Pilot Free Trade Zone Foreign Investment Negative List

ALL TRANSLATIONS ON THIS SITE ARE UNOFFICIAL AND ARE PROVIDED FOR REFERENCE PURPOSES ONLY. THESE TRANSLATIONS ARE CREATED AND CONTINUOUSLY UPDATED BY USERS --THEY ARE FREE TO VIEW, BUT PROPER ATTRIBUTION IS REQUIRED FOR DISTRIBUTION OF THESE OR DERIVATIVE TRANSLATIONS.

Index number: 000014349/2015-00049

Subject Category: Trade, customs, tourism foreign trade and economic cooperation

Issuing Organ: General Office of the State Council

Document date: 4/8/2015

Title: State Council General Office Notice on Issuing Special Administrative Measures (Negative List) on Foreign Investment in Pilot Free Trade Zones

Issue Number: SCGO Release (2015) No.23

Release date: 4/20/2015

Source: http://www.gov.cn/zhengce/content/2015-4/20/content_9627.htm

Skip Ahead to the Negative List

 

State Council General Office Notice on Issuing Special Administrative Measures (Negative List) on Foreign Investment in Pilot Free Trade Zones

State Council General Office (2015) No. 23

 

To all levels of people's government, and to all ministries and commissions directly under the State Council:

The free trade zone access to special measures to control foreign investment (negative list) has been agreed by the State Council, it is issued to you, please stick to it. Major problems in implementation, and report it to the State Department report.

 

General Office of the State Council

4/8/2015

 

(for public release)

 

Special Administrative Measures (Negative List) on Foreign Investment in Pilot Free Trade Zones

 

Explanation

 

一、《自由贸易试验区外商投资准入特别管理措施(负面清单)》(以下简称《自贸试验区负面清单》)依据现行有关法律法规制定,已经国务院批准,现予以发布。负面清单列明了不符合国民待遇等原则的外商投资准入特别管理措施,适用于上海、广东、天津、福建四个自由贸易试验区(以下统称自贸试验区)。

二、《自贸试验区负面清单》依据《国民经济行业分类》(GB/T4754—2011)划分为15个门类、50个条目、122项特别管理措施。其中特别管理措施包括具体行业措施和适用于所有行业的水平措施。

三、《自贸试验区负面清单》中未列出的与国家安全、公共秩序、公共文化、金融审慎、政府采购、补贴、特殊手续和税收相关的特别管理措施,按照现行规定执行。自贸试验区内的外商投资涉及国家安全的,须按照《自由贸易试验区外商投资国家安全审查试行办法》进行安全审查。

四、《自贸试验区负面清单》之外的领域,在自贸试验区内按照内外资一致原则实施管理,并由所在地省级人民政府发布实施指南,做好相关引导工作。

五、香港特别行政区、澳门特别行政区、台湾地区投资者在自贸试验区内投资参照《自贸试验区负面清单》执行。内地与香港特别行政区、澳门特别行政区关于建立更紧密经贸关系的安排及其补充协议,《海峡两岸经济合作框架协议》,我国签署的自贸协定中适用于自贸试验区并对符合条件的投资者有更优惠的开放措施的,按照相关协议或协定的规定执行。

VI, The "Pilot Free Trade Zones Negative List" takes effect 30 days after its release, and is adjusted when appropriate.

Special Administrative Measures (Negative List) on Foreign Investment in Pilot Free Trade Zones

NumberFieldSpecial Management Measures
I. Agriculture, Forestry, Animal Husbandry and Fishery
(1)Seed industry1. Investment in research, breeding and cultivation of rare and unique Chinese varieties of fine-quality and valuable seed is prohibited, as well as investment in the production of data related to their breeding (including top-quality genes for farming, animal husbandry, aquaculture).

2. Investment in breeding transgenic varieties of crops, aquatic seedlings, livestock and poultry and the production of their genetically-modified seeds (seedlings) is prohibited.

