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(一)新设立外商投资商业企业的申报材料
I) Documents for applying for
establishing a new foreign-invested
commercial enterprise
* 1、投资者签署的设立企业申请书（原件1份）；
* 1. Application for establishing an
enterprise signed by the investor (1
original);
* 2、投资各方共同签署的可行性研究报告（原件1份）；
* 2. Feasibility study report signed
jointly by the investing parties (1
original);
*
3、投资者签字盖章的合同、章程（外商独资商业企业只报送章程，下同）及其附件（原件4份）；
* 3. Contract and articles of
association signed and sealed by the
investor (the solely foreign-owned
commercial enterprise only needs to
present the articles of association,
hereinafter the same) and the Exhibits
attached thereto (4 originals);
4、投资各方的银行资信证明（原件1份）、投资各方的营业执照或者注册登记证明或身份证明（加盖企业公章的中方企业法人营业执照复印件1份；经所在国家公证机关公证并经我国驻该国使[领]馆认证的外国投资者的注册登记证明或身份证明文件原件1份，香港、澳门或台湾地区投资者应当依法提供经当地公证机构公证的注册登记或身份证明文件原件1份）、法定代表人证明（复印件1份）；
4. Bank certification of credit standing
of investing parties (1 original),
business license or registration
certificate or identity certificate of
the investing parties (1 Xerox of the
legal person business license of the
Chinese enterprise with an official
seal; 1 original of the registration
certificate or identity certificate of
the foreign investor which is notarized
by the notarial organization of the
country of the investor and accredited
by the Chinese embassy/consulate in that
country. The investors from Hong Kong,
Macao or Taiwan shall furnish 1 original
of the registration certificate or
identity certificate notarized by the
local notarial organization according to
law), and certificate of legal
representative (1 Xerox);
5、投资各方经会计师事务所审计的最近一年的审计报告（复印件1份，成立不满1年的企业或投资者为自然人时可不提供审计报告）；
5. Audit report of the investing parties
for the last year audited by a CPA firm
(1 Xerox, the audit report may be
omitted if the enterprise has been
founded for less than 1 year or the
investor is a natural person);
6、对中国投资者拟投入到中外合资、合作商业企业的国有资产的评估报告（原件1份）；
6. Evaluation report on the state-owned
assets to be injected by the Chinese
investors to the Chinese-foreign equity
joint venture or contractual commercial
enterprise (1 original);
7、拟设立外商投资商业企业的进出口商品目录（打印，原件1份）；
7. Catalog of import & export
commodities of the planned
foreign-invested commercial enterprise
(1 printed original);
8、拟设立外商投资商业企业董事会成员名单及投资各方董事委派书（如有）（打印，原件1份）；
8. Roster of the directors of the board
of the planned foreign-invested
commercial enterprise and the
certificate of appointment of directors
(if any) (1 printed original);
9、工商行政管理部门出具的企业名称预先核准通知书（复印件1份）；
9. Advice of enterprise name
pre-approval (1 Xerox) issued by the
administration department for industry &
commerce;
10、质量技术监督管理部门出具的《全国组织机构代码预赋码通知单》（办理批准证书专用联）；
10. Advice of Code Pre-Assigned to
National Organizations (the leaf
specific to arranging for the permit)
issued by the quality & technology
supervision authority.
11、拟开设店铺所在地政府商务主管部门出具的符合城市发展及城市商业发展要求的说明文件（如在深圳市开设店铺，由深圳市贸易工业局内部审核）（原件1份）；
11. Clarification on compliance with
urban development and urban commercial
development requirements issued by the
local governmental department in charge
of commerce in the region where the
planned shop is located (e.g., issued by
the Shenzhen Trade & Industry Bureau if
the shop is located in Shenzhen) (1
original);
* 12、填报《外商投资企业（台港澳侨）批准证书存根》1份；
* 12. Counterfoil of Permit for
Foreign-invested Enterprise (for
overseas investors from Taiwan, Hong
Kong and Macao) (1 completed copy);
*
13、外国投资者或香港、澳门和台湾地区投资者与境内法律文件送达接受人签署的《法律文件送达授权委托书》（原件1份）
* 13. Power of Attorney for Serving
Legal Documents (1 original) signed
between the Chinese recipient of legal
documents and the investor from abroad
or from Hong Kong, Macao and Taiwan).
非法定代表人签署文件的，应当出具法定人委托授权书（下同）。
In case the document is issued by a
non-legal representative, the legal
representative power of attorney shall
be presented (hereinafter the same).
