二条、第二十九条;《中华人民共和国外资企业法实施细则》(2001412修订)第十五条、第十六条、第三十二条)

10. One copy of the latest Audit Report issued by public accounting office registered under P.R.C. (exclude the enterprises which have paid the registered capital adequately showed by the enterprise’ Corporation Business License). (Legislative authority: Article 21 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 22, Article 29 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Article 15, Article 16 and Article 32 from Law and Implementation Regulation of the P.R.C on the Foreign-funded Enterprise (Revised on Apr. 12th, 2001) ).

 

(三)调低投资总额与注册资本

III. To adjust downwards total investment and registered capital

 

1.预申报须提交的文件

1. Documents needed for pre-notification:

 

1)企业董事长签署的关于调低投资总额与注册资本的申请报告1份(打印,申请企业盖章);

1) One copy of application on downward adjustment of total investment and registered capital signed by the chairman of the board (printed and sealed by the applicant);

 

2)企业董事会关于调低投资总额与注册资本决议原件1份(打印,董事会成员签字);

2) One original decision of the board on downward adjustment of total investment and registered capital (printed and signed by the members of the board)

 

3)企业成立的政府批文及其它变更批文复印件各1份;

3) One copy of each governmental approval on establishment of the enterprise and other approvals on change (if any);

 

4)企业批准证书(正本)复印件1份;

4) The original of the Certificate of Enterprise Approval (original);

 

5)企业营业执照(副本)复印件1份(加盖本企业公章,并注明与原件一致);

5) One copy of enterprise’s Business License (duplicate) (with the official seal of the enterprise and remarked as identical to the original);

 

6)会计师事务所出具的企业已有的最近的验资报告复印件1份;

6) One copy of the latest Audit Report issued by public accounting office;

 

7)审计报告(经中国注册会计师验证的申报前两个月的资产负债表、财产清单、债权人名单);

7) Audit Report (the balance sheet, inventory of property and creditor list two months before declaration validated by accountants certified in P.R.C);

 

8)经政府批准的合同、章程复印件各1份(外商独资企业免交合同);

8) One copy of each contract and constitution authorized by the government (contract excluded for solely foreign-funded enterprises);

 

9)企业有否经济纠纷,且是否已进入司法或仲裁程序的说明1份(打印,申请企业盖章)。

9) One copy of specification about whether the enterprise is involved in any economic dispute and has been involved in legislative or arbitration procedure (printed and sealed by the applicant).

 

2.审批机关初步批准答复后须提交的文件

2. Documents should be presented after the preliminary approval by the examination and approval organs

 

1)《深圳特区报》或《深圳商报》或其它省级以上报纸上在30日内三次登载调低注册资本公告的证明;

1) Evidences of announcement about the downward adjustment of total investment and registered capital for three times within thirty days in Shenzhen Special Zone Daily or Shenzhen Business Newspaper or other newspaper of provincial level or above;

 

2)企业债务清偿情况说明和对可能仍未清偿债务的承担担保书各1份(打印,企业盖章);

2) One copy of the specification of debts discharge and the guarantee on undertaking the possible debts left (printed and sealed);

 

3)各方投资者就调低注册资本事项签订的补充合同、章程原件各4(打印、投资者法定代表签字、投资者盖章,外资企业只提交补充章程)

3) Four original of each supplemental contracts and constitutions on the downward adjustment of total investment and registered capital signed by all investors (printed, signed by the legal representatives of the investors, sealed by the investors, supplement constitution only for Foreign-funded enterprises)

 

4)企业批准证书(正本及副本2)原件;

4) The original of the Certificate of Enterprise Approval (original and duplicate 2)

 

5)填报《外商投资企业(台港澳侨)批准证书存根》1份(只填写变更事项);

5) One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese) (only the items of changing);

 

6)上述文件自省级以上报纸第一次公告之日起九十天后提交。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722日修订)第十九条;《中华人民共和国中外合作经营企业法实施细则》(199594日发布)第十六条;《关于外商投资企业调整投资总额和注册资本有关规定及程序的通知》(1995525日外经贸法发〔1995〕第366号)

