1、经营者集中申报办法（英译版本）-Legal Translation 转贴 2011-03-08 19:45:09 字号：大 中 小 【发布单位】中华人民共和国商务部 【发布日期】2009 年 11 月 21 日 【实施日期】2010 年 1 月 1 日第一条 为规范经营者集中申报和反垄断执法机构受理申报，根据中华人民共和国反垄断法 （以下简称反垄断法 ）和国务院关于经营者集中申报标准的规定 （以下简称规定 ） ，制定本办法。第二条 商务部是经营者集中反垄断审查执法机构，承担受理和审查经营者集中申报的具体执法工作。第三条 本办法所称经营者集中，系指反垄断法第二十条所规定的下列情形： （一）经营者
2、合并； （二）经营者通过取得股权或者资产的方式取得对其他经营者的控制权； （三）经营者通过合同等方式取得对其他经营者的控制权或者能够对其他经营者施加决定性影响。第四条 营业额包括相关经营者上一会计年度内销售产品和提供服务所获得的收入，扣除相关税金及其附加。 规定第三条所称“在中国境内”是指经营者提供产品或服务的买方所在地在中国境内。第五条 参与集中的单个经营者的营业额应当为下述经营者的营业额总和： （一）该单个经营者； （二）第（一）项所指经营者直接或间接控制的其他经营者； （三）直接或间接控制第（一）项所指经营者的其他经营者； （四）第（三）项所指经营者直接或间接控制的其他经营者； （五）第
3、（一）至（四）项所指经营者中两个或两个以上经营者共同控制的其他经营者。 参与集中的单个经营者的营业额不包括上述（一）至（五）项所列经营者之间发生的营业额。 如果参与集中的单个经营者之间或者参与集中的单个经营者和未参与集中的经营者之间有共同控制的其他经营者，参与集中的单个经营者的营业额应当包括被共同控制的经营者与第三方经营者之间的营业额，且此营业额只计算一次。第六条 如果参与集中的单个经营者之间有共同控制的其他经营者，则参与集中的所有经营者的合计营业额不应包括被共同控制的经营者与任何一个共同控制他的参与集中的经营者，或与后者有控制关系的经营者之间发生的营业额。第七条 在一项经营者集中包括收购一个
4、或多个经营者的一部分时： （一）对于卖方而言，只计算集中涉及部分的营业额； （二）相同经营者之间在两年内多次实施的未达到规定第三条规定的申报标准的经营者集中，应当视为一次集中交易，集中发生时间从最后一次交易算起，该经营者集中的营业额应当将多次交易合并计算。经营者通过与其有控制关系的其他经营者实施的上述行为，依照本项规定处理。 前款第（二）项所称“两年内”是指从第一次集中交易完成之日起至最后一次集中交易签订协议之日止的期间。第八条 在正式申报前，参与集中的经营者可以就集中申报的相关问题向商务部申请商谈。商谈申请应当以书面方式提出。第九条 通过合并方式实施的经营者集中，由参与合并的各方经营者申报；
5、其他方式的经营者集中，由取得控制权或能够施加决定性影响的经营者申报，其他经营者予以配合。 申报义务人未进行集中申报的，其他参与集中的经营者可以提出申报。 申报义务人可以自行申报，也可以依法委托他人代理申报。第十条 申报文件、材料应当包括如下内容： （一）申报书。申报书应当载明参与集中的经营者的名称、住所、经营范围、预定实施集中的日期。申报人的身份证明或注册登记证明，境外申报人还须提交当地公证机关的公证文件和相关的认证文件。委托代理人申报的，应当提交经申报人签字的授权委托书。 （二）集中对相关市场竞争状况影响的说明。具体包括：集中交易概况；相关市场界定；参与集中的经营者在相关市场的市场份额及其对
6、市场的控制力；主要竞争者及其市场份额；市场集中度；市场进入；行业发展现状；集中对市场竞争结构、行业发展、技术进步、国民经济发展、消费者以及其他经营者的影响；集中对相关市场竞争影响的效果评估及依据。（三）集中协议及相关文件。具体包括：各种形式的集中协议文件，如协议书、合同以及相应的补充文件等。 （四）参与集中的经营者经会计师事务所审计的上一会计年度财务会计报告。 （五）商务部要求提交的其他文件、资料。第十一条 除本规定第十条要求提供的文件、资料外，申报人可以自愿提供有助于商务部对该集中进行审查和做出决定的其他文件、资料，如地方人民政府和主管部门等有关方面的意见，支持集中协议的各类报告等。第十二条
7、 申报人提交纸质申报文件、资料的同时，应当提交内容相同的光盘电子文档。申报文件、资料应当合理编排以方便查阅。 申报人应当提交中文撰写的文件、资料。文件、资料的原件是外文书写的，应当提交中文翻译件并附外文原件。文件、资料为副本、复印件或传真件的，应当根据商务部的要求出示原件供验证。 申报人应当同时提交申报文件、资料的公开版本和保密版本。申报人应当对申报文件、资料中的商业秘密和其他需要保密的信息进行标注。第十三条 申报人应当提交完备的文件、资料，商务部应对申报人提交的文件、资料进行核查。商务部发现申报的文件、资料不完备的，可以要求申报人在规定期限内补交。申报人逾期未补交的，视为未申报。第十四条 商
8、务部经核查认为申报文件、资料符合法定要求的，应当自收到完备的申报文件、资料之日予以立案并书面通知申报人。第十五条 申报人故意隐瞒重要情况或者提供虚假信息的，商务部不予立案。第十六条 经营者集中未达到规定第三条规定的申报标准，参与集中的经营者自愿提出经营者集中申报，商务部收到申报文件、资料后经审查认为有必要立案的，应当按照反垄断法的规定进行立案审查并作出决定。 在前款所述申报和立案审查期间，参与集中的经营者可以自行决定是否暂停实施其集中交易，并承担相应的后果。第十七条 商务部和申报人对在经营者集中申报前商谈和申报审查工作中知悉的商业秘密和其他需要保密的信息承担保密义务。第十八条 本办法自 201
9、0 年 1 月 1 日起施行。Measures on Notification Filing in Connection with Concentration of Undertakings【Issued by】Ministry of Commerce of Peoples Republic of China 【Issuance Date】21 November 2009 【Implementation Date】1 January 2010Article 1 In order to regulate notification filing in connection with concent
10、ration of undertakings and acceptance thereof by anti-monopoly enforcement agency, these Measures are formulated in accordance with the Anti-monopoly Law of Peoples Republic of China (hereinafter “Anti-monopoly Law“) and the State Council Rules on Anti-monopoly Notification Filing Thresholds for Con
11、centration of Undertakings (hereinafter “Filing Threshold Rules“). Article 2 Ministry of Commerce (“MOFCOM“) is the anti-monopoly review enforcement agency in connection with concentration of undertakings, and carries out specific enforcement tasks of accepting and reviewing notification filings in
12、connection with concentration of undertakings.Article 3 For purposes of these Measures, concentration of undertakings refers to any of the following instances set out in Article 20 of Anti-monopoly Law: (i) Combination of undertakings; (ii) One undertaking gaining control over another undertaking th
13、rough equity or assets acquisition; or (iii) One undertaking gaining control over another undertaking or having the power to exert a decisive influence over another undertaking through contractual arrangement or otherwise.Article 4 Turnover includes revenue received by the undertaking concerned thro
