外商投资企业设立审批申报材料
Notification Materials for Approval of Establishment of Foreign-funded enterprises

（一）合营企业 
I. Joint Enterprises

1．设立合营企业的申请书（原件1份，合营各方签字、盖章）；
1. The application of establishing joint enterprises (with one original, signed and sealed by each party); 

2．合营各方共同编制的可行性研究报告（原件3份，合营各方签字、盖章）；
2. The research report on feasibility which is compiled by each party (with three originals, signed and sealed by each party);

3．合营各方授权代表签署的合营企业合同和章程（正本各4份，由合营各方法定代表人或授权代表签字并加盖各方公章）；
3. The contract and the constitution of the joint enterprise which are signed by the authorized representatives of each party (with four originals on each party, signed by the legal representatives or the authorized representatives of each party, with official seals of each party);

4．合营各方的开业证明文件（营业执照或者注册登记证明）（复印件各1份，中方企业法人营业执照加盖企业公章, 外方投资者为自然人的提供其身份证明文件）；
4. The business certificates of each party (the Business License or the Registration Certificate) (with one copy on each party, Business License of Juridical Person of Sino Party with official seal; Identification certificate for foreign investors who were natural persons);

5．由合营各方委派的合营企业董事长、副董事长、董事人选名单（原件1份）；
5. The name list of the joint enterprise’s Chairman of the board, Vice-chairman of the board and Directors who are delegated by each party (with one original);

6．工商行政管理部门出具的名称核准书（复印件1份）；
6. The Ratification of Name of the Enterprises issued by Industrial and Commercial Administration Bureau (with one copy);

7．《全国组织机构代码预赋码通知单》（第1联）；
7. Pre-endowed Code Notification of National Organizational Code (The first copy);

8．填报《外商投资企业（台港澳侨）批准证书存根》1份；
8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese); 

9．涉及环境项目，提交环保部门出具的环保批文（原件、复印件各1份）。前列文件，除第4项中所列外国合营者提供的文件外，必须报送中文本，第2、第3和第5项所列文件可以同时报送合营各方商定的一种外文本。（法律依据：《中华人民共和国中外合资经营企业法实施条例》（2001年7月22修订）第七条。）

9. Present the Environmental Protection Approval issued by Environmental Protection Bureau referring to environment items (with one original and one copy). A Chinese version should be attached on the above documents except the document provided by foreign joint venturers in item No. 4. A foreign version agreed by each party can be attached on documents in item No. 2, No. 3 and No. 5.(Legislative authority: Article 7 from Law and Implementation Regulation of the P.R.C on Sino-foreign Joint Enterprise (Revised on July. 22nd.2001). )

（二）合作企业
II. Cooperative Enterprises

1．设立合作企业的项目建议书（原件1份，合作各方签字、盖章）；
1. The Item Proposal on the establishment of cooperative enterprises (with one original, signed and sealed by each parties);

2．合作各方共同编制的可行性研究报告（原件3份，合作各方签字、盖章）；
2. The research report on feasibility which is compiled by each party (with three originals, signed and sealed by each party);

3．由合作各方法定代表人或其授权的代表签署、并加盖各方公章的合作企业合同和章程（正本各4份）；
3. The contract and the constitution of the cooperative enterprise which are signed and sealed by the legal representatives or the authorized representatives of each party (with four originals on each party); 

4．合作各方的营业执照或者注册登记证明（复印件各1份、中方企业法人营业执照加盖公章，外方投资者为自然人的提供其身份证明文件）、资信证明及法定代表人的有效证明文件（原件各1份）；
4. The Business License or the Registration Certificate of each party (one copy on each party, Business License of Juridical Person of Sino Party with official seal; Identification certificate for foreign investors who were natural persons), the credit certification and the valid certificate of the legal representatives (with one original on each party);

5．合作各方协商确定的合作企业董事长、副董事长、董事或者联合管理委员会主任、副主任、委员的人选名单（原件1份）；
5. The name list of the cooperative enterprise’s Chairman of the board, Vice-chairman of the board and Directors or chief, vice-chief and committee members of the Joint Management Committee who are agreed by each party (with one original); 

6．工商行政管理部门出具的名称核准书（复印件1份）；
6. The Ratification of Name of the Enterprises issued by Industrial and Commercial Administration Bureau (with one copy);

7．《全国组织机构代码预赋码通知单》（第1联）；

7. Pre-endowed Code Notification of National Organizational Code (The first copy);

8．填报《外商投资企业（台港澳侨）批准证书存根》1份；
8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese);

9．涉及环境项目，提交环保部门出具的环保批文（原件、复印件各1份）。前列文件，除第4项中所列外国合作者提供的文件外，必须报送中文本，第2、第3和第5项所列文件可以同时报送合作各方商定的一种外文本。（法律依据：《中华人民共和国中外合作经营企业法实施细则》（1995年9月4日对外贸易经济合作部令[1995]第6号）第七条。）
9. Present the Environmental Protection Approval issued by Environmental Protection Bureau referring to environment items (with one original and one copy). A Chinese version should be attached on the above documents except the document provided by foreign joint venturers in item No. 4. A foreign version agreed by each party can be attached on documents in item No. 2, No. 3 and No. 5.(Legislative authority: Article 7 from Law and Implementation Regulation of the P.R.C on Sino-foreign Cooperative Enterprise (Order No. 6 of the Ministry of Foreign Trade and Economic Cooperation [1995] on Sep. 4th, 1995.)