3. Breeding of new crop varieties and seed production is a restricted category, and must be controlled by the Chinese side.

4. The acquisition of crop germplasm resources is prohibited without prior approval.

(2)Fishing5. Engaging in fishing activities in waters under Chinese jurisdiction must be approved by the Chinese government.

6. Cooperatives, joint ventures or other entities which have not been approved and which introduce boats to waters under Chinese jurisdiction to conduct fishing operations shall submit a Fishing and Trawling Instrument Quota Application.

II. Mining Industry
(3)Exploration and exploitation of the continental shelf and the exclusive economic zone7. Exploration or exploitation of natural resources within China's exclusive economic zone and the continental shelf within that zone, or drilling into China's continental shelf for any purpose must be approved by the Chinese government
(4)Petroleum and natural gas extraction8. Exploration and exploitation of petroleum and natural gas (including oil shale, oil sands, shale gas, coalbed methane and other unconventional oil and gas) are limited to joint ventures and cooperation.
(5)Rare earths and rare minerals mining and extraction9. Investment in exploration, exploitation and processing of rare earths is prohibited. Entering rare earth mining areas or obtaining geological data, ore samples or production technology from mines are prohibited without prior approval.

10. Investment in tungsten, molybdenum, tin, antimony and fluorite exploration and mining is prohibited.

11. Investment in exploration, mining and processing of radioactive minerals is prohibited.

(6)Metal and Nonmetal minerals mine selection and purchase12. Precious metals (gold, silver, platinum) exploration and mining is a restricted category.

13. lithium ore mining and processing, is restricted category.

14. Exploration and mining for graphite, is a restricted category.

III. Manufacturing Industry
(7)Aerospace manufacturing15. 干线、支线飞机设计、制造与维修,3吨级及以上民用直升机设计与制造,地面、水面效应飞机制造及无人机、浮空器设计与制造,须由中方控股。

16. The design, manufacturing and maintenance of general aviation aircraft is restricted to equity joint ventures or cooperation.

(8)Ship manufacturing17. The manufacture of low and medium speed diesel engines and crankshafts, must be controlled by the Chinese side.

18. The manufacture and repair of marine engineering equipment (including modules) must be controlled by the Chinese side.

19. 船舶(含分段)修理、设计与制造属于限制类,须由中方控股。

(9)Automobile manufacturing20. 汽车整车、专用汽车制造属于限制类,中方股比不低于50%;同一家外商可在国内建立两家(含两家)以下生产同类(乘用车类、商用车类)整车产品的合资企业,如与中方合资伙伴联合兼并国内其他汽车生产企业可不受两家的限制。21. 新建纯电动乘用车生产企业生产的产品须使用自有品牌,拥有自主知识产权和已授权的相关发明专利。
(10)Rail transportation equipment manufacturing22. 轨道交通运输设备制造限于合资、合作(与高速铁路、铁路客运专线、城际铁路配套的乘客服务设施和设备的研发、设计与制造,与高速铁路、铁路客运专线、城际铁路相关的轨道和桥梁设备研发、设计与制造,电气化铁路设备和器材制造,铁路客车排污设备制造等除外)。

23. 城市轨道交通项目设备国产化比例须达到70%及以上。

(11)Communications equipment manufacturing24. The design and manufacture of satellites for civil use and the manufacture of civilian satellite payloads must be controlled by the Chinese side.

25. 卫星电视广播地面接收设施及关键件生产属于限制类。

(12)Mineral smelting and pressing processing26. 钨、钼、锡(锡化合物除外)、锑(含氧化锑和硫化锑)等稀有金属冶炼属于限制类。

27. Rare earth smelting and separation is a restricted category, limited to joint ventures or cooperation.

28. Investment in smelting and processing of radioactive minerals is prohibited.

(13)Pharmaceutical manufacturing29. 禁止投资列入《野生药材资源保护管理条例》和《中国稀有濒危保护植物名录》的中药材加工。

30. 禁止投资中药饮片的蒸、炒、炙、煅等炮制技术的应用及中成药保密处方产品的生产。

(14)Other manufacturing industries31. 禁止投资象牙雕刻、虎骨加工、宣纸和墨锭生产等民族传统工艺。
IV. Electricity, Heating, Gas and Water Production and Supply Industries
(15)Atomic energy32. The construction and operation of nuclear power plants is to be controlled by the Chinese side.

