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Trial Measures of Shanghai Municipality for the Examination, Approval and Registration of Debt-f

(2010-10-28 10:00:15)
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上海市外商投资企业债权转股权审批登记试行办法

Trial Measures of Shanghai Municipality for the Examination, Approval and Registration of Debt-for-equity Swaps of Foreign-invested Enterprises

 

(上海市工商行政管理局、上海市商务委员会于二零零九年十一月十二日发布施行。)

(Issued by the Shanghai Administration of Industry and Commerce and the Shanghai Municipal Commission of Commerce on, and effective as of, November 12 2009.)

沪工商外 〔2009〕 398号

Hu Gong Shang Wai [2009] No.398

关于印发《上海市外商投资企业债权转股权审批登记试行办法》的通知

Circular on the Issuance of the 〈Shanghai Municipality, Trial Measures for the Examination, Approval and Registration of Debt-for-equity Swaps of Foreign-invested Enterprises〉

各工商分局、区(县)商务委:

Branches of the administration for industry and commerce and district (county) commerce commissions:

为了规范本市外商投资企业债权转股权审批登记行为,维护企业、股东及债权人的合法权益,进一步改善外商投资企业的投融资环境,根据《公司法》、《公司登记管理条例》等有关法律法规,市工商局会同市商务委制定了《上海市外商投资企业债权转股权审批登记试行办法》,现印发至各单位,请按照职责分工予以推进落实。

Pursuant to relevant laws and regulations such as the Company Law and the Regulations for the Administration of the Registration of Companies, the municipal administration of industry and commerce together with the municipal commission of commerce have formulated the Shanghai Municipality, Trial Measures for the Examination, Approval and Registration of Debt-for-equity Swaps of Foreign-invested Enterprises in order to regulate the examination, approval and registration of debt-for-equity swaps of foreign-invested enterprises in Shanghai, safeguard the lawful rights and interests of enterprises, shareholders and creditors and further improve the investment and financing environment for foreign-invested enterprises. The Measures are hereby issued to you and you are asked to promote and implement them within your respective purviews.

一、为了促进投资便利化,规范本市外商投资企业债权转股权审批登记行为,维护企业、股东及债权人的合法权益,进一步改善外商投资企业的投融资环境,依据有关法律、行政法规,制定本办法。

1. These Measures have been formulated pursuant to relevant laws and administrative regulations in order to promote the simplification of investment, regulate the examination, approval and registration of debt-for-equity swaps of foreign-invested enterprises in Shanghai, safeguard the lawful rights and interests of enterprises, shareholders and creditors and further improve the investment and financing environment for foreign-invested enterprises.

一、为了促进投资便利化,规范本市外商投资企业债权转股权审批登记行为,维护企业、股东及债权人的合法权益,进一步改善外商投资企业的投融资环境,依据有关法律、行政法规,制定本办法。

1. These Measures have been formulated pursuant to relevant laws and administrative regulations in order to promote the simplification of investment, regulate the examination, approval and registration of debt-for-equity swaps of foreign-invested enterprises in Shanghai, safeguard the lawful rights and interests of enterprises, shareholders and creditors and further improve the investment and financing environment for foreign-invested enterprises.

二、本办法所称的债权转股权是指本市已设立的外商投资企业的外方股东以其对本企业(以下称“被投资企业”)的合法现汇外债债权作为出资,增加被投资企业注册资本或变更出资方式的行为。

2. For the purposes of these Measures, the term “debt-for-equity swap” means the act whereby a foreign shareholder of an existing foreign-invested enterprise in Shanghai uses its lawful cash foreign debt claim on the enterprise (Investee Enterprise) as its capital contribution to increase the registered capital of the Investee Enterprise or change the form of its capital contribution.

三、被投资企业申请债权转股权应当符合以下条件:

3. An Investee Enterprise that applies for a debt-for-equity swap shall satisfy the following conditions:

(一)经被投资企业全体股东一致同意;

(1) having the unanimous consent of all of its shareholders;

(二)被投资企业设立时的注册资本已按期缴付;

(2) its registered capital at the time of its establishment having been paid in on schedule;

(三)用于出资的债权涉及两个以上债权人的,应当经该债权的全体债权人一致同意;

(3) if the claim to be used as the capital contribution involves two or more creditors, having the unanimous consent of all such creditors; and

(四)用于出资的债权应当符合国家外汇管理的要求并经核准。

(4) the claim to be used as the capital contribution complying with state exchange control requirements and having been approved.

四、被投资企业申请债权转股权,应与债权人签订《债权转股权协议》。《债权转股权协议》应当载明下列事项:

4. An Investee Enterprise that applies for a debt-for-equity swap shall execute a Debt-for-equity Swap Agreement with the creditor(s). The Debt-for-equity Swap Agreement shall specify the following matters:

(一)债权人和被投资企业的名称或姓名、住所;

(1) the names and domiciles of the creditor(s) and the Investee Enterprise;

(二)债的产生原因、时间;

(2) the reason why and the time that the claim arose;

(三)债权总金额及各债权人所享有的份额;

(3) the total amount of the claim and the share thereof of each creditor;

(四)拟转为出资的债权数额;

(4) the amount of the claim to be converted into the capital contribution;

(五)协议生效时间;

(5) the effective date of the agreement; and

(六)争议解决及违约责任。

(6) dispute resolution and liability for breach of contract.