6) The documents above should be presented within ninety days from the first announcement on the newspaper of provincial level or above.(Legislative authority: Article 19 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 16 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Announcement of the Pertinent Regulations and Procedures on the Foreign Merchants Investment Enterprises’ Total investment and registered capital adjustment (Order No. 366 of Law of International Business [1995] on May. 25th. 1995)

 

(四)延长经营期限

IV. To prolong the operating period

 

1.企业董事长签署延长经营期限的申请报告原件1份(打印,申请企业盖章);

1. One original application on prolonging the operating period signed by the chairman of the board (printed and sealed by the applicant);

 

2.企业董事会关于延长经营期限的决议原件1(打印、董事会成员签字)

2. One original decision of the board on prolonging the operating period (printed and signed by the members of the board);

 

3.各方投资者签订的有关延长经营期限事项的补充合同、章程原件各4(打印、投资者法定代表签字、投资者盖章,外资企业只提交补充章程)

3. Four originals of each supplemental contracts and constitutions on prolonging the operating period signed by all investors (printed, signed by the legal representatives of the investors, sealed by the investors, supplement constitution only for foreign-funded enterprises);

 

4.企业成立批文及其它变更批文(如有)复印件各1份;

4. One copy of each official approval on establishment of the enterprise and other approvals on change (if any);

 

5.经审批机关批准的合同、章程复印件各1(外资企业只提交章程)

5. One copy of each contract and the constitution authorized by examination and approval organs (constitution only for foreign–funded enterprises);

 

6.企业法人营业执照(副本)复印件1份,企业批准证书(正本、副本2)原件;

6. One copy of enterprise’s Corporation Business License (duplicate) and the original of the Certificate of Enterprise Approval (original and duplicate 2);

 

7.中国注册会计师事务所出具的企业最新验资报告复印件1(企业法人营业执照上显示注册资本已缴足的企业免交)、中国注册会计师事务所验证的企业最近年度财务会计(审计)报告复印件1份;

7. One copy of the latest Audit Report issued by public accounting office registered under P.R.C. (exclude the enterprises which have paid the registered capital adequately showed by the enterprise’ Corporation Business License). One copy of the recent annual financial accounting (audit) report of the enterprises certified by public accounting office registered under P.R.C.;

 

8.填报《外商投资企业(台港澳侨)批准证书存根》1份(只填写变更事项)。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722修订)第二十八条、第二十九条、第九十条;《中华人民共和国中外合作经营企业法实施细则》(199594发布)第四十七条;《中华人民共和国外资企业法实施细则》(2001412修订)第七十一条)

8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese) (only the items of change).(Legislative authority: Article 28, Article 29 and Article 90 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 47 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Article 71 from Law and Implementation Regulation of the P.R.C on the Foreign-funded Enterprise (Revised on Apr. 12th, 2001). )

 

(五)提前终止合同、提前解散企业

V. To terminate the contract and dissolve enterprise ahead

 

1.企业董事长签署的关于提前解散企业的申请报告1(打印、企业盖章)

1. One copy of application on ahead dissolution of enterprise signed by the chairman of the board (printed and sealed by the enterprise);

 

2.企业董事会关于提前解散企业的决议原件1份(打印、董事会成员签字);

2. One original decision of the board on ahead dissolution of enterprise (printed and signed by the members of the board);

 

3.企业成立批文及其它变更批文(如有)复印件各1份;

3. One copy of each official approval on establishment of the enterprise and other approvals on change (if any);

 

4.经审批机关批准的合同、章程复印件各1(外资企业只提交章程)

4. One copy of each contract and constitution authorized by examination and approval organs (constitution only for foreign-funded enterprises)

 

5.企业法人营业执照副本复印件1份;

5. One copy of the enterprise’s Corporation Business License (duplicate);

 

6.企业批准证书(正本、副本)原件;

6. The original of the Certificate of Enterprise Approval (original and duplicate)

 

