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Measures for the Security Review of Foreign Investment

发布日期:2021-08-04 11:30:54

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《外商投资安全审查办法》已经2020年11月27日国家发展和改革委员会第13次委务会议审议通过,并经国务院批准,现予公布,自2021年1月18日起施行。


(The Measures for the Security Review of Foreign Investment, as deliberated and adopted at the 13th executive meeting of the National Development and Reform Commission on November 27, 2020, with the approval of the State Council, are hereby issued, and shall enter into force on January 18, 2021.)


第一条为了适应推动形成全面开放新格局的需要,在积极促进外商投资的同时有效预防和化解国家安全风险,根据《中华人民共和国外商投资法》《中华人民共和国国家安全法》和相关法律,制定本办法。


Article 1 For the purposes of satisfying the requirements for boosting the formation of a new pattern of comprehensively opening up and effectively preventing and dissolving national security risks while actively promoting foreign investment, these Measures are formulated in accordance with the Foreign Investment Law of the People's Republic of China, the National Security Law of the People's Republic of China, and related laws.


第二条对影响或者可能影响国家安全的外商投资,依照本办法的规定进行安全审查。


Article 2 Foreign investment that affects or may affect national security shall be subject to security review under these Measures.


本办法所称外商投资,是指外国投资者直接或者间接在中华人民共和国境内(以下简称境内)进行的投资活动,包括下列情形:


For the purposes of these Measures, "foreign investment" means the investing activities conducted by a foreign investor directly or indirectly in the territory of the People's Republic of China (hereinafter referred to as "in China"), including the following circumstances:


(一)外国投资者单独或者与其他投资者共同在境内投资新建项目或者设立企业;


(1) A foreign investor, alone or together with another investor, invests in a new project or invests by the formation of an enterprise in China.


(二)外国投资者通过并购方式取得境内企业的股权或者资产;


(2) A foreign investor acquires any equity or asset of an enterprise in China by means of merger or acquisition.


(三)外国投资者通过其他方式在境内投资。


(3) A foreign investor invests in China by any other means.


第三条国家建立外商投资安全审查工作机制(以下简称工作机制),负责组织、协调、指导外商投资安全审查工作。


Article 3 The state shall establish a foreign investment security review working mechanism (hereinafter referred to as the "working mechanism") responsible for organizing, coordinating, and guiding the foreign investment security review work.


工作机制办公室设在国家发展改革委,由国家发展改革委、商务部牵头,承担外商投资安全审查的日常工作。


Under the leadership of the National Development and Reform Commission ("NDRC") and the Ministry of Commerce and located in the NDRC, the Office of the Working Mechanism shall be responsible for the routine work in relation to the security review of foreign investment.


第四条下列范围内的外商投资,外国投资者或者境内相关当事人(以下统称当事人)应当在实施投资前主动向工作机制办公室申报:


Article 4 Foreign investors or the relevant parties in China (hereinafter collectively referred to as the "parties") shall proactively report any foreign investment within the following scope to the Office of the Working Mechanism before making the investment:


(一)投资军工、军工配套等关系国防安全的领域,以及在军事设施和军工设施周边地域投资


(1) Investment in the arms industry, an ancillary to the arms industry, or any other field related to national defense security and investment in an area surrounding a military installation or an arms industry facility.


(二)投资关系国家安全的重要农产品、重要能源和资源、重大装备制造、重要基础设施、重要运输服务、重要文化产品与服务、重要信息技术和互联网产品与服务、重要金融服务、关键技术以及其他重要领域,并取得所投资企业的实际控制权。


(2) Investment in important agricultural products, important energy and resources, critical equipment manufacturing, important infrastructure, important transportation services, important cultural products and services, important information technology and Internet products and services, important financial services, key technology, or any other important field related to national security, resulting in the foreign investor's acquisition of actual control of the enterprise invested in.


前款第二项所称取得所投资企业的实际控制权,包括下列情形:


For the purposes of subparagraph (2) of the preceding paragraph, "acquisition of actual control of the enterprise invested in" shall include the following circumstances:


(一)外国投资者持有企业50%以上股权;


(1) The foreign investor holds not less than 50% of the equities of the enterprise.


(二)外国投资者持有企业股权不足50%,但其所享有的表决权能够对董事会、股东会或者股东大会的决议产生重大影响;


(2) The foreign investor holds less than 50% of the equities of the enterprise, but has voting rights that have a material effect on the resolutions of the board of directors or the members' or shareholders' meeting.


(三)其他导致外国投资者能够对企业的经营决策、人事、财务、技术等产生重大影响的情形。


(3) The foreign investor is otherwise caused to be able to have a material effect on the business decision-making, personnel, finance, and technology, among others, of the enterprise.


对本条第一款规定范围(以下称申报范围)内的外商投资,工作机制办公室有权要求当事人申报。


The Office of the Working Mechanism shall have the power to require the parties to report any foreign investment within the scope specified in the first paragraph of this article (hereinafter referred to as the "reporting scope").


......


第二十二条外国投资者通过证券交易所或者国务院批准的其他证券交易场所购买境内企业股票,影响或者可能影响国家安全的,其适用本办法的具体办法由国务院证券监督管理机构会同工作机制办公室制定。


Article 22 Where a foreign investor purchases the stock of an enterprise in China through a stock exchange or any other securities trading venue approved by the State Council, which affects or may affect national security, the specific measures for the application of these Measures to such investment shall be formulated by the securities regulatory agency of the State Council in conjunction with the Office of the Working Mechanism.


第二十三条本办法自公布之日起三十日后施行。


Article 23 These Measures shall enter into force 30 days after the date of issuance.