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     您現在的位置: 國際貿易法律網 >> 法律法規 >> 第二部分 外商投資 >> 正文
    關于外商投資股份有限公司非上市外資股轉B股流通有關問題的補充通知(附英文
    信息來源:國際貿易法律網 發布時間:2012-5-9 15:07:42 閱讀次數:次 我要評論
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     各省、自治區、直轄市及計劃單列市外經貿委(廳、局):

    為推動境內證券市場的健康發展,進一步規范含有B股的外商投資股份有限公司非上市外資股轉B股流通的行為,現就有關問題通知如下:

     一、 允許含有B股的外商投資股份有限公司非上市外資股轉在B股市場上流通(以下簡稱非上市外資股轉B股流通)。非上市外資股轉B股流通必須嚴格按照外經貿部和中國證監會2001108發布的《關于上市公司涉及外商投資有關問題的若干意見》(外經貿資發[2001]538號)執行,不得越權審批。

     二、 前款所述外商投資股份有限公司是指根據《關于設立外商投資股份有限公司若干問題的暫行規定》(外經貿部19951號令)由外經貿部批準設立的外商投資股份有限公司及該暫行規定頒布前由外經貿部以《關于舉辦中外股份有限公司有關問題的通知》([1992]外經貿資綜函字第374號)授權的部門批準設立的外商投資股份有限公司。未按規定設立的外商投資股份有限公司的非上市外資股不得轉在B股市場上流通。

     三、 非上市外資股轉B股流通除滿足國家關于上市發行股票的要求外還應符合下列條件:

     (一) 申請人應為按規定和程序設立的外商投資股份有限公司;

     (二) 申請人應符合外商投資產業政策;

     (三) 擬轉B股流通的非上市外資股股東如依照申請人章程、股東協議及其它法律文件和法律法規要求承擔特殊義務和責任的(包括但不限于提供股東貸款、提供貸款擔保、技術轉讓、商標許可等等),應在履行完上述義務和責任后方可申請非上市外資股轉B股流通;

     (四) 申請前兩年內均已通過外商投資企業聯合年檢并連續贏利;

     (五) 擬轉B股流通的非上市外資股股東持有該非上市外資股的期限超過一年;

     (六) 非上市外資股轉為流通股后,其原股東繼續持有的期限須超過一年。

     四、 非上市外資股轉B股流通按以下程序辦理:

     (一) 申請人向所在地省級外經貿主管部門提出申請;

     (二) 申請人所在地省級外經貿主管部門應在接到申請之日起15日內完成初審。審核同意的,轉報外經貿部審查批準;不同意的,書面說明理由;

     (三) 外經貿部應在接到申請材料之日起30日內完成審批。對符合條件的,予以批準;不符合條件的,不予以批準并書面說明理由;

     (四) 申請人應在中國證監會批準非上市外資股轉B股流通之日起30日內憑外經貿部批準文件和中國證監會批準文件到外經貿部變更《外商投資企業批準證書》。申請人如在外經貿部批準之日起1年內仍未獲得中國證監會批準,原外經貿部批準文件自行失效;

     (五) 申請人應在《外商投資企業批準證書》變更之日起30日內向工商行政管理部門申請辦理變更登記手續。

     五、 本通知第四條第(三)款所述的申請材料是指:

     (一) 申請人所在地省級外經貿主管部門的申報文件(含初審意見);

     (二) 申請人關于非上市外資股轉B股流通的申請書;

     (三) 申請人股東大會關于非上市外資股轉B股流通的決議和關于章程修改的決議;

     (四) 申請人董事會決議;

     (五) 申請人章程修改草案(正本)及原章程(復印件);

     (六) 擬轉B股流通的非上市外資股股東關于是否承擔特殊義務和責任的書面聲明。承擔特殊義務和責任的,應書面說明履行情況或書面承諾繼續履行相關義務和責任;

     (七) 申請人申請前兩年內聯合年檢證明;

     (八) 申請人申請前兩年贏利證明(審計報告及納稅證明);

     (九) 申請人出具的擬轉B股流通的非上市外資股股東持有該非上市外資股的期限超過一年的書面證明;

     (十) 擬轉B股流通的非上市外資股股東出具的關于非上市外資股轉為流通股后繼續持有一年以上的書面承諾;

     (十一) 申請人的《外商投資企業批準證書》和《營業執照》復印件。其中,暫行規定頒布前由外經貿部以《關于舉辦中外股份有限公司有關問題的通知》([1992]外經貿資綜函字第374號)授權的部門批準設立的外商投資股份有限公司還應提供原審批部門的批準文件。

     

        對外貿易經濟合作部 2002816 頒布

     

     

     

    --------------------------------------------------------------------------------

    Supplementary Circular of the Ministry of Foreign Trade and Economic Cooperation on the Relevant Issues Concerning B-share Circulation of Non-Listed Foreign-Funded Shares of Foreign-Funded Joint Stock Limited Companies

     

    WaiJingMaoZiYiHan [2002] No.902

    August 16, 2002

     

     

     The commissions (departments, bureaus) of foreign trade and economic cooperation of all provinces, autonomous regions, municipalities directly under the Central Government and municipalities separately listed on the State plan:

    In order to promote the healthy development of domestic securities market and to further regulate the B-share circulation of the non-listed foreign-funded shares of foreign-funded joint stock limited companies, which have B-shares, we hereby give our notice as follows regarding the relevant issues:

     I. The non-listed foreign-funded shares of foreign-funded joint stock limited companies, which have B-shares, are permitted to be circulated on the B-share market (hereinafter referred to as B-share circulation of non-listed foreign-funded shares). The B-share circulation of non-listed foreign-funded shares must be executed strictly in accordance with "Some Opinions on the Relevant Issues concerning Listed Companies involving Foreign Investments" promulgated by the Ministry of Foreign Trade and Economic Cooperation (hereinafter referred to as "the MOFTEC") and China Securities Regulatory Commission (hereinafter referred to as "CSRC") on October 8, 2001 (WaiJingMaoZiFa [2001] No.538), and shall not be approved by departments without the approving power.