7.中国注册会计师事务所验证的企业最近年度财务会计(审计)报告复印件l份。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722修订)第九十条;《中华人民共和国中外合作经营企业法实施细则》(199594发布)第二十九、四十八条;《中华人民共和国外资企业法实施细则》(2001412修订)第七十二条)

7. One copy of the recent annual financial accounting (audit) report of the enterprises certified by public accounting office registered under P.R.C.(Legislative authority: Article 90 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 29 and Article 48 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Article 72 from Law and Implementation Regulation of the P.R.C on the Foreign-funded Enterprise (Revised on Apr. 12th, 2001). )

 

(六)修改企业合同、章程一般内容

VI. To amend the general contract and constitution

 

1.企业申请报告1(打印、企业盖章)

1. One copy of the application (printed and sealed by the enterprise);

 

2.董事会关于修改合同、章程的决议原件1(打印、董事会成员签字)

2. One original decision of the board on amendment of general contract and constitution (printed and signed by the members of the board);

 

3.各方投资者签订的有关修改内容的补充合同、章程原件各4(打印、投资者法定代表签字、投资者盖章,外资企业只提交补充章程)

3. Four original supplemental contracts and constitutions on amendment signed by investors (printed, signed by the legal representatives of the investors, sealed by the investors, supplemental constitution only for foreign-funded enterprises);

 

4.企业成立批文及其它变更批文复印件各1份,经审批机关批准的合同、章程复印件各1(外资企业只提交章程)

4. One copy of each official approval on establishment of the enterprise and other approvals on change; one copy of each contract and constitution authorized by examination and approval organs (constitution only for foreign-funded enterprises)

 

5.企业法人营业执照(副本)复印件1份;

5. One copy of enterprise’s Corporation Business License (duplicate);

 

6.企业批准证书(正本、副本2)原件;

6. The original of the Certificate of Enterprise Approval (original, duplicate 2);

 

7.中国注册会计师事务所出具的企业已有的最近验资报告复印件1(企业法人营业执照上显示注册资本已缴足的企业免交)

7. One copy of the latest Audit Report issued by public accounting office registered under P.R.C. (exclude the enterprises which have paid the registered capital adequately showed by the enterprise’ Corporation Business License).

 

8.填报《外商投资企业(台港澳侨)批准证书存根》1份(只填写变更事项)。(法律依据:《中华人民共和国中外合资经营企业法实施条例》(2001722修订)第十三条、第十四条;《中华人民共和国中外合作经营企业法实施细则》(199594发布)第二十九条;《中华人民共和国外资企业法实施细则》(根据2001412修订)第十五条、第十六条)

8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese) (only the items of changing).(Legislative authority: Article 13, Article 14 and Article 90 Law and Implementation Regulation of the P.R.C on the Sino-foreign Joint Enterprise (Revised on July 22nd, 2001); Article 29 from Law and Implementation Regulation of the P.R.C on the Sino-foreign Cooperative Enterprise (issued on Sep. 4th, 1995); Article 15 and Article 16 from Law and Implementation Regulation of the P.R.C on the Foreign-funded Enterprise (Revised on Apr. 12th, 2001) )

 

(七)企业合并

VII. Enterprises merger

 

1.预报须提交的文件、材料

1. Documents and materials needed for pre-declaration

 

1)各合并企业法定代表人签署的申请报告各1份(打印,企业盖章);

1) One copy of application signed by merger enterprises’ legal representatives (printed and sealed by the enterprises);

 

2)公司合并协议原件1份;

2One original agreement of enterprises merger;

 

3)各合并企业的最高权力机构关于公司合并的决议原件各1份(打印,公司盖章);

3One original decision of merger enterpriseshighest authority on enterprise merger (printed and sealed by the enterprises);

 

4)各合并企业成立的批准或核准文件及变更事项的批准或核准文件复印件各1份,企业批准证书副本复印件、企业法人营业执照(副本)复印件各1份;

4One copy of each official approval on establishment of the enterprise and other approvals on change; one copy of the Certificate of Enterprise Approval (duplicate) and the enterprises Corporation Business License (duplicate);

5)中国注册会计师事务所出具的企业验资报告复印件1份;

5) One copy of the Audit Report issued by public accounting office registered under P.R.C.;

 

6)中国注册会计师事务所出具的各合并企业上一年度审计报告(复印件1份);

6One copy of the recent annual financial accounting (audit) report of the enterprises certified by public accounting office registered under P.R.C.;

 

7)公司的资产负债表、财产清单、债权人名单原件各1份;

7) One original of the balance sheet, inventory of property and creditor list of the enterprise.