（三）外资企业
III.　Foreign-funded enterprises

1．设立外资企业申请书（原件1份，投资者签字盖章）；
1. The application of establishing Foreign-funded enterprises (with one original, signed and sealed by investors);

2．可行性研究报告（原件3份、投资者签字、盖章）； 
2. The research report on feasibility (with three originals, signed and sealed by investors);

3．外资企业章程（正本4份，投资者签字并加盖公章）； 
3. The constitution of the Foreign-funded enterprises (with four originals with official seals, signed by investors);

4．外资企业法定代表人（或者董事会人选）名单（原件1份）；
4. Name list of the legal representatives of the Foreign-funded enterprises (or the directors of the board) (with one original);

5．外国投资者的身份证明文件或开业证明文件（复印件1份）和资信证明文件（原件1份）； 
5. The identification certificates or the business certificates (with one copy) and the credit certification of the foreign investors (with one original); 

6．工商行政管理部门出具的名称核准书（复印件1份）；
6. The Ratification of Name of the Enterprise issued by Industrial and Commercial Administration Bureau (with one copy);

7．《全国组织机构代码预赋码通知单》（第1联）；
7. National organizational code pre-endowed code requisition (The first copy);

8．填报《外商投资企业（台港澳侨）批准证书存根》1份；
8. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese);

9．涉及环境项目，提交环保部门出具的环保批文（原件、复印件各1份）。前列1、3项文件必须用中文书写；2、4、5项文件可以用外文书写，但应当附中文译文。两个或者两个以上外国投资者共同申请设立外资企业，应当将其签订的合同副本报送审批机关备案。（法律依据：《中华人民共和国外资企业法实施细则》（2001年4月12日修订）第十条。）
9. Present the Environmental Protection Approval issued by Environmental Protection Bureau referring to environment items (one original and one copy). The above item No. 1 and No.3 must be filed in Chinese version; the documents from the item No. 2, No. 4 and No. 5 can be filed in foreign version, and the Chinese version of that should be enclosed. If the Foreign-funded enterprises are applied together by two or more foreign investors, a copy of the signed contract should be presented to Examination and Approval Organs to file.(Legislative authority: Article 10 from Law and Implementation Regulation of the P.R.C on Foreign-funded Enterprise (Revised on Apr. 12th, 2001). )

（四）外国投资者并购境内企业
IV. Foreign investors annex the domestic funded enterprises

1．股权并购须报送下列文件：
1. Stock rights annexation should present the documents below:

（1）被并购境内公司依法变更设立为外商投资企业的申请书正本1份（公司法定代表人签字并加盖企业公章）；
A. One original of the application of the domestic funded enterprises annexed to be legal changed into Foreign-funded enterprises (signed by the enterprise’s legal representatives with official seals of the enterprises); 

（2）被并购的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，或被并购的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正本1份；

B. One original of the agreement on stock rights annexation of the foreign investor by the stock shareholders of the domestic limited liability companies annexed or agreement on stock rights annexation of the foreign investor of the shareholder’s meeting by the domestic limited liability companies annexation; 

（3）股权并购后由投资各方签署所设外商投资企业的合同、章程正本各4份（外商独资企业只提交章程）；
C. Four originals of the contract and the constitution of the Foreign-funded enterprises signed and established by all investing parties after the stock rights annexation respectively (constitution only for solely foreign-funded enterprises);

（4）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正本1份；
D. One original of the agreement of the foreign investors buying the shareholders’ stock rights of domestic funded enterprises or subscribing increased capital of the domestic funded enterprises;

（5）被并购境内公司最近财务年度的财务审计报告复印件1份；
E. One copy of the financial audit report at the latest fiscal years of the domestic funded enterprises annexed; 

（6）投资者的身份证明文件或开业证明、资信证明文件复印件1份；
F. One copy of the identification certificate or the business certificate and credit certificate of the investors;

（7）被并购境内公司所投资企业的情况说明正本1份，被并购境内公司及其所投资企业的营业执照复印件各1份；
G. One original of specification of the enterprises invested by the domestic funded enterprises annexed, one copy of the Business License of the domestic funded enterprises annexed and the enterprises invested by them respectively;