（二）外国投资者并购境内商业企业的申报材料
II) Documents required for foreign
investors to acquire Chinese commercial
enterprises
1、被并购境内企业法定代表人签署的申请书（原件1份，打印）；
1. Application signed by the legal
representative of the acquired Chinese
enterprise (1 printed original);
2、被并购境内有限责任公司股东一致同意外国投资者股权并购的决议，或被并购境内股份有限公司同意外国投资者股权并购的股东大会决议（原件1份）；
2. Resolution of the shareholders’
general meeting where the shareholders
of the acquired Chinese limited
liability company or the acquired
Chinese joint stock limited company
unanimously consent to the equity
acquisition by the foreign investors (1
original);
* 3、并购后所设外商投资企业的合同、章程（原件4份，外资商业企业只报送章程）；
* 3. Contract and articles of
association of the foreign-invested
enterprise established after acquisition
(4 originals. The foreign-invested
commercial enterprise only needs to
present the articles of association);
4、投资各方的银行资信证明（原件1份）、投资各方的营业执照或者注册登记证明或身份证明文件（加盖企业公章的中方企业法人营业执照复印件1份；经所在国家公证机关公证并经我国驻该国使[领]馆认证的外国投资者的注册登记证明或身份证明文件原件1份，香港、澳门或台湾地区投资者应当依法提供经当地公证机构公证的注册登记或身份证明文件原件1份）法定代表人证明（复印件1份）；
4. Bank certification of credit standing
of investing parties (1 original),
business license or registration
certificate or identity certificate of
the investing parties (1 Xerox of the
legal person business license of the
Chinese enterprise with an official
seal; 1 original of the registration
certificate or identity certificate
document of the foreign investor which
is notarized by the notarial
organization of the country of the
investor and accredited by the Chinese
embassy/consulate in that country. The
investors from Hong Kong, Macao or
Taiwan shall furnish 1 original of the
registration certificate or identity
certificate notarized by the local
notarial organization according to law),
and certificate of legal representative
(1 Xerox).
5、外国投资者购买境内公司股东股权或认购境内公司增资的协议（原件1份）；
5. Agreement that the foreign investor
purchases the shareholders’ equity of
the Chinese company or subscribes for
the increased capital of the Chinese
company (1 original);
6、被并购境内公司最近财务年度的财务审计报告，投资各方经会计师事务所审计的最近一年的审计报告（成立不满1年的企业可不要求其提供审计报告）（复印件1份）；
6. Financial audit report of the
acquired Chinese company for the last
fiscal year, audit report on investing
parties for the last fiscal year audited
by a CPA firm (omissible if the
enterprise has been founded for less
than 1 year) (1 Xerox);
7、被并购境内公司有国有资产的，应提供国有资产的评估报告及备案材料（原件1份）；
7. The state-owned assets evaluation
report and record shall be furnished in
case the acquired Chinese company
involves state-owned assets (1
original);
8、并购后企业的进出口商品目录（打印，原件1份）；
8. Catalog of import & export
commodities of the acquired enterprise
(1 printed original);
9、并购后企业董事会成员名单及投资各方董事委派书（如有）（原件1份）；
9. Roster of directors of the enterprise
after acquisition and letter of
appointment (if any) for directors of
investing parties (1 original);
10、场地使用证明文件（复印件）及（或）房屋租赁协议（复印件1份）；
10. Certification of site use (Xerox)
and/or house lease agreement (1 Xerox);
11、店铺所在地政府商务主管部门出具的符合城市发展及城市商业发展要求的说明文件（如在深圳市开设店铺，由深圳市贸易工业局内部审核）（原件1份）；
11. Clarification on compliance with
urban development and urban commercial
development requirements issued by the
local governmental department in charge
of commerce in the region where the
planned shop is located (e.g., issued by
the Shenzhen Trade & Industry Bureau if
the shop is located in Shenzhen) (1
original);
12、被并购境内公司所投资企业的情况说明（原件1份）；
12. Information about the enterprise
invested by the acquired Chinese company
(1 original);
13、被并购境内公司及其所投资企业的营业执照（复印件1份）；
13. Business license of the acquired
Chinese company and the enterprise
invested by it (1 Xerox);
14、被并购境内公司职工安置计划（原件1份）；
14. Scheme of settling staff of the
acquired Chinese company (1 original);
* 15、填报《外商投资企业（台港澳侨）批准证书存根》1份；
* 15. Counterfoil of Permit for
Foreign-invested Enterprise (for
overseas investors from Taiwan, Hong
Kong and Macao) (1 completed copy).