 

 

2.预申报获准并在省级以上报纸第一次公告合并之日起九十天后,继续申报须提交的文件、材料

2. Documents and materials to be presented after approval of pre-declaration and first announcement of the merger in the newspaper of provincial level or above

 

1)在《深圳特区报》或《深圳商报》或其它省级以上报纸三次登载合并公告的报刊原件各1份;

1) Original of each announcement about the merger for three times in Shenzhen Special Zone Daily or Shenzhen Business Newspaper or other newspaper of provincial level or above;

 

2)公司通知其债权人的证明;

2) The certificate of notifying the creditors;

 

3)因合并而解散的各企业对债务清偿情况说明原件各1份(打印,企业董事长签字,企业盖章);

3) A copy of the specification of debts discharge made by the dissolved enterprises for merger (printed, signed by the chairman of the board, with the seal of enterprises);

 

4)合并后存续公司或新设公司对因合并而解散的各企业的未清偿债务提供的偿债担保文件:存续公司出具担保书(打印,企业法人签字,企业盖章);新设公司在其企业合同、章程上订立偿债担保、债务承继条款;

4)The guarantee document of debts service provided by merger enterprise that continues to exist or newly-created enterprise merged on the debts left by the dissolved enterprises for merger: the guarantee issued by enterprise that continues to exist (printed, signed by enterprise corporation, with seal of enterprise); the newly-created enterprise make guarantee of debts service and the items of the debts carried forward in its contracts and constitution;

 

5)市工商局核发的合并后新设公司的《公司名称预先核准通知书》(复印件1份);

5) The Notification of the Pre-approved Enterprise Name issued by the Municipal Bureau of Commerce and Industry for newly-created enterprise merged (with one copy);

 

6)合并后存续公司或新设公司的企业合同、章程各4份(外资企业免交合同);

6) Four copies of each contract and the constitution of merger enterprise that continues to exist or newly-created enterprise (contract excluded for foreign-funded enterprises);

 

7)各合并企业的批准证书(正本及副本2)原件;

7) The original of the official approval of merger enterprises (original and duplicate 2);

 

8)填报合并后存续公司或新设公司的企业《批准证书存根》原件1份。(法律依据:《关于外商投资企业合并与分立的规定》(20011122日对外贸易经济合作部、国家工商行政管理总局令[2001]8号)第二十条、第二十六条、第二十七条、第二十九条)

8) One original of the Certificate of Approval Counterfoil on merger enterprise that continues to exist or newly created enterprise.(Legislative authority: Article 20, Article 26, Article 27 and Article 29 from the Regulation of the Merger and Division on Foreign Merchants Investment Enterprises (Order No.8 of the Ministry of Foreign Trade and Economic Cooperation, State Administration of Industry and Commerce [2001] on Nov. 22nd, 2001)

 

(八)企业分立

VIII. Enterprises division

 

1.预申报须提交的文件

1. Documents needed for pre-declaration

 

1)企业法定代表人签署的申请报告原件1份,要说明有无经济纠纷及是否进入司法或仲裁程序(打印,企业盖章);

1) One original of application signed by legal representative about whether the enterprise is involved in any economic dispute and has been involved in legislative or arbitration procedure (printed, sealed by the enterprise);

 

2)企业最高权力机构关于公司分立的决议原件1份(打印,董事会成员签字,股东法定代表人签字,股东盖章);

2) One original decision of enterprises’ highest authority on enterprise division (printed, signed by the members of the board and legal representatives of shareholders and sealed by shareholders);