14、ugh sale of goods and provision of services in the preceding accounting year, net of applicable taxes and surcharges For purpose of Article 3 of Filing Threshold Rules, “within China“ refers to the circumstance where the buyer of the goods or service provided by the undertaking is located within the
15、 territory of China.Article 5 Turnover of a single participating undertaking shall be the sum of the turnovers of the following undertakings: (i) Such single undertaking; (ii) Any other undertaking directly or indirectly controlled by the undertaking referred to in item (i) above; (iii) Any other un
16、dertaking directly or indirectly controlling the undertaking referred to in item (i) above; (iv) Any other undertaking directly or indirectly controlled by the undertaking referred to in item (iii) above; (v) Any other undertaking jointly controlled by two or more undertakings referred to in items (
17、i) through (iv) above. Turnover of a single participating undertaking shall not include any turnover between the undertakings referred to in items (i) through (v) above. If there is another undertaking jointly controlled by the participating undertakings, or by any one of the participating undertaki
18、ngs and a non-participating undertaking, the turnover of such single participating undertaking shall include the turnover between the undertaking jointly controlled thereby and a third party, and such turnover shall be counted only once.Article 6 If there is another undertaking jointly controlled by
19、 the participating undertakings, then the combined turnover of all participating undertakings shall not include any turnover occurring between the jointly controlled undertaking and any of the participating undertaking having joint control over such undertaking, or any undertaking having a controlli
20、ng relationship with the latter.Article 7 Where a concentration of undertaking involves the acquisition of a portion of one or more undertakings: (i) In respect of the seller, only turnover from the business involved in the concentration shall be counted; (ii) Multiple concentrations of undertakings
21、 carried out at different times between the same undertakings within two years, each of which fails to reach the filing threshold prescribed in Article 3 of the Filing Threshold Rules, shall be treated as a single concentration transaction, and the timing of the concentration shall be determined as
22、the time of the last transaction, and the turnover calculation for such concentration of undertakings shall be the combined turnover in the context of such multiple transactions. Where an undertaking carries out the above acts through other undertakings with control relationship, such acts shall be
23、treated in accordance with this paragraph. For purposes of item (ii) of the previous paragraph, “two- year period“ refers to the period from the date of consummation of the first concentration to the date of signing of concentration agreement for the last concentration.Article 8 Before the formal no
24、tification filing, a participating undertaking can file an application for consultation with MOFCOM in respect of issues relevant to the concentration notification. The application for consultation shall be made in writing.Article 9 For concentration of undertakings in the form of combination, the n
25、otification filing shall be made by all undertakings participating in the combination; for concentration of undertakings in other forms, the notification filing shall be made by the undertaking gaining control or having the power to exert a decisive influence, with assistance of other undertakings.