33. 核燃料、核材料、铀产品以及相关核技术的生产经营和进出口由具有资质的中央企业实行专营。

34. Only State-owned or State-controlled enterprises may engage in disposal of solid radioactive waste.

(16)Pipeline facilities35. Construction and operation of gas, heat, water supply and of drainage pipe networks for cities with populations of 500,000 or more is a restricted category, and must be controlled by the Chinese side.

36. Construction and management of power networks must be controlled by the Chinese side.

V. Wholesale and Retail Industries
(17)专营及特许经营37. 对烟草实行专营制度。烟草专卖品(指卷烟、雪茄烟、烟丝、复烤烟叶、烟叶、卷烟纸、滤嘴棒、烟用丝束、烟草专用机械)的生产、销售、进出口实行专卖管理,并实行烟草专卖许可证制度。禁止投资烟叶、卷烟、复烤烟叶及其他烟草制品的批发、零售。

38. 对中央储备粮(油)实行专营制度。中国储备粮管理总公司具体负责中央储备粮(含中央储备油)的收购、储存、经营和管理。

39. 对免税商品销售业务实行特许经营和集中统一管理。

40. 对彩票发行、销售实行特许经营,禁止在中华人民共和国境内发行、销售境外彩票。

VI.Transport, storage and postal services
(18)Road transport41. Road passenger transport companies are a restricted category.
(19)Railway transport42. Construction and operation of railways must be controlled by the Chinese side.

43. Railway passenger transport companies are a restricted category, and must be controlled by the Chinese side.

(20)Water transport44. 水上运输公司(上海自贸试验区内设立的国际船舶运输企业除外)属于限制类,须由中方控股,且不得经营以下业务:

(1)中国国内水路运输业务,包括以租用中国籍船舶或者舱位等方式变相经营水路运输业务;

(2)国内船舶管理、水路旅客运输代理和水路货物运输代理业务。

45. The foreign investment in a shipping agents will not exceed 51%.

46. 外轮理货属于限制类,限于合资、合作。

47. 水路运输经营者不得使用外国籍船舶经营国内水路运输业务,经中国政府许可的特殊情形除外。

48. 中国港口之间的海上运输和拖航,由悬挂中华人民共和国国旗的船舶经营。外国籍船舶经营中国港口之间的海上运输和拖航,须经中国政府批准。

(21)Public aviation transport49. 公共航空运输企业须由中方控股,单一外国投资者(包括其关联企业)投资比例不超过25%。

50. 公共航空运输企业董事长和法定代表人须由中国籍公民担任。

51. 外国航空器经营人不得经营中国境内两点之间的运输。

52. 只有中国指定承运人可以经营中国与其他缔约方签订的双边运输协议确定的双边航空运输市场。

(22)General aviation53. 允许以合资方式投资专门从事农、林、渔作业的通用航空企业,其他通用航空企业须由中方控股。

54. 通用航空企业法定代表人须由中国籍公民担任。

55. 禁止外籍航空器或者外籍人员从事航空摄影、遥感测绘、矿产资源勘查等重要专业领域的通用航空飞行。

(23)Civilian airports and air traffic control56. It is prohibited to invest and operate the air traffic control system.

57. Construction and management of civil airports must be controlled by the Chinese side.

(24)Postal services58. It is prohibited to invest in post enterprises or operate postal services.