 

3)因公司分立而拟存续、新设的公司(以下统称分立协议各方)签订的公司分立协议;

3) The agreement on enterprise division signed by the enterprise planned to continue to exist or newly-created enterprise (hereinafter named as the “parties of the divided agreement”);

 

4)企业成立批文及其它变更批文复印件各1份,企业批准证书副本复印件、企业法人营业执照(副本)复印件各1份;经审批机关批准的合同、章程复印件各1份(外资企业只提交章程);

4) One copy of each official approval on establishment of the enterprise and other approvals on change; one copy of Notification of Enterprise Name (duplicate) and one copy of enterprise’s Corporation Business License (duplicate); one copy of each contract and constitution authorized by examination and approval organs (constitution only for Foreign-funded enterprises);

 

5)中国注册会计师事务所出具的企业验资报告复印件1份;

5) One copy of the Audit Report issued by public accounting office registered under P.R.C.;

 

6)中国注册会计师事务所出具的企业上一年度审计报告(复印件1份);

6One copy of the recent annual financial accounting (audit) report of the enterprises certified by public accounting office registered under P.R.C.;

 

7)公司的资产负债表、财产清单、债权人名单原件各1份;

7) One original of the balance sheet, inventory of property and creditor list of the enterprise.

 

2.预申报获准并在省级以上报纸第一次公告合并之日起九十天后,继续申报须提交的文件、材料

2. Documents and materials to be presented after approval of pre-declaration and first announcement of the merger in the newspaper of provincial level or above:

 

1)在《深圳特区报》或《深圳商报》或其它省级以上报纸三次登载分立公告(包括调低注册资本)公告的证明;

1) Original of each announcement about the division (including downward regulation of registered capital) for three times in Shenzhen Special Zone Daily or Shenzhen Business Newspaper or other newspaper of provincial level or above;

 

2)申报企业债务清偿情况说明原件1份(打印,企业盖章);

2) One original of the specification of debts discharge made by the declaring enterprise (printed, sealed by the enterprise);

 

3)分立各方签订的分立协议书原件1份(打印,申报企业各方股东法定代表人签字,股东盖章);

3) One original of the division agreement signed by the divided parties (printed, signed by legal representatives of the declared enterprise’s shareholders and sealed by shareholders);

 

4)分立后的合资、合作企业合同、章程原件各5份(打印、投资各方法定代表人签字,投资各方盖章);分立后的外资企业填报《设立外资企业申请表》原件1份,提交章程原件5份(打印,投资者法定代表人签字,投资者盖章);

4) Five originals of the contract and constitution on the joint or cooperative enterprise after division (printed, signed by the legal representatives of all investors and sealed by investors); original of the Application of Establishment of Foreign-funded Enterprise filled by the divided Foreign-funded enterprise, five copies of the original constitution (printed, with the signature of the legal representatives of the investors and the seal of the investors);

 

5)申报企业的批准证书原件;

5) The original of the declaring enterprise’s official approval;

 

6)各分立后企业各填报《企业批准证书存根》1份;

6) A copy of the Enterprise Certificate of Approval Counterfoil filled by enterprises after division;

 

7)分立后新设企业的《公司名称预先核准通知书》。(法律依据:《关于外商投资企业合并与分立的规定》(20011122日对外贸易经济合作部、国家工商行政管理总局令〔2001〕第8号)第二十三条、第二十七条、第二十九条)

7) Notification of the Pre-approved Enterprise Name issued for newly created enterprises after division. (Legislative authority: Article 23, Article 27 and Article 29 from the Regulation of the Merger and Division on Foreign Merchants Investment Enterprises (Order No. 8 of the Ministry of Foreign Trade and Economic Cooperation, State Administration of Industry and Commerce [2001] on Nov. 22nd, 2001)

 

(九)股权转让

IX. Stock right transfer

 

1.必交的基本材料:

1. Requested general materials:

 

1)企业董事长签署的申请报告1(打印,申报企业盖章)