16、被并购境内公司“组织机构代码证”（复印件1份）；
16. “Organization code certificate” of
the acquired Chinese company (1 Xerox);
17、如果境内外企业被同一管理层所控制或其实际控制人为同一人，提交外国投资者与被并购境内公司关联关系证明材料1份；
17. If the foreign enterprise and the
Chinese enterprise are controlled by the
same management or in the charge of the
same defacto controller, 1 certificate
of the associated relationship between
the foreign investor and the acquired
Chinese company shall be submitted.
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18、外国投资者或香港、澳门和台湾地区投资者与境内法律文件送达接受人签署的《法律文件送达授权委托书》（原件1份）。
* 18. Power of Attorney for Serving
Legal Documents (1 original) signed
between the Chinese recipient of legal
documents and the investor from abroad
or from Hong Kong, Macao and Taiwan.
注：
Note:
1、下列情形之一的，须上报商务部审批，报送全套资料一式一份和全套资料的复印件（申请、合同、章程应为原件，下同）一式一份，涉及开设店铺的报送全套资料一式一份和全套资料的复印件一式二份：
1. In one of the following
circumstances, one original and one
Xerox of each item of the whole suite of
documents (application, contract and
articles of association shall be in the
form of original, hereinafter the same)
shall be presented to the State Ministry
of Commerce for approval. In case shop
establishment is involved, one original
of each item of the whole suite of
documents and 2 Xerox copies of each
item of the whole suite of documents
shall be presented:
① 通过电视、电话、邮购、互联网、自动售货机等方式销售；
? Sell commodities through television,
telephone, post, Internet or automat.
②
分销商品涉及钢材、贵金属、铁矿石、燃料油、天然橡胶等重要工业原材料，及图书、报纸、期刊、成品油和原油、药品、汽车、农药和农膜化肥、盐、音像制品（批发）等；
‚ The distributed commodities involve
important industrial raw materials such
as steel, rare metal, iron ore, fuel
oil, and natural rubber as well as
books, newspaper, journals, finished oil
and raw oil, pharmaceutical products,
automobiles, pesticide and farm film and
chemical fertilizer, salt, and audio &
video products (wholesale);
③
零售店铺：单一店铺营业面积超过5000平方米，且店铺数量超过3家，其外国投资者通过设立的外商投资商业企业在中国开设同类店铺总数超过30家；单一店铺营业面积超过3000平方米，店铺数量超过5家，其外国投资者通过设立的外商投资商业企业在中国开设同类店铺总数超过50家的零售项目。
ƒ Retail shops: The operation area of a
single shop exceeds 5,000 m2, and the
number of shops exceeds 3, and its
foreign investor has set more than 30
shops of the same type in China through
the established foreign-invested
commercial enterprise; the operation
area of a single shop exceeds 3,000m2,
and the number of shops exceeds 5, and
its foreign investor has set more than
50 shops of the same type in China
through the established foreign-invested
commercial enterprise.
④
通过并购方式设立外商投资商业企业的，如果境内外企业被同一管理层所控制或其实际控制人为同一人。
„ In case the foreign-invested
commercial enterprise is established in
the form of acquisition, the foreign
enterprise and the Chinese enterprise
are controlled by the same management or
in the charge of the same controller.
2、除上述报商务部审批情形的，其余均可由深圳市贸易工业局直接审批。
2. Except the foregoing circumstances
which require approval of the State
Ministry of Commerce, the documents can
be presented to Shenzhen Trade &
Industry Bureau for approval.
申报企业按申报须知报送全套资料到深圳市贸易工业局（市民中心服务大厅东厅8、9号窗口），深圳市贸易工业局在收到全部申请资料后三十个工作日内作出是否批准的决定，对于批准的，颁发《外商投资企业批准证书》，对于不批准的，应说明原因。
The applicant shall present the whole
suite of documents to Shenzhen Trade &
Industry Bureau (windows 8 and 9 in the
East Hall of the Citizen Center Service
Hall) against the declaration notice.
Shenzhen Trade & Industry Bureau shall
decide whether to grant an approval
within 30 business days after receiving
all application documents, and will
issue the Foreign-invested Enterprise
Permit if the approval is granted, or
specify the reasons if no approval is
granted.
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