境内机构境外直接投资外汇管理规定Bilingual.docx

境内机构境外直接投资外汇管理规定Bilingual.docx

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境内机构境外直接投资外汇管理规定Bilingual

ProvisionsonForeignExchangeAdministrationforOverseasDirectInvestmentofDomesticInstitutions

境内机构境外直接投资外汇管理规定

PromulgatingInstitution:

StateAdministrationofForeignExchange

DocumentNumber:

HuiFa[2009]No.30

PromulgatingDate:

07/13/2009

EffectiveDate:

08/01/2009

ValidityStatus:

Valid

颁布机关:

国家外汇管理局

文     号:

汇发[2009]30号

颁布时间:

07/13/2009

实施时间:

08/01/2009

效力状态:

有效

Text

正文

Chapter1:

GeneralProvisions

 第一章  总则

Article1   TheseProvisionsareformulatedinaccordancewiththeRegulationsofthePeople'sRepublicofChinaonForeignExchangeControlandotherrelevantprovisions,inordertofacilitatetheactivitiesofoverseasdirectinvestmentofdomesticinstitutions,regulatetheforeignexchangeadministrationforoverseasdirectinvestmentandpromoteChina'sinternationalbalanceofpayments

    第一条  为促进和便利境内机构境外直接投资活动,规范境外直接投资外汇管理,促进我国国际收支基本平衡,根据《中华人民共和国外汇管理条例》等相关法规,制定本规定。

Article2   ForthepurposesoftheseProvisions,"overseasdirectinvestment"shallmeantheactsthatthedomesticinstitutionsestablishenterprisesorobtaintheownership,controlrights,operationandmanagementrightsorotherrightsandinterestsofexistingenterprisesorprojectsoutsideChina throughestablishment（ofsoleproprietorshipenterprisesorequity/cooperativejointventures）,mergerandacquisition,andequityparticipationuponverificationandapprovalbythedepartmentsinchargeofoverseasdirectinvestment.

    第二条  本规定所称境外直接投资是指境内机构经境外直接投资主管部门核准,通过设立（独资、合资、合作）、并购、参股等方式在境外设立或取得既有企业或项目所有权、控制权或经营管理权等权益的行为。

Article3   TheStateAdministrationofForeignExchange（"SAFE"）anditsbranches（hereinafterreferredtoasthe"ForeignExchangeBureaus"）shallconductsupervisionandadministrationofforeignexchangereceiptsandpaymentsandforeignexchangeregistrationforoverseasdirectinvestmentofdomesticinstitutions.

    第三条  国家外汇管理局及其分支机构（以下简称外汇局）对境内机构境外直接投资的外汇收支、外汇登记实施监督管理。

Article4   Thedomesticinstitutionsmayusetheirownforeignexchangefunds,domesticloansinforeigncurrenciesincompliancewithrelevantprovisions,foreignexchangepurchasedwithRenminbi,materialobjects,intangibleassetsandotherforeignexchangefundsapprovedbytheForeignExchangeBureausforoverseasdirectinvestment.Theprofitsgainedfromoverseasdirectinvestmentofdomesticinstitutionsmaybedepositedinoverseasbanksandusedforoverseasdirectinvestment.

Thedomesticinstitutions'ownforeignexchangefundsmentionedintheprecedingparagraphshallincludetheforeignexchangefundsintheforeignexchangeaccountsundercurrentaccount,foreign-investedenterprisecapitalaccountsandotheraccounts.

    第四条  境内机构可以使用自有外汇资金、符合规定的国内外汇贷款、人民币购汇或实物、无形资产及经外汇局核准的其他外汇资产来源等进行境外直接投资。

境内机构境外直接投资所得利润也可留存境外用于其境外直接投资。

    上款所称自有外汇资金包括:

经常项目外汇账户、外商投资企业资本金账户等账户内的外汇资金。

Article5   TheSAFEmay,accordingtothesituationsofinternationalreceiptsandpaymentsofChinaandoverseasdirectinvestment,adjusttherelevantpoliciesonsourcescopeofandadministrationmethodforforeignexchangefundsforoverseasdirectinvestmentofdomesticinstitutionsanddepositofprofitsgainedfromoverseasdirectinvestmentofdomesticinstitutionsinoverseasbanks.