1) One copy of application signed by the chairman of the board (printed and sealed by the enterprise);

 

2)企业董事会会议一致同意股权变更的决议原件(打印、董事签字)

2) One original decision of the agreement on the stock rights change made by the board meeting (printed and signed by the chairman of the board);

 

3)企业各股东认可股权变更的书面意见(股东法定代表人签字,股东盖章)

3) The written opinions of the shareholders agreeing on the stock rights change (signed by the legal representatives of the shareholders and sealed by the shareholders);

 

4)企业成立的批准或核准文件及变更事项的批准或核准文件复印件各1份,企业批准证书(正本、副本2)原件,企业法人营业执照(副本)复印件1份;

4) One copy of each official approval on establishment of the enterprise and other approvals on change; original of Notification of Enterprise Name (original and duplicate 2) and one copy of enterprise’s Corporation Business License (duplicate);

 

5)由中国注册的会计师及其所在事务所为企业出具的最新的验资报告复印件1份;

5) One copy of the latest Audit Report issued by public accountant and the related accounting office registered under P.R.C;

 

6)合资、合作经营企业提交经审批机关批准的原合同、章程(含补充合同、章程)复印件各1份;外资企业提交经审批机关批准的原章程(含补充章程)复印件1份;

6) One copy of the original contract and constitution (including the supplemental contract and constitution) approved by examination and approval organs for joint or cooperative enterprises; one copy of the original constitution (including the supplemental constitution) approved by examination and approval organs for Foreign-funded enterprise;

 

7)股权变更后的企业修改合同、章程或补充合同、章程原件各4(打印,股权变更后企业的各股东法定代表人签字,股东盖章)(股权变更后的企业为外资企业的免交企业合同)

7) Four originals of each amended contact and constitution or supplemental contact and constitution of the enterprise, whose stock rights are changed; (printed, signed by the legal representatives of the shareholders of the enterprise and sealed by the shareholders) (contract excluded for solely foreign-funded enterprises after stock right change);

 

8)新中方股东的企业法人营业执照(副本)复印件1份,新外方股东的身份证明文件或开业证明复印件各1份、资信证明文件原件1(均须附中文译件)

8) One copy of the enterprise’s Corporation Business License (duplicate) for new Sino shareholders, one copy of the identification certificate or business certificate of the foreign shareholders, and one original of the credit certification; (a Chinese version to be attached);

 

9)填报股权变更后的企业《批准证书存根》原件1(只填写变更事项)

9) One original of Approved Certificate Counterfoil filled by enterprises whose stock rights are changed (only the items of change).

 

2.属下列股权变更原因及相关情形的,须另提交相应的专项文件、材料

2. If the changing causes and situations of stock rights fall into the followings, the specific documents and materials should be presented correspondingly.

 

1)企业股东之间协议转让全部或部分股权,企业股东向非股东投资者(新股东)转让全部或部分股权的,提交股权转让协议原件1份。

1) One original agreement of stock rights’ transferring should be presented by the enterprises whose shareholders confer to transfer the stock rights totally or partly, and whose shareholders transfer the stock rights totally or partly to non-shareholder investors (the new shareholders).

 

2)企业增加注册资本,但股东不按原出资比例缴付增资额的,以及企业增加新股东并同时增加注册资本的,提交各股东签订的股权变更协议原件1(各股东法定代表人签字,股东盖章)。注:股权变更后各股东订立的企业修改合同已包括有关股权变更协议内容的,免交本项要求的股权变更协议。

2) One original agreement of stock rights’ changing signed by the shareholders should be presented by the enterprises which increase the registered capital, but the shareholders don’t pay the increase according to the former payment rate and which increase the new shareholder and the registered capital (signed by the legal representatives of the shareholders). Note: the agreement isn’t needed, if the contact amendment made by the shareholders includes the agreement of the stock right changing.