（8）被并购境内公司职工安置计划正本1份（并购后所设外商投资企业各方投资者法人或授权代表签字并加盖公章）；
H. One original of the personnel placement program of the domestic funded enterprises annexed (signed by legal representatives or authorized representatives of the Foreign-funded enterprises’ investors after annexation with official seals); 

（9）外国投资者、被并购境内企业、债权人及其它当事人对被并购境内企业的债权债务的处置另行达成协议的，提交债权债务的处置协议（原件1份）；

I. The disposal agreement on credit and debts about the domestic funded enterprises annexed should be presented which is made by the foreign investors, the domestic funded enterprises annexed, the creditor and others related; (with one original);

（10）外国投资者并购境内公司是否存在造成境内市场过度集中，妨害境内正当竞争、损害境内消费利益的情况说明正本1份；
J. One original specification about whether the annexation of foreign investors to the domestic funded enterprises will lead to market overcentralization, disturb the legitimate competition or harm the consumers benefit within China;

（11）填报《外商投资企业（台港澳侨）批准证书存根》1份；
K. One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, Hong Kong, Macao, Overseas Chinese);

（12）被并购境内公司“组织机构代码证”复印件1份。
L. One copy of the “Organizational Code Certificate” of the domestic funded enterprises annexed. 

2．资产并购须报送下列文件：
2. The documents below should be presented for assets annexation: 

（1）由投资者签署的外商投资企业设立申请书正本1份；
1) One original of application of establishing Foreign-funded enterprises signed by investors;

（2）境内公司产权持有人或权力机构同意出售资产的决议正本1份；
2) One original of the decision of selling the assets made by the property right owners of the domestic funded enterprises or authority organization;

（3）投资各方签署的拟设立外商投资企业的合同、章程正本各4份（外商独资企业只提交章程）； 
3) Four originals of the contract and the constitution signed by all the investing parties in which a Foreign-funded enterprises will be framed respectively; (constitution only for solely foreign-funded enterprises);

（4）拟设立的外商投资企业与境内公司签署的资产购买协议，或外国投资者与境内公司签署的资产购买协议正本1份；
4) One original of the Assets Purchase Agreement signed by the framed Foreign-funded enterprises andthe domestic funded enterprises or Assets Purchase Agreement signed by the foreign investors and the domestic funded enterprises;

（5）被并购境内公司的章程、营业执照复印件各1份；
5) One copy of the constitution and Business License of the domestic funded enterprises annexed respectively;

（6）被并购境内公司通知、公告债权人的证明正本各1份；
6) One original of the notification and declaration of the domestic funded enterprises annexed to the creditors respectively;

（7）投资者的身份证明文件或开业证明文件复印件1份、有关资信证明文件（复印件）；
7) one copy of the identification certificate or business certificate of the foreign investors and the related credit certification (copy);

（8）被并购境内公司职工安置计划正本1份（并购后所设外商投资企业各方投资者法人或授权代表签字并加盖公章）；
8) One original of the personnel placement program of the domestic funded enterprises annexed (signed by legal representatives or authorized representatives of the Foreign-funded enterprises’ investors after annexation with official seals)

（9）外国投资者、被并购境内企业、债权人及其它当事人对被并购境内企业的债权债务的处置另行达成协议的，提交债权债务的处置协议（原件1份）；
9) The disposal agreement on credit and debts about the domestic funded enterprises annexed should be presented which is made by the foreign investors, the domestic funded enterprises annexed, the creditor and others related; (with one original)

（10）外国投资者并购境内公司是否存在造成境内市场过度集中，妨害境内正当竞争、损害境内消费者利益的情况说明原件1份；
10) One original specification about whether the annexation of foreign investors to the domestic funded enterprises will lead to market overcentralization, disturb the legitimate competition or hurt the consumer benefit within China;

（11）填报《外商投资企业（台港澳侨）批准证书存根》1份；
11) One copy of the Counterfoil of Approval Certificate for Foreign-funded enterprises (Taiwan, HongKong, Macao, Overseas Chinese)

（12）《全国组织机构代码预赋码通知单》第1联。（法律依据：《外国投资者并购境内企业暂行规定》（2003年3月27日对外贸易经济合作部、国家税务总局、国家工商行政管理总局、国家外汇管理局令[2003]第3号）第12条、第15条）
12)National organizational code pre-endowed code requisition (The first copy); (Legislative authority: Provisional Rules on the Merger and Acquisition of Domestic Funded Enterprises by Foreign Investors (from the Article 12 and15 of Order No. 3 of the Ministry of Foreign Trade and Economic Cooperation, State Taxation Administration, State Administration of Industry and Commerce, State Administration of Foreign Exchange [2003] on March. 27th . 2003)