     II. The foreign-funded joint stock limited companies referred to in the preceding paragraph shall mean the foreign-funded joint stock limited companies established upon approval by the MOFTEC in accordance with the "Interim Provisions on the Relevant Issues concerning the Establishment of Foreign-Funded Joint Stock Limited Companies" (Order No. 1 of the MOFTEC in 1995), and the foreign-funded joint stock limited companies established upon approval by the departments authorized by the MOFTEC in accordance with the "Circular on the Relevant Issues concerning the Establishment of Chinese-Foreign Joint Stock Limited Companies" ([1992] WaiJingMaoZiZongHanZi No. 374) prior to the promulgation of the above said Interim Provisions. The non-listed foreign-funded shares of the foreign-funded joint stock limited companies that have been established not in accordance with the above two provisions shall not be circulated on the B-share market.

     III. The B-share circulation of non-listed foreign-funded shares shall, in addition to satisfying the requirements of the State on IPOs, meet the following conditions:

     (1) the applicant shall be a foreign-funded joint stock limited company established in accordance with the relevant provisions and procedures;

     (2) the applicant shall comply with the industrial policies on foreign investments;

     (3) the holders of non-listed foreign-funded shares which are to be listed in the B-share market shall not, if required by the applicant’s articles of association, the shareholders’ agreement or other legal documents or laws and regulations to undertake particular obligations and responsibilities (including but not limited to the provision of shareholders’ loans or guaranty of loans, the transfer of technologies, the license of trademarks, and so on), apply for B-share circulation of non-listed foreign-funded shares until they have implemented the above said obligations and responsibilities;

     (4) they have passed the joint annual inspection of foreign-funded enterprises and have been making profits in the two years prior to the application;

     (5) the holders of non-listed foreign-funded shares to be circulated in the B-share market have held the non-listed foreign-funded shares for more than one year;

     (6) after the non-listed foreign-funded shares are converted into floating stocks, its original shareholders should continue to hold the shares for more than one year.

     IV. The B-share circulation of non-listed foreign-funded shares shall be handled in accordance with the following procedures:

     (1) the applicant shall file an application to the provincial-level department in charge of foreign trade and economic cooperation at its locality;

     (2) the provincial-level department in charge of foreign trade and economic cooperation at the applicant’s locality shall, within 15 days as of receipt of the application, complete the preliminary examination; and shall, if consenting the B-share circulation after the preliminary examination, report to the MOFTEC for examination and approval, or otherwise state the reason for disapproval in writing;

     (3) the MOFTEC shall, within 30 days as of receipt of the application documents, complete the examination; and shall approve the application which meets the conditions; or not approve the application which does not meet the conditions but state the reason in writing;

     (4) the applicant shall, within 30 days as of the date when CSRC approves the B-share circulation of non-listed foreign-funded shares, modify the "Approval Certificate of Foreign-Funded Enterprise" in the MOFTEC with the approval documents of the MOFTEC and CSRC; if the applicant fails to be approved by CSRC within 1 year as of the approval by the MOFTEC, the original approval documents of the MOFTEC shall be automatically invalidated;

     (5) the applicant shall, within 30 days as of modification of the "Approval Certificate of Foreign-Funded Enterprise", apply to the administrative department for industry and commerce for going through the registration formalities.

     V. The application documents mentioned in Paragraph (3) of Article 4 of this Circular shall refer to:

     (1) documents (including the preliminary examination opinions) submitted by the provincial-level department in charge of foreign trade and economic cooperation at the applicant’s locality;

     (2) the application letter of the applicant on the B-share circulation of non-listed foreign-funded shares;

     (3) the resolutions of the applicant’s shareholders’ meeting on the B-share circulation of non-listed foreign-funded shares and amendment of the articles of association;

     (4) the resolutions of the applicant’s board of directors;

     ;(5) the draft (original) of the amendment to the articles of association and the original articles of association (duplicate);

     (6) the written statement of the holders of the non-listed foreign-funded shares to be circulated in B-share markets on the special obligations and responsibilities they have assumed; if such holders have undertaken special obligations and responsibilities, they shall report in writing on the status of performance of such special obligations and responsibilities or make commitments to continue to fulfill the relevant obligations and responsibilities;

     (7) the proof of having passed the joint annual inspection by the applicant in the two years prior to the application;

     (8) the proof of having made profits by the applicant in the two years prior to the application (the auditor's report and the tax returns);

     (9) the certificate issued by the applicant proving that the holders of the non-listed foreign-funded shares to be circulated on the B-share market have held the non-listed foreign-funded shares for more than one year;

     (10) the written commitment made by the holders of the non-listed foreign-funded shares to be circulated on the B-share market that they will continue to hold the shares for more than one year after the conversion of the non-listed foreign-funded shares into floating stocks;

     (11) duplicates of the "Approval Certificate of Foreign-Funded Enterprise" and the "Business License" of the applicant. The foreign-funded joint stock limited companies established upon approval by the departments authorized by the MOFTEC in accordance with the "Circular on the Relevant Issues concerning the Establishment of Chinese-Foreign Joint Stock Limited Companies" ([1992] WaiJingMaoZiZongHanZi No. 374) prior to the promulgation of the Interim Provisions shall provide the approval documents issued by the original approving department.

     

        Promulgated by The Ministry of Foreign Trade and Economic Cooperation on 2002-8-16 

     

     

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