59. It is prohibited to operate domestic mails courrier services.

VII. Information transmission, software and information technology services industry
(25)Telecommunications transport services60. 电信公司属于限制类,限于中国入世承诺开放的电信业务,其中:增值电信业务(电子商务除外)外资比例不超过50%,基础电信业务经营者须为依法设立的专门从事基础电信业务的公司,且公司中国有股权或者股份不少于51%。
(26)The Internet and related services61. 禁止投资互联网新闻服务、网络出版服务、网络视听节目服务、网络文化经营(音乐除外)、互联网上网服务营业场所、互联网公众发布信息服务(上述服务中,中国入世承诺中已开放的内容除外)。

62. 禁止从事互联网地图编制和出版活动(上述服务中,中国入世承诺中已开放的内容除外)。

63. 互联网新闻信息服务单位与外国投资者进行涉及互联网新闻信息服务业务的合作,应报经中国政府进行安全评估。

VII. Finance Industry
(27)Banking and stockholding institutional type requirements64. Offshore investor investing in baking or finance institutions shall be a financial institution or specially-designated type of institution. Specific qualifications:
(1)外商独资银行股东、中外合资银行外方股东应为金融机构,且外方唯一或者控股/主要股东应为商业银行;
(2)投资中资商业银行、信托公司的应为金融机构;
(3)投资农村商业银行、农村合作银行、农村信用(合作)联社、村镇银行的应为境外银行;
(4)投资金融租赁公司的应为金融机构或融资租赁公司;
(5)消费金融公司的主要出资人应为金融机构;
(6)投资货币经纪公司的应为货币经纪公司;
(7)投资金融资产管理公司的应为金融机构,且不得参与发起设立金融资产管理公司;
(8) Organizations that should be financial organizations but there is no clear provision in laws or regulations.
(28)Banking qualification requirements65. 境外投资者投资银行业金融机构须符合一定数额的总资产要求,具体包括:
(1)外资法人银行外方唯一或者控股/主要股东、外国银行分行的母行;
(2)中资商业银行、农村商业银行、农村合作银行、农村信用(合作)联社、村镇银行、信托公司、金融租赁公司、贷款公司、金融资产管理公司的境外投资者;
(3)法律法规未明确不适用的其他银行业金融机构的境外投资者。

66. 境外投资者投资货币经纪公司须满足相关业务年限、全球机构网络和资讯通信网络等特定条件。

(39)Banking share proportion requirements67. 境外投资者入股中资商业银行、农村商业银行、农村合作银行、农村信用(合作)联社、金融资产管理公司等银行业金融机构受单一股东和合计持股比例限制。
(30)Foreign-funded banks68. 除符合股东机构类型要求和资质要求外,外资银行还受限于以下条件:
(1)外国银行分行不可从事《中华人民共和国商业银行法》允许经营的“代理发行、代理兑付、承销政府债券”、“代理收付款项”、“从事银行卡业务”,除可以吸收中国境内公民每笔不少于100万元人民币的定期存款外,外国银行分行不得经营对中国境内公民的人民币业务;
(2)外国银行分行应当由总行无偿拨付营运资金,营运资金的一部分应以特定形式存在并符合相应管理要求;
(3)外国银行分行须满足人民币营运资金充足性(8%)要求;
(4)外资银行获准经营人民币业务须满足最低开业时间要求。
(31)Futures companies69. Futures companies are a restricted category, and must be controlled by the Chinese side.
(32)Securities companies70. Stock company are a restricted category, foreign investments are not to exceed 49%.

71. 单个境外投资者持有(包括直接持有和间接控制)上市内资证券公司股份的比例不超过20%;全部境外投资者持有(包括直接持有和间接控制)上市内资证券公司股份的比例不超过25%。

(33)Securities investment fund management companies72. the securities investment fund management companies are a restricted category, foreign investments are not to exceed 49%.
(34)Securities and futures trading73. Must not become ordinary members of the stock exchange and members of the Futures Exchange.