 

3)企业股东因未缴付出资(包括提供合作条件)自愿退出企业,而其它股东或新股东愿意承接退股股东的出资(包括提供合作条件)的,提交退股股东自愿退股声明原件1(法定代表人签字,股东盖章)

3) If the share holder of the enterprise fails to invest in (or provide cooperative conditions) and is therefore willing to withdraw from the enterprise, the other share holders or new share holders willing to take his investment (and provide cooperative conditions) should present an original copy of the Withdraw Claim (with the signature of the legal representatives and the seal of the share holder).

 

注:在没有投资者承接退股股东的出资(包括提供合作条件)而导致企业注册资本调低,且符合法定调整投资总额和注册资本有关规定的,企业须同时向审批机关申报调低投资总额和注册资本。

Note: If the registered capital of the enterprise is decreased because no investors shall take the capital of the shareholder who withdraws, and it meets the relevant legal regulation for the regulation of total investment and registered fund, the enterprise should apply to the inspecting and approving organizations concerned to low down the total investment and the registered capital.

 

4)企业股东已缴付部分出资,但未缴清全部出资,在不违反法定的出资规定情况下,该股东自愿放弃其未缴付出资部分的股权,而其它股东或新股东愿意承接该部分股权的,提交该股东自愿放弃其未缴资股权的声明原件l(有关股东法定代表人签字,股东盖章)

4) If the enterprise shareholder who has partially invested in instead of completely is willing to quit the share of the unpaid one without breaking the legal regulation on investment, the other share holders or new share holders willing to take his investment should present an original copy of the Withdraw Claim (with the signature of the legal representatives concerned and the seal of the shareholder).

 

注:股权变更后各股东订立的企业修改合同已包括有关股权变更协议内容的,免交本项要求的股东声明。

Note: the required claim of the shareholder can be exempted if the Enterprise Modify Contract signed by the shareholders after the change of shareholder’s ownership has included this change.

 

5)企业股东不履行企业合同规定的出资(包括提供合作条件)义务,守约股东依法申请更换股东、变更股权的,提交:①守约方催告违约方缴付或缴清出资的证明文件;②市工商局出具的《企业注册资本催缴通知书》复印件1(核对原件);③违约方已经按照企业原合同规定缴付部分出资的,提交企业对违约方的部分出资进行清理的有关文件原件。

5) If some enterprise shareholder does not perform his responsibility of the contract to invest in (or provide cooperative condition), those who keep the contract apply to replace the shareholder or change the ownership of shareholder shall represent: certificate of the observant party urging the party in breach to pay or pay off the investment; one copy of The Notice on Payment of the Enterprise Registered Capital by the Municipal Industrial and Commercial Bureau (checked with the original); the party in breach who has partially paid the investment as the original contract said shall represent the original document of the enterprise dealing with the partial investment.

 

注:在本情形下,必须提交的基本文件中的企业申请报告和董事会决议代之为:守约股东的申请报告l(打印,全部守约股东法定代表人签字,股东盖章)

Note: under such circumstance, the enterprise application report and the board decision in the fundamental files is replaced by: on copy of the application of the observant party (printed, signed by all the legal representatives of the observant shareholders, signed by the shareholders).

 

6)企业股东破产、解散、被撤销、被吊销或死亡,其继承人、债权人或其它受益人依法取得该股东在企业持有的股权的,提交股权获得人获得该股权的有效证明文件复印件(核对原件)

6) The copy of the valid certificate of the stock rights should be presented, if the shareholders is bankrupted, dissolved, retracted, revoked and dead, and the creditors and other beneficiaries gain the stock rights of the shareholder legally (checked with the original)

 

7)企业股东被法院或仲裁机构依法裁定或裁决其股权变更的,提交法院出具的民事裁定书或调解书或仲裁机构出具的裁决书复印件(核对原件)

7) The shareholder judged or ruled by the court or the arbitral agency to change its ownership shall represent the copy of the civil rule in writing or conciliation document by the court or the umpirage by the arbitral agency (checked with the original).

 

8)企业股东合并或分立或其它方式重组后的承继者依法承继该股东股权的,提交股权承继者获得该股东股权的有效证明文件复印件(核对原件)

8) The taker of the share who assumes it legally through consolidation, division or reorganization in other means of shareholder shall represent the copy of the valid document of the shareholder (checked with the original).