    第五条  国家外汇管理局可以根据我国国际收支形势和境外直接投资情况，对境内机构境外直接投资外汇资金来源范围、管理方式及其境外直接投资所得利润留存境外的相关政策进行调整。

Chapter2:

ForeignExchangeRegistrationandOutwardRemittanceofFundsforOverseasDirectInvestment

    第二章  境外直接投资外汇登记和资金汇出

Article6   TheForeignExchangeBureausshallimplementtheforeignexchangeregistrationandfilingsystemforoverseasdirectinvestmentofdomesticinstitutionsaswellastheassets andrelevantrightsandinterestsgainedfromoverseasdirectinvestment.

WhengoingthroughtheformalitiesforforeignexchangeregistrationforoverseasdirectinvestmentwiththeForeignExchangeBureausattheplaceswherethedomesticinstitutionsarelocated,thedomesticinstitutionsshallstatethesourceofforeignexchangefundsforoverseasinvestment.

    第六条  外汇局对境内机构境外直接投资及其形成的资产、相关权益实行外汇登记及备案制度。

    境内机构在向所在地外汇局办理境外直接投资外汇登记时,应说明其境外投资外汇资金来源情况。

Article7   Afterthedepartmentinchargeofoverseasdirectinvestmentapprovestheoverseasdirectinvestmentofadomesticinstitution,thedomesticinstitutionshallgothroughformalitiesforforeignexchangeregistrationforoverseasdirectinvestmentwiththeForeignExchangeBureauattheplacewheresuchinstitutionislocatedbypresentingthefollowingmaterials:

（1）WrittenapplicationandafilledApplicationFormforForeignExchangeRegistrationForOverseasDirectInvestment（refertoAnnex1forformat）

（2）Statementonthesourceofforeignexchangefunds

（3）Validbusinesslicenseorregistrationcertificateandorganizationalcodecertificateofthedomesticinstitution;

（4）Documentorcertificateforapprovingsuchinvestmentbythedepartmentinchargeofoverseasdirectinvestment;

（5）Relevantstatementandremittancevoucherinthecaseofoutwardremittanceofpreliminaryfunds;

（6）OthermaterialsrequiredbytheForeignExchangeBureau.

WheretheForeignExchangeBureauexaminesandverifiestheaforesaidmaterialsandfindsthatthematerialsareallcorrect,theForeignExchangeBureaushallregistertherelevantinformationinthecorrespondingbusinesssystemandissuetheforeignexchangeregistrationcertificateforoverseasdirectinvestmenttothedomesticinstitution.Thedomesticinstitutionshallconductthebusinessofforeignexchangereceiptsandpaymentsunderoverseasdirectinvestmentbasedonthesaidregistrationcertificate.

Whereseveraldomesticinstitutionsjointlyconductasingleoverseasdirectinvestment,theForeignExchangeBureausattheplaceswheresuchdomesticinstitutionsarelocatedshallrespectivelyissuetheforeignexchangeregistrationcertificateforoverseasdirectinvestmenttothecorrespondingdomesticinstitutionsandregistertheinformationintheirrespectivebusinesssystems.

    第七条  境内机构境外直接投资获得境外直接投资主管部门核准后,持下列材料到所在地外汇局办理境外直接投资外汇登记:

（一）书面申请并填写《境外直接投资外汇登记申请表》（格式见附件1）;

（二）外汇资金来源情况的说明材料;

    （三）境内机构有效的营业执照或注册登记证明及组织机构代码证;

    （四）境外直接投资主管部门对该项投资的核准文件或证书;

    （五）如果发生前期费用汇出的,提供相关说明文件及汇出凭证;

    （六）外汇局要求的其他材料。

    外汇局审核上述材料无误后,在相关业务系统中登记有关情况,并向境内机构颁发境外直接投资外汇登记证。

境内机构应凭其办理境外直接投资项下的外汇收支业务。

    多个境内机构共同实施一项境外直接投资的,由境内机构所在地外汇局分别向相关境内机构颁发境外直接投资外汇登记证,并在相关业务系统中登记有关情况。

Article8   Thedomesticinstitutionshallgothroughtheformalitiesforoutwardremittanceoffundsforoverseasdirectinvestmentatadesignatedforeignexchangebank bypresentingtheapprovaldocumentissuedbythedepartmentinchargeofoverseasdirectinvestmentandtheforeignexchangeregistrationcertificateforoverseasdirectinvestment.Thesaidbankshallhandletheoutwardremittanceoffundsafteritconductstheauthenticityverification.

ThecumulativeamountoffundsoutwardlyremittedforoverseasdirectinvestmentofadomesticinstitutionhandledbythesaiddesignatedforeignexchangebankshallnotexceedthetotalamountofforeignexchangefundsforoverseasdirectinvestmentregisteredbysuchdomesticinstitutionintherelevantbusinesssystemthroughtheForeignExchangeBureauinadvance.

    第八条  境内机构应凭境外直接投资主管部门的核准文件和境外直接投资外汇登记证,在外汇指定银行办理境外直接投资资金汇出手续。

外汇指定银行进行真实性审核后为其办理。

    外汇指定银行为境内机构办理境外直接投资资金汇出的累计金额,不得超过该境内机构事先已经外汇局在相关业务系统中登记的境外直接投资外汇资金总额。

Article9   Adomesticinstitutionshall,within60daysfromoccurrenceofthefollowingevents,gothroughtheformalitiesforregistration,changeorfilingofforeignexchangeforoverseasdirectinvestmentwiththeForeignExchangeBureauataplacewheretheinstitutionislocated,bypresentingtheforeignexchangeregistrationcertificateforoverseasdirectinvestment,approvalorfilingdocumentissuedbythedepartmentinchargeofoverseasdirectinvestmentandthecertificationofauthenticity:

（1）Wheretheprofitsgainedfromoverseasdirectinvestmentofthedomesticinstitutionandthecapitalearningsinaforeigncurrencygainedfromdecreaseofcapital,transferofequityorliquidationofanoverseasenterpriseinvestedinbythedomesticinstitutionaredepositedinanoverseasbankandusedfortheestablishment,mergerandacquisition,andequityparticipationofanunregisteredoverseasenterprise,thedomesticinstitutionshallgothroughtheformalitiesforforeignexchangeregistrationforoverseasdirectinvestmentwithrespecttothesaiddirectinvestmentactivities;

（2）Wherearegisteredenterprisechangesitsbasicinformation,suchasthename,operatingduration,andpartnerstoandformsofanequity/cooperativejointventure,orundergoestheincreasesordecreasesofcapital,transfersorreplacementofequity,ormergerordivision,thedomesticinstitutionshallgothroughtheformalitiesforchangeofforeignexchangeregistrationforoverseasdirectinvestmentwithrespecttothesaidchanges;

（3）Wherearegisteredenterpriseconductslong-terminvestmentinstocksorbonds,overseasguaranteeorundergoes othermajormattersnotinvolvingchangeofcapital,thedomesticinstitutionshallgothroughtheformalitiesforfilingofforeignexchangeregistrationforoverseasdirectinvestmentwithrespecttothesaidmajormatters.

    第九条  境内机构应在如下情况发生之日起60天内,持境外直接投资外汇登记证、境外直接投资主管部门的核准或者备案文件及相关真实性证明材料到所在地外汇局办理境外直接投资外汇登记、变更或备案手续:

（一）境内机构将其境外直接投资所得利润以及其所投资境外企业减资、转股、清算等所得资本项下外汇收入留存境外,用于设立、并购或参股未登记的境外企业的,应就上述直接投资活动办理境外直接投资外汇登记手续;

（二）已登记境外企业发生名称、经营期限、合资合作伙伴及合资合作方式等基本信息变更,或发生增资、减资、股权转让或置换、合并或分立等情况,境内机构应就上述变更情况办理境外直接投资外汇登记变更手续;

    （三）已登记境外企业发生长期股权或债权投资、对外担保等不涉及资本变动的重大事项的,境内机构应就上述重大事项办理境外直接投资外汇备案手续。

Article10   Wheretheequityofanoverseasenterpriseheldbyadomesticinstitutioniscanceledduetotransferofequity,bankruptcy,dissolution,liquidation,expirationofope