74. Must not apply to establish A securities accounts and futures accounts.

(35)Establishing insurance institutions 75. 保险公司属于限制类(寿险公司外资比例不超过50%),境内保险公司合计持有保险资产管理公司的股份不低于75%。

76. 申请设立外资保险公司的外国保险公司,以及投资入股保险公司的境外金融机构(通过证券交易所购买上市保险公司股票的除外),须符合中国保险监管部门规定的经营年限、总资产等条件。

(36)Insurance services77. 非经中国保险监管部门批准,外资保险公司不得与其关联企业从事再保险的分出或者分入业务。
IX. leasing and business services
(37)Accounting and auditing78. 担任特殊普通合伙会计师事务所首席合伙人(或履行最高管理职责的其他职务),须具有中国国籍。
(38)Legal services79. Foreign law firms may only enter China through representative offices; the establishment of representative offices and appointment of China-based representatives must be approved by the Chinese judicial administrative departments.

80. Practice of Chinese law is prohibited, and one must not become a partner in a domestic law firm.

81. The representative offices of foreign law firms cannot employ practicing Chinese lawyers, and auxiliary staff cannot provide legal services to clients.

(39)Statistical investigations 82.实行涉外调查机构资格认定制度和涉外社会调查项目审批制度。

83. Investment in social surveys is prohibited.

84.市场调查属于限制类,限于合资、合作,其中广播电视收听、收视调查须由中方控股。

85. Rating services are a restricted category.

(40)Other business services86.因私出入境中介机构法定代表人须为具有境内常住户口、具有完全民事行为能力的中国公民。
X. scientific research and technological services industries
(41)Professional and technical services87.禁止投资大地测量、海洋测绘、测绘航空摄影、行政区域界线测绘,地形图、世界政区地图、全国政区地图、省级及以下政区地图、全国性教学地图、地方性教学地图和真三维地图编制,导航电子地图编制,区域性的地质填图、矿产地质、地球物理、地球化学、水文地质、环境地质、地质灾害、遥感地质等调查。

88. Surveying and mapping is a restricted category, and must be controlled by the Chinese side.

89. It is prohibited to invest in development and application of human stem cell or genetic diagnosis and treatment technology.

90. The establishment and operation of humanities and social sciences research institutes is prohibited.

XI. Water conservancy, environment and public facilities management industries
(42)Animal and plant resource protection91. Investment in development of protected native resources and China's wild animal and plant resources is prohibited.

92.The collection or acquisition of key state protected wild plants is prohibited.

XII. Education
(43)Education93. 外国教育机构、其他组织或者个人不得单独设立以中国公民为主要招生对象的学校及其他教育机构(不包括非学制类职业技能培训)。

94. 外国教育机构可以同中国教育机构合作举办以中国公民为主要招生对象的教育机构,中外合作办学者可以合作举办各级各类教育机构,但是:
(1)不得举办实施义务教育和实施军事、警察、政治和党校等特殊领域教育机构;
(2)外国宗教组织、宗教机构、宗教院校和宗教教职人员不得在中国境内从事合作办学活动,中外合作办学机构不得进行宗教教育和开展宗教活动;
(3)普通高中教育机构、高等教育机构和学前教育属于限制类,须由中方主导(校长或者主要行政负责人应当具有中国国籍,在中国境内定居;理事会、董事会或者联合管理委员会的中方组成人员不得少于1/2;教育教学活动和课程教材须遵守我国相关法律法规及有关规定)。

XIII. Health and Social Work
(44)Medical Treatment95. Medical institutions are a restricted category, and are limited to equity ventures or cooperation.
14. Culture, sports, and entertainment
(45)Radio and television broadcasting, transmission, production, management96. 禁止投资设立和经营各级广播电台(站)、电视台(站)、广播电视频率频道和时段栏目、广播电视传输覆盖网(广播电视发射台、转播台〔包括差转台、收转台〕、广播电视卫星、卫星上行站、卫星收转站、微波站、监测台〔站〕及有线广播电视传输覆盖网等),禁止从事广播电视视频点播业务和卫星电视广播地面接收设施安装服务。