 

9)企业股东经其它各方股东同意将其股权质押给债权人,并经审批机关批准,质权人或其它受益人依照法律规定和合同约定取得该股东股权的,提交:①审批机关批准质押批文复印件1份;②出质股东与质权人签订的质押合同复印件1份;③质权人或其它受益人获取出质股权的有效证明文件复印件(核对原件)

9) Under the agreement of other shareholders and approved by the inspecting and approving organizations, the shareholder pawn his ownership to the creditors, and the creditors or other beneficiary taking the ownership according to the legal regulation and term of the contract legally shall represent: one copy of the pawn approval by the inspecting and the approving agency; one copy of the contract between the pawnees and the shareholders; copy of the valid certificate of the pawnees or other beneficiary taking the ownership of the shareholder (checked with the original).

 

10)属上述(1)(2)项股权变更原因,且变更股权的中方股东(含新股东)的股权结构有国有资产出资的,按国务院国有资产监督管理委员会、财政部《企业国有产权转让管理暂行办法》(20031231日公布)执行。对变更股权的中方股东不能明确其股权结构不含国有资产出资的,提交工商行政管理局出具的相关注册登记的有关资料或其它相关文件复印件1(核对原件)

10) The change of ownership due to the reasons said in (1), (2) with state owned capital in the changed Chinese shareholder (including new shareholder) should be performed according to the Provisional Rules of the Management of the Property Transfer of State Owned Enterprise (issued on December 31, 2003). As for the Chinese shareholders whose ownership are to be changed, if it is not sure whether there is any state owned capital, a copy of the concerned document and concerned information registered under the Industrial and Commercial Administration Bureau shall be represented (checked with the original).

 

11)股权变更后的新股东是外商投资企业的,提交:①新股东董事会会议一致同意变更为新股东的决议复印件1份;②新股东的企业验资报告复印件1份;③新股东最新的企业资产负债表复印件1份;④外地新股东提交所在地工商登记机关出具该股东具备投资资格的证明文件复印件1(核对原件)。(法律依据:《外商投资企业投资者股权变更的若干规定》第九条。)

11) The foreign merchant investment enterprise which is the new shareholder should present: Agreement Division by the new board meeting; one copy of the Enterprise Audit Report of the new shareholder; one copy of the latest balance sheet of the new shareholder; one copy of the certifying document to confirm the verification of the shareholder to invest by the local industrial and commercial registration for foreign new shareholders (checked with the original).(Legislative authority: Article 9 from the Pertinent Regulation of Investors’ Stock Rights Change on Foreign Merchants Investment Enterprises

 

(十)股权质押

X. Stock rights impawn

 

1.企业法定代表人签署的企业申请报告原件1份(打印,申报企业盖章)

1. One original of application signed by the legal representative of the enterprise (printed and sealed by the applicant)

 

2.企业董事会及其它投资者关于同意出质投资者将其股权质押的决议原件1份;

2. One original of the decision on the consensus of impawning the stock rights of the investor made by the board meeting and other investors;

 

3.出质投资者与质权人签订的质押合同原件1份;

3. One original of the impawning contact signed by the investor who impawns stock rights and pawnee;

 

4.出质投资者的出资证明书原件1份;

4. One original of the delivery of pledge certificate on the investor who impawns stock rights;

 

5.由中国注册的会计师及其所在事务所为企业出具的验资报告复印件1份(核对原件);

5. One copy of the latest Audit Report issued by public accountant and the related accounting office registered under P.R.C. (checked with the original);

 

6.企业批准证书正本及副本2原件。(法律依据:《外商投资企业投资者股权变更的若干规定》第十二条)

6. The original of the Certificate of Enterprise Approval (original, duplicate 2);(Legislative authority: Article 12 from the Pertinent Regulation of Investors’ Stock Rights Change on Foreign Merchants Investment Enterprises;  

 

 

所属类别: 外商投资

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