五、被投资企业与债权人可以在《债权转股权协议》中约定,相关债权全部或者部分转为对被投资企业的股权。

5. The Investee Enterprise and the creditor may specify in the Debt-for-equity Swap Agreement that all or part of the relevant claim will be converted into equity of the Investee Enterprise.

同一债权涉及两个以上债权人的,经该债权的全体债权人一致同意,可以将该债权的全体或者部分债权人(仅限于被投资企业的外方股东)享有的债权转为被投资企业的股权。

If a claim involves two or more creditors, the claims of all or some of the creditors (limited solely to foreign shareholders of the Investee Enterprise) in such claim may be converted into equity of the Investee Enterprise, subject to the unanimous consent of all of the creditors holding such claim.

六、被投资企业以债权转股权形式增加注册资本或变更出资方式的,应当经依法设立的验资机构验资。验资证明应当附有该债权符合国家外汇管理规定并经登记核准的文件,且符合《公司注册资本登记管理规定》和《关于外商投资的公司审批登记管理法律适用若干问题的执行意见》的有关规定。

6. When the registered capital of an Investee Enterprise is increased or the form of capital contribution thereto changed by way of a debt-for-equity swap, a capital verification shall be conducted by a legally-established capital verification institution. The capital verification certificate shall be accompanied by documentation evidencing that the claim complies with state exchange control provisions and that registration thereof has been approved, and shall comply with relevant provisions of the Provisions for Administration of the Registration of the Registered Capital of Companies and the Implementing Opinions on Several Issues Concerning the Application of the Law in the Administration of the Examination, Approval and Registration of Foreign-invested Companies.

七、以债权转股权方式增加的注册资本不得分期缴纳,被投资企业应当一并申请办理注册资本、实收资本变更登记。

7. A registered capital increase made by way of a debt-for-equity swap may not be paid in instalments, and the Investee Enterprise shall simultaneously apply for amendment of registration of registered capital and paid-in capital.

八、被投资企业申请债权转股权应经商务部门批准,并根据国家外汇管理有关规定办理相关手续后,向工商部门申请办理变更登记手续。

8. An application by an Investee Enterprise for a debt-for-equity swap shall be subject to the approval of the commerce department and, after relevant procedures are carried out in accordance with relevant state exchange control provisions, an application for the amendment of registration shall be made to the administration for industry and commerce.

九、被投资企业申请办理债权转股权审批,应向商务部门提交下列文件:

9. When an Investee Enterprise applies for approval of a debt-for-equity swap, it shall submit the following documents to the commerce department:

(一)以债权转股权形式增加注册资本或变更出资方式的申请书;

(1) a written application for a registered capital increase or change in form of capital contribution made by way of a debt-for-equity swap;

(二)依法作出的决议或决定;

(2) the resolution or decision made in accordance with the law;

(三)被投资企业董事会名单;

(3) a list of the members of the board of directors of the Investee Enterprise;

(四)债权人与被投资企业签订的《债权转股权协议》;

(4) the debt-for-equity swap Agreement executed by the creditor and the Investee Enterprise;

(五)公司章程修正案或修改后的章程;

(5) the amendments to the company’s articles of association or the amended articles of association;

(六)公司合同修改协议或修改后的合同;

(6) the agreement for the amendment of the contract for the enterprise or the amended contract;

(七)全体债权人对债权转股权一致确认的文件;

(7) the document evidencing the unanimous confirmation by all of the creditors of the debt-for-equity swap;

(八)外债登记证明;

(8) the foreign debt registration certificate; and

(九)商务部门要求提交的其他文件。

(9) other documents as requested by the commerce department for submission.

十、被投资企业申请办理债权转股权变更登记,应当向工商部门提交下列文件:

10. When an Investee Enterprise applies for amendment of registration in connection with a debt-for-equity swap, it shall submit the following documents to the administration for industry and commerce:

(一)《外商投资公司变更(备案)登记申请书》;

(1) an Application for Amendment of the Registration (Record Filing) of a Foreign-invested Company;

(二)依法作出的决议或决定;

(2) the resolution or decision made in accordance with the law;

(三)商务部门的批准文件;

(3) the approval document from the commerce department;

(四)外汇管理部门的核准文件;

(4) the approval document from the exchange control department;

(五)债权人与被投资公司签订的《债权转股权协议》;

(5) the Debt-for-equity Swap Agreement executed by the creditor(s) and the Investee Enterprise;

(六)公司章程修正案或修改后的公司章程;

(6) the amendments to the company’s articles of association or the amended articles of association;

(七)全体债权人对债权转股权一致确认的文件;

(7) the document evidencing the unanimous confirmation by all of the creditors of the debt-for-equity swap;

(八)验资证明;

(8) the capital verification certificate; and

(九)国家工商行政管理总局规定提交的其他文件。

(9) other documents as required by the State Administration for Industry and Commerce for submission.

十一、本办法自印发之日起试行。

11. These Measures shall be effective as of the date of issuance.

 

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