97. Investment in broadcast television production and management companies is prohibited.

98.对境外卫星频道落地实行审批制度。引进境外影视剧和以卫星传送方式引进其他境外电视节目由新闻出版广电总局指定的单位申报。

99. A licensing system is implemented for Sino-foreign cooperative television programs (including televised cartoons) .

(46)Press and publishing, radio, film and television, financial information100. to prohibit investment in news agencies, periodical publishers, publishing houses or press agencies.

101. Foreign news agencies establishing permanent offices in China or sending journalists to be based in China, shall get approval from the Chinese Government.

102. Foreign news agencies providing news service operations in China need to be reviewed and approved by the Chinese Government.

103. Investment or management of the publication of books, newspapers, periodicals, audio and video products and electronic publications is prohibited; newspaper layout operations are prohibited.

104. 中外新闻机构业务合作、中外合作新闻出版项目,须中方主导,且须经中国政府批准(经中国政府批准,允许境内科学技术类期刊与境外期刊建立版权合作关系,合作期限不超过5年,合作期满需延长的,须再次申请报批。中方掌握内容的终审权,外方人员不得参与中方期刊的编辑、出版活动)。

105. 禁止从事电影、广播电视节目、美术品和数字文献数据库及其出版物等文化产品进口业务(上述服务中,中国入世承诺中已开放的内容除外)。

106. Printing of publications is a restricted category, and must be controlled by the Chinese side.

107. Without approval from the Chinese government, it is prohibited to provide financial information services within China.

108. 境外传媒(包括外国和港澳台地区报社、期刊社、图书出版社、音像出版社、电子出版物出版公司以及广播、电影、电视等大众传播机构)不得在中国境内设立代理机构或编辑部。如需设立办事机构,须经审批。

(47)Film production, distribution, and exhibition109. It is prohibited to invest in film production , distribution, or theater companies.

110. The Chinese Government implements a permit system for Sino-foreign co-production of film.

111. 电影院的建设、经营须由中方控股。放映电影片,应当符合中国政府规定的国产电影片与进口电影片放映的时间比例。放映单位年放映国产电影片的时间不得低于年放映电影片时间总和的2/3。

(48)Intangible cultural heritage, cultural artifacts and archaeology112. 禁止投资和经营文物拍卖的拍卖企业、文物购销企业。

113. Investment and operation in state owned cultural artifact museums.

114. 禁止不可移动文物及国家禁止出境的文物转让、抵押、出租给外国人。

115. The establishment and operation of investigation organizations on intangible cultural heritage is prohibited.

116. 境外组织或个人在中国境内进行非物质文化遗产调查和考古调查、勘探、发掘,应采取与中国合作的形式并经专门审批许可。

(49)Culture and entertainment117. It is prohibited to set up performing art troupes.

118. Perfromance booking agencies are a restricted category, and must be controlled by the Chinese party (except where providing services for the province)

119. the construction and operation of large theme parks is a restricted category.

XV. All Industries
(50)All industries120. 不得作为个体工商户、个人独资企业投资人、农民专业合作社成员,从事经营活动。

121. 《外商投资产业指导目录》中的禁止类以及标注有“限于合资”、“限于合作”、“限于合资、合作”、“中方控股”、“中方相对控股”和有外资比例要求的项目,不得设立外商投资合伙企业。

122. 外国投资者并购境内企业、外国投资者对上市公司的战略投资、境外投资者以其持有的中国境内企业股权出资涉及外商投资项目和企业设立及变更事项的,按现行规定办理。

About China Law Translate 855 Articles
CLT is a crowdsourced, crowdfunded legal translation project that enables English speaking people to better understand Chinese law.

Be the first to comment

Leave a Reply

Your email address will not be published.


*