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关于外商投资股份有限公司非上市外资股转B股流通有关问题的补充通知(附英文
信息来源:国际贸易法律网 发布时间:2012-5-9 15:07:42 阅读次数:次 我要评论
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 各省、自治区、直辖市及计划单列市外经贸委(厅、局):

为推动境内证券市场的健康发展,进一步规范含有B股的外商投资股份有限公司非上市外资股转B股流通的行为,现就有关问题通知如下:

 一、 允许含有B股的外商投资股份有限公司非上市外资股转在B股市场上流通(以下简称非上市外资股转B股流通)。非上市外资股转B股流通必须严格按照外经贸部和中国证监会2001108发布的《关于上市公司涉及外商投资有关问题的若干意见》(外经贸资发[2001]538号)执行,不得越权审批。

 二、 前款所述外商投资股份有限公司是指根据《关于设立外商投资股份有限公司若干问题的暂行规定》(外经贸部19951号令)由外经贸部批准设立的外商投资股份有限公司及该暂行规定颁布前由外经贸部以《关于举办中外股份有限公司有关问题的通知》([1992]外经贸资综函字第374号)授权的部门批准设立的外商投资股份有限公司。未按规定设立的外商投资股份有限公司的非上市外资股不得转在B股市场上流通。

 三、 非上市外资股转B股流通除满足国家关于上市发行股票的要求外还应符合下列条件:

 (一) 申请人应为按规定和程序设立的外商投资股份有限公司;

 (二) 申请人应符合外商投资产业政策;

 (三) 拟转B股流通的非上市外资股股东如依照申请人章程、股东协议及其它法律文件和法律法规要求承担特殊义务和责任的(包括但不限于提供股东贷款、提供贷款担保、技术转让、商标许可等等),应在履行完上述义务和责任后方可申请非上市外资股转B股流通;

 (四) 申请前两年内均已通过外商投资企业联合年检并连续赢利;

 (五) 拟转B股流通的非上市外资股股东持有该非上市外资股的期限超过一年;

 (六) 非上市外资股转为流通股后,其原股东继续持有的期限须超过一年。

 四、 非上市外资股转B股流通按以下程序办理:

 (一) 申请人向所在地省级外经贸主管部门提出申请;

 (二) 申请人所在地省级外经贸主管部门应在接到申请之日起15日内完成初审。审核同意的,转报外经贸部审查批准;不同意的,书面说明理由;

 (三) 外经贸部应在接到申请材料之日起30日内完成审批。对符合条件的,予以批准;不符合条件的,不予以批准并书面说明理由;

 (四) 申请人应在中国证监会批准非上市外资股转B股流通之日起30日内凭外经贸部批准文件和中国证监会批准文件到外经贸部变更《外商投资企业批准证书》。申请人如在外经贸部批准之日起1年内仍未获得中国证监会批准,原外经贸部批准文件自行失效;

 (五) 申请人应在《外商投资企业批准证书》变更之日起30日内向工商行政管理部门申请办理变更登记手续。

 五、 本通知第四条第(三)款所述的申请材料是指:

 (一) 申请人所在地省级外经贸主管部门的申报文件(含初审意见);

 (二) 申请人关于非上市外资股转B股流通的申请书;

 (三) 申请人股东大会关于非上市外资股转B股流通的决议和关于章程修改的决议;

 (四) 申请人董事会决议;

 (五) 申请人章程修改草案(正本)及原章程(复印件);

 (六) 拟转B股流通的非上市外资股股东关于是否承担特殊义务和责任的书面声明。承担特殊义务和责任的,应书面说明履行情况或书面承诺继续履行相关义务和责任;

 (七) 申请人申请前两年内联合年检证明;

 (八) 申请人申请前两年赢利证明(审计报告及纳税证明);

 (九) 申请人出具的拟转B股流通的非上市外资股股东持有该非上市外资股的期限超过一年的书面证明;

 (十) 拟转B股流通的非上市外资股股东出具的关于非上市外资股转为流通股后继续持有一年以上的书面承诺;

 (十一) 申请人的《外商投资企业批准证书》和《营业执照》复印件。其中,暂行规定颁布前由外经贸部以《关于举办中外股份有限公司有关问题的通知》([1992]外经贸资综函字第374号)授权的部门批准设立的外商投资股份有限公司还应提供原审批部门的批准文件。

 

    对外贸易经济合作部 2002816 颁布

 

 

 

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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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