26、If a party with notification obligation fails to make the notification filing, any other participating undertaking(s) can make the notification filing. A party with notification obligation may make the notification filing on its own behalf or entrust others as notification agent(s) to make the notif
27、ication filing in accordance with applicable laws.Article 10 The notification filing documents and materials shall include the following: (i) a notification letter. The notification letter shall set forth the names of the participating undertakings, their domiciles and business scopes, the scheduled
28、 date of consummation of the concentration. For an overseas notification party, it shall also submit notarized documents issued by local notary and relevant legalized documents for purposes of proof of identity or proof of registration of the notification party. Where the notification is made throug
29、h an agent, a power of attorney executed by the notification party shall be submitted. (ii) explanations concerning the proposed concentrations competitive impact on the relevant market. The explanations shall specifically include a summary of the concentration; a definition of relevant market; the
30、market shares of the participating undertakings in the relevant market and their market power; the main competitors and their market shares; the level of concentration in the market; market entry; the current development status of the industry; the impact of the concentration of undertakings on mark
31、et competitive structure, industry development, technology progress, national economic development, consumers and other undertakings; the evaluation of the concentrations effect on competitiveness in the relevant market and its basis. (iii) the concentration agreement and relevant documents. The agr
32、eement and documents shall specifically include: concentration agreements in various forms such as agreements, contracts and any supplements thereto, etc. (iv) the financial statements of the participating undertakings for the preceding accounting year, audited by an accounting firm; and (v) other d
33、ocuments and materials requested by MOFCOM.Article 11 In addition to documents and materials required to be provided under Article 10 of these Measures, the notification party may voluntarily provide other documents and materials which may facilitate MOFCOMs review and decision in connection with th
34、e concentration, such as the opinions from local government and industry supervisory authority, as well as various kinds of reports in support of the concentration agreement, etc.Article 12 A notification party shall submit the notification filing documents and materials in paper, accompanied by a C
35、D electronic version containing the same content. The notification filing documents and materials shall be properly compiled and bound for ease of reference. The documents and materials submitted by the notification party shall be in Chinese. Where the original documents and materials are in a forei
36、gn language, Chinese translation thereof accompanied by the originals in foreign language shall be submitted. Where the documents and materials are counterparts, photocopies or facsimile copies, the originals shall be presented for verification purpose as required by MOFCOM. The notification party s
37、hall submit both non-confidential version and confidential version of notification filing documents and materials. The notification party shall mark the trade secrets and other information requiring confidential treatment in the notification filling documents and materials.Article 13 The notificatio
38、n party shall submit complete documents and materials and MOFCOM shall verify the documents and materials submitted by the notification party. Where the notification filing documents or materials are found to be incomplete by MOFCOM, MOFCOM may require the notification party to provide supplements w
39、ithin the prescribed time limit. Where the notification party fails to provide such supplement within the prescribed time limit, the filing shall be deemed to not have been made.Article 14 Upon verification, if MOFCOM finds the notification filing documents and materials in compliance with legal req
40、uirements, it shall accept the filing on the date of receipt of the complete notification filing documents and materials, and inform the notification party in writing.Article 15 If the notification party intentionally conceals important information or provides false information, MOFCOM shall not acc
41、ept the filing.Article 16 If a concentration of undertakings does not meet notification filing threshold prescribed by Article 3 of the Filing Threshold Rules, and a participating undertaking voluntarily submits a notification filing in connection with concentration of undertakings, and MOFCOM consi
42、ders it necessary to accept the filing after reviewing the notification filing documents and materials received, MOFCOM shall carry out filing acceptance and review and make a decision in accordance with the Anti-monopoly Law. During the filing, acceptance and review periods prescribed above, the pa
43、rticipating undertakings may decide at their own discretion whether to suspend the concentration and shall bear the relevant consequence.Article 17 MOFCOM and the notification party shall bear confidentiality obligation in respect of the trade secret and other information requiring confidential treatment that they have become aware of in the course of pre-notification filing consultation and concentration notification filing.
